HomeMy WebLinkAbout11- Gallatin County Emergency Management Plan, 2011
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Basic Plan Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Basic Plan Mitigation Preparedness Response Recovery ReadyGallatin.com The Gallatin County Emergency Management Plan is
designed utilizing the concept of an “all hazard” approach. This means that Gallatin County approaches all incidents using the same procedures and resources regardless of the type of
incident. To accomplish this the plan is written using what is known as a “traditional format” plan consisting of an overarching Basic Plan and functional annexes. The Basic Plan outlines
our overall approach to emergency management. It contains high level concepts about how agencies in Gallatin County function with each other. Roles and responsibilities are also delineated
and assigned in this section. Specific information regarding functional roles, responsibilities, procedures, and resources are contained in the following 20 function specific annexes.
Each annex is essentially a standalone document that supports the Basic Plan. Each annex is adopted by the Principal Executive Officer of each adopting jurisdiction as well as agencies
with primary responsibility for that annex. Compliance with Homeland Security Presidential Directive 5 requiring the local adoption of the National Incident Management System (NIMS)
is contained in this section. All signatories to this document are certifying their compliance with NIMS. We recognize that everything is always in a state of change and as such the
Gallatin County Emergency Management Plan (EMP) will always be in a state of revision. The EMP is setup on a 5 year complete revision cycle with one fifth of the plan being reviewed
annually. Redacted Version
Gallatin County EMP, 05/18/11, Page BP2 APPROVAL & IMPLEMENTATION BASIC PLAN This emergency management plan is hereby approved. This plan is effective immediately and supersedes all
previous editions. Chairperson, Gallatin County Commission Date Mayor, City of Belgrade Date Mayor, City of Bozeman Date Mayor, City of Manhattan Date Mayor, City of Three Forks Date
Mayor, City of West Yellowstone Date Redacted Version
Gallatin County EMP, 05/18/11, Page BP3 Basic Plan RECORD OF CHANGES BASIC PLAN Date of Change Date Entered Change Entered By 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted
Version
Gallatin County EMP, 05/18/11, Page BP4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… BP6 II. SUPPORTING AGENCIES………………………………………………….. BP6 III. AUTHORITY A. Federal………………………………………………………
…………. BP6 B. State……………………………………………………………………. BP7 C. Local……………………………………………………………………. BP7 IV. PURPOSE…………………………………………………………………….. BP9 V. EXPLANATION OF TERMS A. Acronyms……………………………………………………………….
BP9 B. Definitions………………………………………………………........... BP10 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... BP13 B. Assumptions. …………………………………………………………. BP14 VII. CONCEPT
OF OPERATIONS A. Objective……………………………………………………….…...... BP15 B. General………………..……………………..………………….…...... BP15 C. Operational Guidance…………………………………………..……. BP17 D. Incident Command System……………….………………
…………. BP18 E. ICS-EOC Interface…………………………………..………….…...... BP18 F. State, Federal & Other Assistance.………………………….……...... BP20 G. Emergency Authorities……………………………………………..….. BP21 H. Phases
of Management……………………………………….……..... BP22 VIII. Organization & Assignment of Responsibilities A. Organization……………………………………..…………………….. BP23 B. Assignment of Responsibilities……………………………………….
BP24 IX. Coordination A. General………………………………………………………………… BP35 B. Emergency Facilities…………………………………………………. BP36 C. Line of Succession……………………………………………………. BP37 Redacted Version
Gallatin County EMP, 05/18/11, Page BP5 Basic Plan X. Administration & Support A. Agreements & Contracts………………………………………..…… BP39 B. Reports………………………………………………………..………. BP39 C. Records……………..…………………………
……………..……….. BP39 D. Preservation of Records……………………………………………..BP41 E. Training………………………………………………………………...BP41 F. Consumer Protection…………………………………………………BP41 G. Post-Incident & Exercise
Review…………………………………...BP41 XI. Plan Development & Maintenance.……………………………………… BP42 Attachments A. Distribution List………………………………..………………………. BP44 B. Emergency Management Functional Responsibilities………
.…….BP45 C. Annex Assignments…………………………………………………... BP46 D. National Incident Management System (NIMS) System…………. BP47 Redacted Version
Gallatin County EMP, 05/18/11, Page BP6 BASIC PLAN I. PRIMARY AGENCIES Gallatin County Emergency Management II. SUPPORTING AGENCIES III. AUTHORITY A. FEDERAL Name Description Legal Congressional
Charter of 1905 Creation of the American Red Cross 36 USC 300101-300111 Emergency Planning and Community Right-to-Know Act Emergency planning for hazardous substances requiring AHAD
42 USC 11001-11050 Federal Fire Prevention and Control Act Firefighting cost reimbursement on federal lands PL 93-498, 44 CFR 151 Fire Management Assistance Grant Firefighting cost reimbursement
44 CFR 204 Hazardous Waste Operations & Emergency Response HazMat Response Standards (HAZWOPER) 29 CFR 1910.120 Homeland Security Presidential Directive 3, Homeland Security Advisory
System Establishes the Homeland Security Advisory System HSPD-3 Homeland Security Presidential Directive 5, Management of Domestic Incidents Establishes authorities and creates National
Incident Management System (NIMS) HSPD-5 National Flood Insurance Act/Flood Disaster Protection Act National Flood Insurance Program 42 USC 4001-4129 Robert T. Stafford Disaster & Emergency
Assistance Act Federal assistance to state and local governments 42 USC 5121-5206, PL93-288 Superfund Amendment and Reauthorization Act Amended CERCLA (SARA), Establishes spiller liability
& cleanup funding (superfund) 42 USC 116, 40 CFR 300-374 Redacted Version
Gallatin County EMP, 05/18/11, Page BP7 Basic Plan B. STATE Name Description Legal Clean Air Act of Montana Air Quality MCA 75-2 Disaster and Emergency Services DES Program/Hazmat/MA
MCA 10-3 Fire Protection Fire Protection Authority MCA 7-33 Intergovernmental Cooperation Mutual Aid MCA 10-3-2 Montana Code Annotated Law Enforcement MCA 7-32-2123 Mutual Aid Agreements
Fire Mutual Aid -RFD MCA-7-33-2108 Mutual Aid Agreements Fire Mutual Aid -FSA MCA 7-33-2405 Mutual Aid Agreements Fire Mutual Aid -Muni MCA-7-33-4112 Mutual Aid Agreements Fire Mutual
Aid -Rural Fire MCA 7-33-2202 Mutual Aid Agreements Fire Mutual Aid -Unincorporated MCA 7-33-2313 Mutual Assistance rights of Assisting Officers Law Enforcement -Mutual Aid MCA 44-11
Waste and Litter Control Hazardous Waste Cleanup MCA 75-10 Duties of Undersheriff and Succession of Sheriff MCA 7-32-2123 C. LOCAL Name Description Legal Absence of Mayor Three Forks
Mayoral Succession TCC 1-6-12 Belgrade City Charter Line of Succession for CM BCC 3.02 Belgrade City Charter Line of Succession for Mayor BCC 2.03 Bozeman Line of Succession for CM Bozeman
Administrative Code Assistant CM Duties BAC 2.10.010, BCO 1643 Chain of Command for Emergency Situation Line of succession for Commission and CM GCR 2007-066 Flood Damage Prevention
Three Forks Flood District TCC 12-1 Gallatin County Personnel Manual Employee Work Requirements GCPM 308.50 Line of Succession for Bozeman CM BAO 2008-03 Qualifications of council members
Manhattan mayor succession MTC 1-6-3-1, MTO 08-003 West Yellowstone City Charter Line of Succession for CM Redacted Version
Gallatin County EMP, 05/18/11, Page BP8 D. AGREEMENTS Name Description Legal Emergency Management Coordinator and HazMat Contract Provides authority for Emergency Management Coordinator
GCC 2008-062 Gallatin County Fire Protection Mutual Aid Agreement -1997 Fire Mutual Aid General Agreement between NPS & GCSO Mutual Aid and Legal Authority for Yellowstone NP GCC 2008-144
MTWARN Public Works Mutual Aid South Central Zone Annual Operating Plan Wildland Coordination E. REFERENCES Name Description Legal Cooperative Fire Control Agreement Gallatin County/DNRC
Wildland Agreement GCC 2008-174 Gallatin County Community Wildfire Protection Plan GCC 2009-177 Gallatin County Fire Council Standard Operating Procedures IMAS Local Government disaster
Information Manual Montana Disaster and Emergency Coordination Plan Montana Hazardous Materials Response Plan National Incident Management System HSPD-5 National Response Framework F.
KEY BAC Bozeman Administrative Code BAO Bozeman Administrative Order BCC Belgrade City Charter BCO Bozeman City Ordinance CFR Code of Federal Regulation GCC Gallatin County Contract
GCPM Gallatin County Personnel Manual HSPD Homeland Security Presidential Directive MCA Montana Code Annotated MTC Manhattan Town Code MTO Manhattan Town Ordinance Redacted Version
Gallatin County EMP, 05/18/11, Page BP9 Basic Plan PL Public Law TCC Three Forks City Code USC United States Code IV. PURPOSE 1) This Emergency Management Plan (EMP) outlines our approach
to emergency operations and is applicable to Gallatin County and the cities within it. The plan provides general guidance for emergency management activities and an overview of our methods
of mitigation, preparedness, response, and recovery. 2) This plan also describes our emergency response organization and assigns responsibilities for various emergency tasks. It is intended
to provide a framework for more specific functional annexes that describe in detail who does what, when, and how. This plan applies to all local officials, departments, and agencies.
3) The primary audience for this document includes our Principal Executive Officers (PEO) and other elected officials, emergency management staff, department and agency heads and their
senior staff members, leaders of local volunteer organizations that support emergency operations, and others who may participate in our mitigation, preparedness, response and recovery
efforts. V. EXPLANATION OF TERMS A. ACRONYMS AAR After Action Review ARC American Red Cross CFR Code of Federal Regulations DHS Department of Homeland Security EMP Emergency Management
Plan EOC Emergency Operations Center FBI Federal Bureau of Investigation FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center (aka EOC) Hazmat Hazardous
Material HSPD-5 Homeland Security Presidential Directive 5 ICP Incident Command Post ICS Incident Command System JFO Joint Field Office JIS Joint Information System NIMS National Incident
Management System Redacted Version
Gallatin County EMP, 05/18/11, Page BP10 NRF National Response Framework OSHA Occupational Safety & Health Administration PEO Principal Executive Officer PIO Public Information Officer
SOP Standard Operating Procedures B. DEFINITIONS Area Command (Unified Area Command) An organization established (1) to oversee the management of multiple incidents that are each being
managed by an Incident Command System (ICS) or (2) to oversee the management of large or multiple incidents to which several incident management teams have been assigned. The Area Command
sets overall strategy and priorities, allocates critical resources according to priorities, ensures that incidents are properly managed, and ensures that objectives are met and strategies
followed. Area Command becomes Unified Area Command when incidents are multijurisdictional. Gallatin County Coordination Center Specially equipped facilities, also known as the Emergency
Operations Center (EOC), from which government officials exercise direction and control as well as coordinate necessary resources. Public Information Information that is disseminated
to the public via the news media before, during and/or after an emergency or disaster. Principal Executive Officer Head elected official for a given jurisdiction such as a mayor or chairman
of a commission. Individual must be an elected official to be capable of meeting state, federal law, and legal opinions. Emergency Situations This term, as used in this plan, is intended
to describe a range of occurrences from a minor incident to a catastrophic disaster. It includes the following: Incident An incident is a situation that is limited in scope and potential
effects. Characteristics of an incident include: a) Involves a limited area and/or limited population b) Evacuation or in-place sheltering is typically limited to the immediate area
of the incident Redacted Version
Gallatin County EMP, 05/18/11, Page BP11 Basic Plan c) Warning and public instructions are provided in the immediate area, not community-wide d) One or two local response agencies or
departments, acting under an Incident Commander, normally handle the incident e) Requests for resource support are normally handled through agency and/or departmental channels f) May
require limited external assistance from other local response agencies or contractors g) For the purposes of the National Response Framework (NRF), incidents include the full range of
occurrences that require an emergency response to protect life or property Emergency An emergency is a situation that is larger in scope and more severe in terms of actual or potential
effects than an incident. Characteristics include: a) Involves a large area, significant population, or important facilities b) May require implementation of large-scale evacuation or
in-place sheltering and implementation of temporary shelter and mass care operations c) May require community-wide warning and public instructions d) Requires a sizable multi-agency
response operating under an incident management structure e) May require some external assistance from other local response agencies and contractors as well as limited assistance from
state or federal agencies f) The Gallatin County Coordination Center (GCCC) may be activated to provide general guidance and direction, coordinate external support, and provide resource
support for the incident g) For the purposes of the NRF, an emergency (as defined by the Stafford Act) is “any occasion or instance for which, in the determination of the President,
federal assistance is needed to supplement state and local efforts and capabilities to save lives and to protect property, public health and safety, or to lessen or avert the threat
of catastrophe in any part of the United States.” Redacted Version
Gallatin County EMP, 05/18/11, Page BP12 Disaster A disaster involves the occurrence or threat of significant casualties and/or widespread property damage that is beyond the capability
of the local government to handle with its organic resources. Characteristics include: a) Involves a large area, a sizable population and/or important facilities b) May require implementation
of large-scale evacuation or in-place sheltering and implementation of temporary shelter and mass care operations c) Requires community-wide warning and public instructions d) Requires
a response by all local response agencies operating under one or more incident commanders e) Requires significant external assistance from other local response agencies, contractors,
and extensive state or federal assistance f) The GCCC may be activated to provide general guidance and direction, provide emergency information to the public, coordinate state and federal
support, and coordinate resource support for emergency operations g) For the purposes of the NRF, a major disaster (as defined by the Stafford Act) is "any catastrophe, regardless of
the cause, which in the determination of the President causes damage of sufficient severity and magnitude to warrant major federal disaster assistance." Catastrophic Incident For the
purposes of the NRF, this term is used to describe any natural or manmade occurrence that results in extraordinary levels of mass casualties, property damage, or disruptions that severely
affect the population, infrastructure, environment, economy, national morale, and/or government functions. An occurrence of this magnitude would result in sustained national impacts
over prolonged periods of time and would immediately overwhelm local and state capabilities. All catastrophic incidents are Incidents of National Significance. Hazard Analysis A document,
published separately from this plan, that identifies the local hazards that have caused or have the potential to adversely affect public health and safety, public or private property,
or the environment. Hazardous Material (Hazmat) Redacted Version
Gallatin County EMP, 05/18/11, Page BP13 Basic Plan A substance in a quantity or form posing an unreasonable risk to health, safety and/or property when manufactured, stored, or transported.
The substance, by its nature, containment, and reactivity, has the capability for inflicting harm during an accidental occurrence, is toxic, corrosive, flammable, reactive, an irritant,
or a strong sensitizer, and poses a threat to health and the environment when improperly managed. The term includes toxic substances, certain infectious agents, radiological materials,
and other related materials such as oil, used oil, petroleum products, and industrial solid waste substances. Incident of National Significance An actual or potential high-impact event
that requires a coordinated and effective response by an appropriate combination of federal, state, local, tribal, nongovernmental, and/or private sector entities to save lives and minimize
damage and to provide the basis for long-term communication recovery and mitigation activities. Stafford Act The Robert T. Stafford Disaster Relief and Emergency Assistance Act authorizes
federal agencies to undertake special measures designed to assist the efforts of states in expediting the rendering of aid, assistance, emergency services, and reconstruction and rehabilitation
of areas devastated by disaster. Standard Operating Procedures (SOP) Approved methods for accomplishing a task or set of tasks. SOP are typically prepared at the department or agency
level and may also be referred to as Standard Operating Guidelines (SOG). VI. SITUATION & ASSUMPTIONS A. SITUATION Our county is exposed to many hazards, all of which have the potential
for disrupting the community, causing casualties, and damaging or destroying public or private property. A summary of our major hazards is provided below. More detailed information is
provided in our Hazard Analysis, which is published separately. (This space intentionally left blank.) Redacted Version
Gallatin County EMP, 05/18/11, Page BP14 HAZARD SUMMARY (From the Pre-Disaster Mitigation Plan, which is to be updated the Summer of 2010) Hazard Probability of Major Disaster Property
Impact Population Impact Economic Impact Future Development Impact Relative Overall Risk Wildfire High High Moderate Moderate High High Earthquake High High Moderate High Moderate High
Hazardous Materials Release High Low High High Low High Flooding Moderate Moderate Moderate Moderate High Moderate Communicable Disease & Bioterrorism Moderate Low High High Low Moderate
Drought High Low Low High Moderate Moderate Winter Storms & Extended Cold Moderate Low High Moderate Low Moderate Utility Outage Moderate Low High Moderate Low Moderate Severe Thunderstorms,
Wind & Tornadoes Moderate Moderate Moderate Moderate Moderate Moderate Ground Transportation Accident Moderate Low Moderate Low Low Moderate Dam Failure Moderate Moderate Moderate Low
Moderate Low Aviation Accident Moderate Low Moderate Low Low Low Terrorism, Civil Unrest & & Violence Low Low Moderate Moderate Low Low Railroad Accident Moderate Low Low Low Low Low
Volcano Low Moderate Moderate Moderate Low Low Avalanche & Landslide Moderate Low Low Low Moderate Low Redacted Version
Gallatin County EMP, 05/18/11, Page BP15 Basic Plan B. ASSUMPTIONS 1) Our county will continue to be exposed and subject to the impact of those hazards described above as well as lesser
hazards and others that may develop in the future. 2) It is possible for a major disaster to occur at any time and at any place. In many cases, dissemination of warning to the public
and implementation of increased readiness measures may be possible. However, some emergency situations occur with little or no warning. 3) Outside assistance will be available in most
emergency situations affecting our county. Since it takes time to summon external assistance, it is essential for us to be prepared to carry out the initial emergency response on an
independent basis. 4) Proper mitigation actions, such as floodplain management and fire inspections, can prevent or reduce disaster-related losses. Detailed emergency planning, training
of emergency responders and other personnel, and conducting periodic emergency drills and exercises can improve our readiness to deal with emergency situations. VII. CONCEPT OF OPERATIONS
A. OBJECTIVE The objective of our emergency management program is to protect public health and safety and to preserve public and private property. B. GENERAL 1) It is our responsibility
to protect public health and safety, and preserve property from the effects of hazardous events. We have the primary role in identifying and mitigating hazards, preparing for, responding
to, and managing the recovery from emergency situations that affect our community. 2) It is impossible for government to do everything that is required to protect the lives and property
of our population. Our citizens have the responsibility to prepare themselves and their families to cope with emergency situations and manage their affairs and property in ways that
will aid the government in managing emergencies. We will assist our citizens in carrying out these responsibilities by providing public information and instructions prior to and during
emergency situations. Redacted Version
Gallatin County EMP, 05/18/11, Page BP16 3) Local government is responsible for organizing, training and equipping local emergency responders and emergency management personnel, providing
appropriate emergency facilities, providing suitable warning and communications systems, and for contracting for emergency services. State and federal governments offer programs that
provide some assistance with portions of these responsibilities. 4) To achieve our objectives, we have organized an emergency management program that is both integrated (employs the
resources of government, organized volunteer groups, and businesses) and comprehensive (addresses mitigation, preparedness, response, and recovery). This plan is one element of our preparedness
activities. 5) This plan is based on an all-hazard approach to emergency planning. It addresses general functions that may need to be performed during any emergency situation and is
not a collection of plans for specific types of incidents. For example, the warning annex addresses techniques that can be used to warn the public during any emergency situation, whatever
the cause. 6) Departments and agencies tasked in this plan are expected to develop and keep current standard operating procedures that describe how emergency tasks will be performed.
Departments and agencies are charged with ensuring that the training and equipment necessary for an appropriate response are in place. 7) This plan is based upon the concept that the
emergency functions that must be performed by many departments or agencies generally parallel some of their normal day-to-day functions. To the extent possible, the same personnel and
material resources used for day-to-day activities will be employed during emergency situations. Because personnel and equipment resources are limited, some routine functions that do
not contribute directly to the emergency may be suspended for the duration of an emergency. The personnel, equipment, and supplies that would normally be required for those functions
will be redirected to accomplish emergency tasks. 8) We have adopted the National Incident Management System (NIMS) in accordance with the President’s Homeland Security Directive 5 (HSPD-5).
Our adoption of NIMS will provide a consistent approach to the effective management of situations involving natural or man-made disasters or terrorism. NIMS allows us to integrate our
response activities using a set of standardized organizational structures designed to improve interoperability between all levels of government, private sector, and nongovernmental organizations.
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Gallatin County EMP, 05/18/11, Page BP17 Basic Plan 9) This plan, in accordance with the National Response Framework (NRF), is an integral part of the national effort to prevent and
reduce America’s vulnerability to terrorism, major disasters, and other emergencies, to minimize the damage, and improve recovery from attacks, major disasters and other emergencies
that occur. In the event of an Incident of National Significance, as defined in HSPD-5, we will integrate all operations with all levels of government, private sector, and nongovernmental
organizations through the use of NRF coordinating structures, processes, and protocols. C. OPERATIONAL GUIDANCE 1) We will employ the six components of the NIMS in all operations, which
will provide a standardized framework that facilitates our operations in all phases of emergency management. Attachment D provides further details on the NIMS. 2) Initial Response: Our
emergency responders are likely to be the first on the scene of an emergency situation. They will normally take charge and remain in charge of the incident until it is resolved or until
others, who have the legal authority to do so, assume responsibility. They will seek guidance and direction from our local officials and seek technical assistance from state and federal
agencies and industry where appropriate. 3) Implementation of ICS: The first local emergency responder to arrive at the scene of an emergency situation will implement the incident command
system and serve as the incident commander unless relieved by a more senior or more qualified individual. The Incident Commander will establish an Incident Command Post (ICP), provide
an assessment of the situation to local officials, identify the required response resources, and direct the onscene response from the ICP. 4) Source and Use of Resources: We will use
our own resources, which meet the requirements for resource management in accordance with the NIMS, to respond to emergency situations, purchase supplies and equipment if necessary,
and request assistance if our resources are insufficient or inappropriate. If additional resources are required, we will: a) Summon those resources available to us pursuant to Mutual
Aid statutes as outlined in the table Authority Summary. b) Summon emergency service resources for which we have agreements as outlined in the Authority Summary table of this document.
c) Request assistance from Volunteer Organizations Active in Disasters (VOAD). Redacted Version
Gallatin County EMP, 05/18/11, Page BP18 d) Request assistance from industry or individuals who have resources needed to deal with the emergency situation. 5) When external agencies
respond to an emergency situation within our jurisdiction, we expect them to conform to the guidance and direction provided by our Incident Commander, which will be in accordance with
the NIMS. D. INCIDENT COMMAND SYSTEM (ICS) 1) We intend to employ ICS, an integral part of the NIMS, in managing emergencies. ICS is both a strategy and a set of organizational arrangements
for coordinating field operations. It is designed to effectively integrate resources from different agencies into a temporary emergency organization at an incident site that can expand
and contract with the magnitude of the incident and resources on hand. 2) The Incident Commander is responsible for carrying out the ICS function of command and for managing the incident.
The four other major management activities that form the basis of ICS are operations, planning, logistics, and finance/administration. For small-scale incidents, the Incident Commander
and one or two individuals may perform all of these functions. For larger incidents, a number of individuals from different departments or agencies may perform those functions. 3) An
Incident Commander using response resources from one or two departments or agencies can handle the majority of emergency situations. Departments or agencies participating in this type
of incident response will normally obtain support through their own department or agency. 4) In emergency situations where other jurisdictions or the state or federal government are
providing significant response resources or technical assistance, it is generally desirable to transition from the normal ICS structure to a Unified or Area Command structure. This arrangement
helps to ensure that all participating agencies are involved in developing objectives and strategies to deal with the emergency. E. ICS-GCCC INTERFACE 1) For major emergencies and disasters,
the Gallatin County Coordination Center (GCCC) will be activated. When the GCCC is activated, it is essential to establish a division of responsibilities between the Incident Command
Post (ICP) and the GCCC. A general division of responsibilities is outlined below. It is essential that a precise division of responsibilities be determined for specific emergency operations.
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Gallatin County EMP, 05/18/11, Page BP19 Basic Plan 2) The Incident Commander is generally responsible for field operations, including: a) Isolating the scene b) Coordinating the on-scene
response to the emergency situation and managing the emergency resources committed there c) Warning the population in the area of the incident and providing emergency instructions to
them d) Determining and implementing protective measures (evacuation or inplace sheltering) for the population in the immediate area of the incident and for emergency responders at the
scene e) Implementing traffic control arrangements in and around the incident scene f) Requesting additional resources from the GCCC 3) The GCCC is generally responsible for: a) Providing
resource support for the incident command operations b) Issuing community-wide warning c) Issuing instructions and providing information to the general public d) Organizing and implementing
large-scale evacuation e) Organizing and implementing shelter and mass arrangements for evacuees f) Coordinating traffic control for large-scale evacuations g) Requesting assistance
from the state and other external sources 4) In some large-scale emergencies or disasters, emergency operations with different objectives may be conducted at geographically separated
scenes. In such situations, more than one incident command operation may be established. If this situation occurs, a transition to an Area Command or a Unified Area Command is desirable,
and the allocation of resources to specific field operations can be coordinated through the GCCC. Redacted Version
Gallatin County EMP, 05/18/11, Page BP20 F. FEDERAL, STATE & OTHER ASSISTANCE State & Federal Assistance 1) If local resources are inadequate to deal with an emergency situation, we
will request assistance from the State. State assistance furnished to local governments is intended to supplement local resources, including mutual aid resources, equipment purchases
or leases, or resources covered by emergency service contracts, and should not substitute for such resources. 2) Requests for state assistance should be made to the Montana Disaster
and Emergency Services Duty Officer. A request for state assistance must be made by the Principal Executive Officer (PEO) of the affected jurisdiction and may be made by telephone, fax,
or Teletype. Verbal requests for assistance must be followed by a written request including the emergency or disaster declaration. Other Assistance 1) If resources required to control
an emergency situation are not available within the State, the Governor may request assistance from other other states Redacted Version
Gallatin County EMP, 05/18/11, Page BP21 Basic Plan pursuant to (EMAC), interstate compacts, or from the federal government through the Federal Emergency Management Agency (FEMA). 2)
For major emergencies and disasters for which a Presidential declaration has been issued, federal agencies may be mobilized to provide assistance to states and local governments. The
National Response Framework (NRF) describes the policies, planning assumptions, concept of operations, and responsibilities of designated federal agencies for various response and recovery
functions. The Nuclear/Radiological Incident Annex of the NRF addresses the federal response to major incidents involving radioactive materials. 3) FEMA has the primary responsibility
for coordinating federal disaster assistance. No direct federal disaster assistance is authorized prior to a Presidential emergency or disaster declaration, but FEMA does have limited
authority to stage initial response resources near the disaster site and activate command and control structures prior to a declaration. The Department of Defense has the authority to
commit its resources to save lives prior to an emergency or disaster declaration. See Annex J (Recovery) for additional information on assistance that may be available during disaster
recovery. 4) The NRF applies to Stafford and non-Stafford Act incidents and is designed to accommodate not only actual incidents but also the threat of incidents. Therefore, NRF implementation
is possible under a greater range of incidents. G. EMERGENCY AUTHORITIES 1) Key federal, state, and local legal authorities pertaining to emergency management are outlined in section
(III) Authority. 2) Montana statutes relating to emergency management provide local government, principally the PEO, with a number of powers to control emergency situations. If necessary,
we shall use these powers during emergency situations. These powers include: a) Emergency Declaration: In the event of an emergency, the PEO may issue an emergency declaration for this
jurisdiction and take action to control the situation. Use of the emergency declaration is explained in Annex T (Legal). b) Disaster Declaration: When an emergency situation has caused
severe damage, injury, or loss of life, or it appears likely to do so, the PEO may, by executive order or proclamation, declare a local state of disaster. The affected jurisdictions
subsequently issue orders or Redacted Version
Gallatin County EMP, 05/18/11, Page BP22 proclamations referencing that declaration to invoke certain emergency powers granted to the PEO in order to cope with the disaster. These powers
include: i. Levy of an emergency tax not to exceed 2 mills ii. Direct and compel the evacuation of all or parts of the population iii. Control the ingress and egress to and from an area
c) A local disaster declaration activates this plan. A local disaster declaration is required to obtain state and federal disaster recovery assistance. See Annex T (Legal) for further
information on disaster declarations and procedures for invoking emergency powers. d) Authority for Evacuations: State law provides that the PEO may direct and compel the evacuation
of all or parts of the population as outlined in section (III) Authority. H. PHASES OF MANAGEMENT 1) This plan addresses emergency actions that are conducted during all four phases of
emergency management. 2) Mitigation: We will conduct mitigation activities as an integral part of our emergency management program. Mitigation is intended to eliminate hazards, reduce
the probability of hazards causing an emergency situation, or lessen the consequences of unavoidable hazards. Mitigation should be a pre-disaster activity, although mitigation may also
occur in the aftermath of an emergency situation with the intent of avoiding repetition of the situation. Our mitigation program is outlined in Annex P (Hazard Mitigation). 3) Preparedness:
We will conduct preparedness activities to develop the response capabilities needed in the event of an emergency. The preparedness activities included in our emergency management program
include: a) Providing emergency equipment and facilities b) Emergency planning, including maintaining this plan, its annexes, and appropriate SOP c) Conducting or arranging appropriate
training for emergency responders, emergency management personnel, other local officials, and volunteer groups who assist us during emergencies Redacted Version
Gallatin County EMP, 05/18/11, Page BP23 Basic Plan d) Conducting periodic drills and exercises to test our plans and training 4) Response: We will respond to emergency situations effectively
and efficiently. The focus of most of this plan and its annexes is on planning for the response to emergencies. Response operations are intended to resolve an emergency situation while
minimizing casualties and property damage. Response activities include warning, emergency medical services, firefighting, law enforcement operations, evacuation, shelter and mass care,
emergency public information, search and rescue, as well as other associated functions. 5) Recovery: If a disaster occurs, we will carry out a recovery program that involves both short-term
and long-term efforts. Short-term operations seek to restore vital services to the community and provide for the basic needs of the public. Long-term recovery focuses on restoring the
community to its normal state. The federal government, pursuant to the Stafford Act, provides the vast majority of disaster recovery assistance. The recovery process includes assistance
to individuals, businesses, and to government and other public institutions. Examples of recovery programs include temporary housing, restoration of government services, debris removal,
restoration of utilities, disaster mental health services, and reconstruction of damaged roads and bridges. Our recovery program is outlined in Annex J (Recovery). VIII. ORGANIZATION
& ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Most departments and agencies of local government have emergency functions in addition to their normal day-to-day duties. During emergency
situations, our normal organizational arrangements are modified to facilitate emergency operations. Our governmental organization for emergencies includes an executive group, emergency
services, and support services. 2) Executive Group: The Executive Group provides guidance and direction for emergency management programs and for emergency response and recovery operations.
The Executive Group includes the County Commission, Mayor(s), City/County Manager(s), and Emergency Manager(s). The Executive Group is responsible for setting priorities. They should
be available at a single location to make policy decisions. 3) Emergency Services: Emergency Services include the Incident Commander and those departments, agencies, and groups with
primary emergency Redacted Version
Gallatin County EMP, 05/18/11, Page BP24 response actions. The Incident Commander is the person in charge at an incident site. 4) Emergency Support Services: This group includes departments
and agencies that support and sustain emergency responders and also coordinate emergency assistance provided by organized volunteer organizations, business and industry, and other sources.
5) Volunteer and Other Services: This group includes organized volunteer groups and businesses that have agreed to provide certain support for emergency operations. B. ASSIGNMENT OF
RESPONSIBILITIES 1) For most emergency functions, successful operations require a coordinated effort from a number of departments, agencies, and groups. To facilitate a coordinated effort,
officials and personnel are assigned primary responsibility for planning and coordinating specific emergency functions. Generally, primary responsibility for an emergency function will
be assigned to an individual from the department or agency that has legal responsibility for that function or possesses the most appropriate knowledge and skills. Other officials, departments,
and agencies may be assigned support responsibilities for specific emergency functions. 2) The individual having primary responsibility for an emergency function is also typically responsible
for preparing and maintaining the portion of the emergency plan that addresses that function. Plan and annex assignments are outlined in Attachment E. Listed below are general responsibilities
assigned to the Executive Group, Emergency Services, Support Services, and other Support Agencies. Additional responsibilities can be found in the functional annexes that accompany this
plan. 3) Executive Group Responsibilities a) The Principal Executive Officer (PEO) will: i. Establish objectives and priorities for the emergency management program and provide general
policy guidance on the conduct of that program ii. Monitor the emergency response during disaster situations and provide direction, where appropriate, on policy decisions iii. With the
assistance of the Public Information Officer (PIO), keep the public informed during emergency situations Redacted Version
Gallatin County EMP, 05/18/11, Page BP25 Basic Plan iv. With the assistance of legal staff, declare a local state of disaster, request the Governor declare a state of emergency, or invoke
the emergency powers of government when necessary. v. Request assistance from other local governments or the state when necessary vi. Direct activation of the GCCC b) The County Administrator/City
Manager will: i. Implement the policies and decisions of the governing body relating to emergency management ii. Assign emergency management program tasks to departments and agencies
iii. Ensure that departments and agencies participate in emergency planning, training, and exercise activities iv. Coordinate the operational response of local emergency services v.
Coordinate activation of the GCCC c) The Emergency Manager will: i. Serve as the staff advisor to the PEO on emergency management matters ii. Keep the elected governing body apprised
of our preparedness status and emergency management needs iii. Coordinate local planning and preparedness activities and the maintenance of this plan iv. Prepare and maintain a resource
inventory v. Arrange appropriate training for local emergency management personnel and emergency responders vi. Coordinate periodic emergency exercises vii. Manage the GCCC, develop
procedures for its operation, and conduct training for those who staff it Redacted Version
Gallatin County EMP, 05/18/11, Page BP26 viii. Liaison with the state emergency management staff and other local emergency personnel ix. Coordinate with organized volunteer groups and
businesses regarding emergency operations 4) Common Responsibilities a) All emergency services and support services will: i. Provide personnel, equipment, and supplies to support emergency
operations upon request. ii. Develop and maintain SOP for emergency tasks iii. Provide trained personnel to staff the incident command post and GCCC and conduct emergency operations
iv. Provide current information on emergency resources for inclusion in Annex M (Resource & Donations Management) v. Report information regarding emergency situations and damage to facilities
and equipment to the Incident Commander or the GCCC. 5) Emergency Services Responsibilities a) The Incident Commander will: i. Manage emergency response resources and operations at the
incident site command post to resolve the emergency situation ii. Determine and implement required protective actions for response personnel and the public at an incident site 6) Annexes
a) Annex A (Warning): Primary responsibility for this function is assigned to the Emergency Manager, who will prepare and maintain Annex A (Warning) and supporting SOP. Emergency tasks
to be performed include: i. Receive information on emergency situations ii. Alert key local officials of emergency situations Redacted Version
Gallatin County EMP, 05/18/11, Page BP27 Basic Plan iii. Disseminate warning information and instructions to the public through available warning systems iv. Disseminate warning and
instructions to special facilities such as schools and hospitals b) Annex B (Communications): Primary responsibility for this function is assigned to the 911 Director, who will prepare
and maintain Annex B (Communications) and supporting SOP. Emergency tasks to be performed include: i. Identify the communications systems available with the local area, determine the
connectivity of those systems and ensure their interoperability ii. Develop plans and procedures for coordinated use of the various communications systems available in this jurisdiction
during emergencies iii. Determine and implement means of augmenting communications during emergencies, including support by volunteer organizations c) Annex C (Shelter & Mass Care):
Primary responsibility for this function is assigned to American Red Cross, who will prepare and maintain Annex C (Shelter and Mass Care) and supporting SOP. Emergency tasks to be performed
include: i. Perform emergency shelter and mass care planning ii. Coordinate and conduct shelter and mass care operations with our other departments, relief agencies, and volunteer groups
d) Annex D (Radiological): Primary responsibility for this function is assigned to the Fire Protection Agencies Having Jurisdiction who will prepare and maintain Annex D (Radiological)
and supporting SOP. Emergency tasks to be performed include: i. Maintain inventory of radiological equipment ii. Ensure response forces include personnel with current training in radiological
monitoring and decontamination iii. Respond to radiological incidents and terrorist incidents involving radiological materials Redacted Version
Gallatin County EMP, 05/18/11, Page BP28 iv. Make notification concerning radiological incidents to state and federal authorities e) Annex E (Evacuation): Primary responsibility for
this function is assigned to the Law Enforcement Agencies Having Jurisdiction who will prepare and maintain Annex E (Evacuation) and supporting SOP. Emergency tasks to be performed include:
i. Identify areas where evacuation has been or may in the future and determine of population at risk ii. Perform evacuation planning for known risk areas to include route selection and
determination of traffic control requirements iii. Develop simplified planning procedures for ad hoc evacuations iv. Determine emergency public information requirements v. Perform evacuation
planning for special needs facilities (schools, hospitals, nursing homes, and other institutions) f) Annex F (Firefighting): Primary responsibility for this function is assigned to the
Fire Protection Agencies having Jurisdiction who will prepare and maintain Annex F (Firefighting) and supporting SOP. Emergency tasks to be performed include: i. Fire prevention, detection,
and control ii. Hazardous material and oil spill response iii. Terrorist incident response iv. Evacuation support v. Post-incident reconnaissance and damage assessment vi. Fire safety
inspection of temporary shelters vii. Prepare and maintain fire resource inventory g) Annex G (Law Enforcement): Primary responsibility for this function is assigned to the Law Enforcement
Agencies Having Jurisdiction who will prepare and maintain Annex G (Law Enforcement) and supporting SOP. Emergency tasks to be performed include: i. Maintenance of law and order Redacted
Version
Gallatin County EMP, 05/18/11, Page BP29 Basic Plan ii. Traffic control iii. Terrorist incident response iv. Provision of security for vital facilities, evacuated areas, and shelters
v. Access control for damaged or contaminated areas vi. Warning support vii. Post-incident reconnaissance and damage assessment viii. Prepare and maintain law enforcement resource inventory
ix. Coordinate collection, identification, and interment of deceased victims h) Annex H (Health & Medical Services): Primary responsibility for this function is assigned to the Public
Health Officer who will prepare and maintain Annex H (Health & Medical Services) and supporting SOP. Emergency tasks to be performed include: i. Coordinate health and medical care and
EMS support during emergency situations ii. Public health information and education iii. Inspection of food and water supplies iv. Develop emergency public health regulations and orders
i) Annex I (Public Information): Primary responsibility for this function is assigned to the Agency Having Jurisdiction, who will prepare and maintain Annex I (Public Information) and
supporting SOP. Emergency tasks to be performed include: i. Establish a Joint Information Center (JIC), as needed ii. Conduct on-going hazard awareness and public education programs
iii. Pursuant to the Joint Information System (JIS), compile and release information and instructions for the public during Redacted Version
Gallatin County EMP, 05/18/11, Page BP30 iv. Provide information to the media and the public during emergency situations v. Arrange for media briefings vi. Compiles print and photo documentation
of emergency situations j) Annex J (Recovery): Primary responsibility for this function is assigned to the Emergency Manager, who will prepare and maintain Annex J (Recovery) and supporting
SOP. Emergency tasks to be performed include: i. Establishes assessment team and coordinates its efforts k) Annex K (Community Infrastructure): Primary responsibility for this function
is assigned to the City/County Engineer and the Public Works Director, who will prepare and maintain Annex K (Community Infrastructure) and supporting SOP. Emergency tasks to be performed
include: i. Protect government facilities and vital equipment where possible ii. Arrange for the provision of emergency power sources where required iii. Identify requirements for emergency
drinking water and portable toilets to the department or agency responsible for mass care iv. Provide specialized equipment to support emergency operations v. Direct temporary repair
of vital facilities vi. Monitor recovery activities of privately owned utilities vii. Assess damage to streets, bridges, traffic control devices, and other public facilities viii. Restore
damaged roads and bridges Redacted Version
Gallatin County EMP, 05/18/11, Page BP31 Basic Plan ix. Restore waste treatment and disposal systems x. Arrange for debris removal xi. General damage assessment support xii. Building
inspection support xiii. Support traffic control and search and rescue operations l) Annex M (Resource & Donations Management): Primary responsibility for this function is assigned to
the Emergency Manager, who will prepare and maintain Annex M (Resource & Donations Management) and supporting SOP. Emergency tasks to be performed include: i. Maintain an inventory of
emergency resources ii. During emergency operations, locates supplies, equipment, and personnel to meet specific needs iii. Maintain a list of suppliers for supplies and equipment needed
immediately in the aftermath of an emergency iv. Establish emergency purchasing procedures and coordinate emergency procurements v. Establish and maintain a manpower reserve and coordinate
assignment of reserve personnel to departments and agencies that require augmentation vi. Compile resource requirements identified by the Resource Management staff vii. Solicit donations
to meet known needs m) Annex N (Coordination): Primary responsibility for this function is assigned to the Emergency Manager, who will prepare and maintain Annex N (Coordination) and
supporting SOP. Emergency tasks to be performed include: i. Coordinate our local operating forces ii. Maintain coordination with neighboring jurisdictions and partner agencies Redacted
Version
Gallatin County EMP, 05/18/11, Page BP32 iii. Maintain the GCCC in an operating mode or be able to convert the designated facility space into an operable GCCC rapidly iv. Assigns representatives,
by title, to report to the GCCC and develops procedures for crisis training v. Develops and identifies the duties of the staff, use of displays and message forms, and procedures for
GCCC activation vi. Coordinates the evacuation of areas at risk n) Annex O (Human Services): Primary responsibility for this function is assigned to the Volunteer Organizations Active
in Disaster, who will prepare and maintain Annex O (Human Services) and supporting SOP. Emergency tasks to be performed include: i. Identify emergency feeding sites ii. Identify sources
of clothing for disaster victims iii. Secure emergency food supplies iv. Coordinate the operation of shelter facilities, whether operated by local government, local volunteer groups,
or organized disaster relief agencies such as the American Red Cross v. Coordinate special care requirements for disaster victims such as the aged, special needs individuals, and others
vi. Coordinate the provision of disaster mental health services to disaster victims, emergency workers, and/or others suffering trauma due to the emergency incident/disaster o) Annex
P (Hazard Mitigation): Primary responsibility for this function is assigned to the Emergency Manager, who will prepare and maintain Annex P (Hazard Mitigation) to this plan and supporting
SOP. Emergency tasks to be performed include: i. Maintain the local Hazard Analysis ii. Identify beneficial pre-disaster hazard mitigation projects and seek approval from local officials
to implement such projects iii. In the aftermath of an emergency, determine appropriate actions to mitigate the situation and coordinate implementation of those actions Redacted Version
Gallatin County EMP, 05/18/11, Page BP33 Basic Plan iv. Coordinate and carry out post-disaster hazard mitigation program p) Annex Q (Hazardous Materials): Primary responsibility for
this function is assigned to the Fire Protection Agency Having Jurisdiction supported by the Gallatin County HazMat Team, who will prepare and maintain Annex Q (Hazardous Materials)
and supporting SOP. In areas not covered by a recognized Fire Protection Agency, the Gallatin County Sheriff’s Office is considered to have jurisdiction for hazardous materials incidents.
Emergency tasks to be performed include: i. In accordance with OSHA regulations, establish ICS to manage the response to hazardous materials incidents ii. Establish the hazmat incident
functional areas (e.g., Hot Zone, Warm zone, Cold Zone, etc.) iii. Determine and implement requirements for personal protective equipment for emergency responders iv. Initiate appropriate
actions to control and eliminate the hazard in accordance with established hazmat response guidance and SOP v. Determine areas at risk and which public protective actions, if any, should
be implemented vi. Apply appropriate firefighting techniques if the incident has, or may, result in a fire vii. Determines when affected areas may be safely reentered q) Annex R (Search
& Rescue): Primary responsibility for this function is assigned to the Law Enforcement Agency Having Jurisdiction, who will prepare and maintain Annex R (Search and Rescue) and supporting
SOP. Emergency tasks to be performed include: i. Coordinate and conduct search and rescue activities ii. Identify requirements for specialized resources to support rescue operations
iii. Coordinate external technical assistance and equipment support for search and rescue operations Redacted Version
Gallatin County EMP, 05/18/11, Page BP34 r) Annex S (Transportation): Primary responsibility for this function is assigned to the Transportation Director and the School Superintendent,
who will prepare and maintain Annex S (Transportation) and supporting SOP. Emergency tasks to be performed include: i. Identifies local public and private transportation resources and
coordinates their use in emergencies. ii. Coordinates deployment of transportation equipment to support emergency operations. iii. Establishes and maintains a reserve pool of drivers,
maintenance personnel, parts, and tools. iv. Maintains records on use of transportation equipment and personnel for purpose of possible reimbursement. s) Annex U (Legal): Primary responsibility
for this function is assigned to the City and/or County Attorney, who will prepare and maintain Annex U (Legal) and supporting SOP. Emergency tasks to be performed include: i. Advise
local officials on emergency powers of local government and procedures for invoking those measures ii. Review and advise our officials on possible legal issues arising from disaster
operations iii. Prepare and/or recommend resolutions to implement the emergency powers that may be required during and emergency iv. Advise local officials and department heads on record-keeping
requirements and other documentation necessary for the exercising of emergency powers v. Department and agency heads not assigned a specific function in this plan will be prepared to
make their resources available for emergency duty at the direction of our Principal Executive Officers Redacted Version
Gallatin County EMP, 05/18/11, Page BP35 Basic Plan t) Annex V (Terrorist Incident): Primary responsibility for this function is assigned to the Law Enforcement Agency Having Jurisdiction,
who will prepare and maintain Annex V (Terrorist Incident) and supporting SOP. Emergency tasks to be performed include: i. Coordinate and carry out defensive anti-terrorist activities,
including criminal intelligence, investigation, protection of facilities, and public awareness activities ii. Coordinate and
carry out offensive counter-terrorist operations to neutralize terrorist activities iii. Carry out terrorism consequence operations conducted in the aftermath of a terrorist incident
to save lives and protect public and private property iv. Ensure required notification of terrorist incidents is made to state and federal authorities v. Support services responsibilities
VII. COORDINATION A. GENERAL 1) The Principal Executive Officers are responsible for establishing objectives and policies for emergency management and providing general guidance for
disaster response and recovery operations, all in compliance with the NIMS. During disasters, they may carry out these responsibilities from the GCCC. 2) The County Administrator/City
Manager will provide overall direction of the response activities of all their departments. During major emergencies and disaster, s/he will normally carry out these responsibilities
from the GCCC. 3) The Emergency Manager will manage the GCCC. 4) The Incident Commander, assisted by a staff sufficient for the tasks to be performed, will manage the emergency response
at an incident site. 5) During emergency operations, department heads retain administrative control over their employees and equipment. However, personnel and equipment will carry out
mission assignments directed by the Incident Commander. Each department and agency is responsible for having its own operating procedures to be followed during response operations, but
interagency procedures, such a common communications protocol, may be adopted to facilitate coordinated effort. Redacted Version
Gallatin County EMP, 05/18/11, Page BP36 6) If our resources are insufficient or inappropriate to deal with an emergency situation, we may request assistance from other jurisdictions,
organized volunteer groups, or the State. The process for requesting state or federal assistance is covered in this plan in section (V) Concept of Operations; see also the Request for
Assistance form in Annex M (Resource & Donations Management). External agencies are expected to conform to the general guidance and direction provided by our senior decision-makers.
B. EMERGENCY FACILITIES 1) Incident Command Post: An incident command post(s) will be established in the vicinity of the incident site(s), except when an emergency situation threatens
but has not yet occurred or there is no specific hazard impact site (such as a severe winter storm or area-wide utility outage). As noted previously, the Incident Commander will be responsible
for directing the emergency response and managing the resources at the incident scene. 2) Gallatin County Coordination Center: When major emergencies and disasters have occurred or appear
imminent, we will activate our GCCC, which is located at . a) The following individuals are authorized to activate the GCCC: i. Principal Executive Officer. ii. Agency Executive (Fire,
Law, Health, etc…). b) The general responsibilities of the GCCC are to: i. Assemble accurate information on the emergency situation and current resource data to allow local officials
to make informed decisions on courses of action. ii. Working with representatives of emergency services, determine and prioritize required response actions and coordinate their implementation.
iii. Provide logistical support for emergency operations. iv. Suspend or curtail government services, recommend the closure of schools and businesses, and cancellation of public events.
v. Organize and activate large-scale evacuation and mass care operations. Redacted Version
Gallatin County EMP, 05/18/11, Page BP37 Basic Plan vi. Provide emergency information to the public. c) Representatives of those departments and agencies assigned emergency functions
in this plan will staff the GCCC. GCCC operations are addressed in Annex N (Coordination). The interface between the GCCC and the incident command post is described in section (V) Concept
of Operations. d) The alternate coordination centers are located at: i. ii. iii. iv. These facilities will be used if the primary GCCC becomes unusable. e) In addition, we have a mobile
command trailer operated by Gallatin County Fire and a mobile command vehicle operated by Gallatin County Sheriff, both of which may be used as an incident command post. C. LINE OF SUCCESSION
1) Chair of the County Commission: The line of succession for the Chair of the Gallatin County Commission is (GRC 2007-066): a) Chairperson b) Commission Members by seniority c) County
Administrator d) Health Officer 2) City Manager, Belgrade: The line of succession for the City Manager of Belgrade is (BCC 3.02) is the Financial Director. 3) City Manager, Bozeman:
The line of succession for the City Manager of Bozeman is (BAO 2008-03): Redacted Version
Gallatin County EMP, 05/18/11, Page BP38 a) Assistant City Manager (BCO 2.10.010, Ord. 164351) b) Director of Public Services c) Finance Director d) Director of Planning e) Police Chief
f) Fire Chief 4) County Administrator: The line of succession for the County Administrator is (GCR 2007-066): a) Health Officer b) Finance Director 5) Department/Agency Head: The lines
of succession for each department and agency head shall be in accordance with the SOP established by those departments and agencies. 6) Emergency Manager: The line of succession for
the Emergency Manager is Deputy Coordinators by seniority. 7) Mayor, Belgrade: The line of succession for the Mayor of Belgrade is (BCC 2.03 1-6-3-1, Ord. 08-003) is the Deputy Mayor.
8) Mayor, Bozeman: The line of succession for the Mayor of Bozeman is the Deputy Mayor. 9) Mayor, Manhattan: The line of succession for the Mayor of Manhattan is (MTC 1-6-3-1, MTO 08-003)
is the Chair of Council. 10) Mayor, Three Forks: The line of succession for the Mayor of Three Forks is (TCC 1-6-12): a) President of Council b) Vice President of Council 11) Sheriff:
The line of succession for the Sheriff is (MCA 7-32-2122): a) Undersheriff Redacted Version
Gallatin County EMP, 05/18/11, Page BP39 Basic Plan b) Senior Lieutenant VIII. ADMINISTRATION & SUPPORT A. AGREEMENTS & CONTRACTS Should our local resources prove to be inadequate during
an emergency, requests will be made for assistance from other local jurisdictions, other agencies, and industry in accordance with existing mutual-aid agreements and contracts and those
agreements and contracts concluded during the emergency. Such assistance may include equipment, supplies, or personnel. All agreements will be entered into by authorized officials and
should be in writing whenever possible. Agreements and contracts should identify the local officials authorized to request assistance pursuant to those documents. B. REPORTS Hazardous
Materials Spill Reporting If we are responsible for a release of hazardous materials of a type or quantity that must be reported to state and federal agencies, the department or agency
responsible for the spill shall make the required report. See Annex Q, (Hazardous Materials) for for more information. If the party responsible for a reportable spill cannot be located,
the Incident Commander shall ensure that the required report(s) are made. Situation Report A daily situation report should be prepared and distributed by the GCCC during major emergencies
or disasters. See Annex N (Coordination) for the format and instructions for this report. Other Reports Several other reports covering specific functions are described in the annexes
to this plan. C. RECORDS Record Keeping for Emergency Operations Our county/city is responsible for establishing the administrative controls necessary to manage the expenditure of funds
and to provide reasonable accountability and justification for expenditures made to support emergency operations. This shall be done in accordance with the established local fiscal policies
and standard cost accounting procedures. Redacted Version
Gallatin County EMP, 05/18/11, Page BP40 Activity Logs The Incident Command Post and the GCCC shall maintain accurate logs recording key response activities, including: a) Activation
or deactivation of emergency facilities b) Emergency notifications to other local governments and to state and federal agencies c) Significant changes in the emergency situation d) Major
commitments of resources or requests for additional resources from external sources e) Issuance of protective action recommendations to the public f) Evacuations g) Casualties h) Containment
or termination of the incident Incident Costs All department and agencies shall maintain records summarizing the use of personnel, equipment, and supplies during the response to day-to-day
incidents to obtain a estimate of annual emergency response costs that can be used as in preparing future department or agency budgets. Emergency or Disaster Costs For major emergencies
or disasters, all departments and agencies participating in the emergency response shall maintain detailed records of costs for emergency operations to include: a) Personnel costs, especially
overtime costs b) Equipment operations costs (mileage, hours, fuel, damage) c) Costs for leased or rented equipment d) Costs for contract services to support emergency operations e)
Costs of specialized supplies expended for emergency operations f) Volunteer hours and donated resources Redacted Version
Gallatin County EMP, 05/18/11, Page BP41 Basic Plan These records may be used to recover costs from the responsible party or insurers or as a basis for requesting financial assistance
for certain allowable response and recovery costs from the state and/or federal government. D. PRESERVATION OF RECORDS 1) In order to continue normal government operations following
an emergency situation, vital records must be protected. These include legal documents as well as property and tax records. The principal causes of damage to records are fire and water;
therefore, essential records should be protected accordingly. Each agency responsible for preparation of annexes to this plan will include protection of vital records in its SOP. 2)
If records are damaged during an emergency situation, we will seek professional assistance to preserve and restore them. E. TRAINING It will be the responsibility of each agency director
to ensure that agency personnel, in accordance with the NIMS, possess the level of training, experience, credentialing, currency, physical and medical fitness, or capability for any
positions they are tasked to fill. F. CONSUMER PROTECTION Consumer complaints regarding alleged unfair or illegal business practices often occur in the aftermath of a disaster. Such
complaints will be referred to the Montana Department of Consumer Protection. G. POST-INCIDENT & EXERCISE REVIEW The Emergency Management Coordinator is responsible for organizing and
conducting a critique following the conclusion of a significant emergency event/incident or exercise. The After Action Report (AAR) will entail both written and verbal input from all
appropriate participants. An Improvement Plan will be developed based on the deficiencies identified, and an individual, department, or agency will be assigned responsibility for correcting
the deficiency and a due date shall be established for that action. Redacted Version
Gallatin County EMP, 05/18/11, Page BP42 IX. PLAN DEVELOPMENT AND MAINTENANCE A. PLAN DEVELOPMENT The County and City Commissions are responsible for approving and promulgating this
plan. B. DISTRIBUTION OF PLANNING DOCUMENTS 1) The County Commission shall determine the distribution of this plan and its annexes. In general, copies of plans and annexes should be
distributed to those individuals, departments, agencies, and organizations tasked in this document. Copies should also be set-aside for the GCCC and other emergency facilities. 2) The
Basic Plan should include a distribution list (See Attachment 1 to this plan) that indicates who receives copies of the basic plan and the various annexes to it. In general, individuals
who receive annexes to the basic plan should also receive a copy of this plan, because the Basic Plan describes our emergency management organization and basic operational concepts.
C. REVIEW The Basic Plan and its annexes shall be reviewed annually by local officials. The County Commission will establish a schedule for annual review of planning documents by those
tasked in them. D. UPDATE 1) This plan will be updated based upon deficiencies identified during actual emergency situations and exercises and when changes in threat hazards, resources
and capabilities, or government structure occur. 2) The Basic Plan and its annexes must be revised or updated by a formal change at least every five years. Responsibility for revising
or updating the Basic Plan is assigned to the Emergency Manager. Responsibility for revising or updating the annexes to this plan is outlined in Section VI.B, Assignment of Responsibilities,
as well as in each annex. 3) Revised or updated planning documents will be provided to all departments, agencies, and individuals tasked in those documents. Redacted Version
Gallatin County EMP, 05/18/11, Page BP43 Basic Plan 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 Basic Plan X X X Warning X X X Communications X X X Shelter
& Mass Care X X X Radiological X X X Evacuation X X X Firefighting X X X Law Enforcement X X X Health & Medical Services X X X Public Information X X X Recovery X X X Community Infrastructure
X X X Resource & Donation Management X X X Coordination X X X Human Services X X X Hazard Mitigation X X X Hazardous Materials X X X Search and Rescue X X X Transportation X X X Legal
X X X Terrorism X X X Redacted Version
Gallatin County EMP, 05/18/11, Page BP44 ATTACHMENT A DISTRIBUTION LIST 911 American Red Cross Auditor City Managers Commissioners Coroner County Sheriff County/City Animal Control County/City
Attorney County/City Health Official Emergency Management Finance Directors Fire Departments Hospitals Human Resource Director Media/Broadcasters Police Chiefs Public Works & Engineering
RACES Officer School Districts Utilities VOAD Weather Service Redacted Version
Gallatin County EMP, 05/18/11, Page BP45 Basic Plan ATTACHMENT B EMERGENCY MANAGEMENT FUNCTIONAL RESPONSIBILITIES Warning Communication Shelter & Mass Care Radiological Protection Evacuation
Firefighting Law Enforcement Health & Medical Services Public Information Recovery Community Infrastructure Resource Management Coordination Human Services Hazard Mitigation Hazmat &
Oil Spill Search & Rescue Transportation Legal Terrorist Incident County/City Manager S S S S S S S S S S S S S S S S S S S S VOAD P P P Elected Official S S S S County/City Attorney's
Office S S P GCEM P P S P S S S S P P S P P P S Finance Director/Auditor S S S Fire Service S S S S P S P S EMS S S Health Department S P S S S Health Care Providers S 911 P P Law Enforcement
S S S S P P S P P Public Works S P S P Search & Rescue S P Media/Broadcasters S S S Utilities P S MSU S S HazMat P S P Coroner P S Redacted Version
Gallatin County EMP, 05/18/11, Page BP46 ATTACHMENT C ANNEX ASSIGMENTS ANNEX ASSIGNED TO Annex A: Warning 911, GCEM Annex B: Communications 911, GCEM Annex C: Shelter & Mass Care VOAD
Annex D: Radiological Hazardous Materials, GCEM Annex E: Evacuation Law Enforcement Annex F: Firefighting Fire Service Annex G: Law Enforcement Law Enforcement Annex H: Health & Medical
Services Health Department, Coroner Annex I: Public Information GCEM Annex J: Recovery GCEM Annex K: Community Infrastructure Public Works, Utilities Annex M: Donations & Resource Management
VOAD Annex N: Coordination GCEM Annex O: Human Services VOAD Annex P: Hazard Mitigation GCEM Annex Q: Hazardous Materials Hazardous Materials, GCEM Annex R: Search & Rescue Law and Fire
Annex S: Transportation Road, Public Works Annex U: Legal City/County Attorney Annex V: Terrorist Incident Law Enforcement Redacted Version
Gallatin County EMP, 05/18/11, Page BP47 Basic Plan ATTACHMENT D NATIONAL INCIDENT MANAGEMENT SYSTEM A. BACKGROUND 1) The NIMS is a comprehensive, national approach to incident management
that is applicable to all jurisdictional levels and across functional disciplines. This system is suitable across a wide range of incidents and hazard scenarios, regardless of size or
complexity. It provides a flexible framework for all phases of incident management, as well as requirements for processes, procedures, and systems designed to improve interoperability.
2) The NIMS is a multifaceted system that provides a national framework for preparing for, preventing, responding to, and recovering from domestic incidents. B. COMPONENTS 1) Command
and Management: The incident management structures employed by NIMS can be used to manage emergency incidents or nonemergency events such as celebrations. The system works equally well
for small incidents and large-scale emergency situations. The system has builtin flexibility to grow or shrink depending on current needs. It is a standardized system, so personnel from
a variety of agencies and geographic locations can be rapidly incorporated into a common management structure. 2) Incident Management System: A system that can be used to manage emergency
incidents or non-emergency events such as celebrations. C. FEATURES OF ICS 1) ICS has a number of features that work together to make it a real management system. Among the primary attributes
of ICS are: a) Common Terminology: ICS requires the use of common terminology, such as the use of standard titles for facilities and positions within an organization, to ensure efficient
and clear communications. b) Organizational Resources: All resources including personnel, facilities, major equipment, and supply items used to support incident management activities
must be “typed” with respect to capability. This typing will minimize confusion and enhance interoperability. Redacted Version
Gallatin County EMP, 05/18/11, Page BP48 c) Manageable Span of Control: Span of control should ideally vary from three to seven. Anything less or more requires expansion or consolidation
of the organization. d) Organizational Facilities: Common terminology is used to define incident facilities, the activities conducted at these facilities, and the organizational positions
that can be found working there. e) Use of Position Titles: All ICS positions have distinct titles. f) Reliance on an Incident Action Plan: The incident action plan, which may be verbal
or written, is intended to provide supervisory personnel a common understanding of the situation and direction for future action. The plan includes a statement of objectives, organizational
description, assignments, and support material such as maps. Written plans are desirable when two or more jurisdictions are involved, when State and/or Federal agencies are assisting
local response personnel, or there has been significant turnover in the incident staff. g) Integrated Communications: Integrated communications includes interfacing disparate communications
as effectively as possible, planning for the use of all available systems and frequencies, and requiring the use of clear text in communications. h) Accountability: ICS is based on an
orderly chain of command, checkin for all responders, and only one supervisor for each responder. D. UNIFIED COMMAND 1) Unified Command is a variant of ICS used when there is more than
one agency or jurisdiction with responsibility for the incident or when personnel and equipment from a number of different agencies or jurisdictions are responding to it. This might
occur when the incident site crosses jurisdictional boundaries or when an emergency situation involves matters for which State and/or Federal agencies have regulatory responsibility
or legal requirements. 2) ICS Unified Command is intended to integrate the efforts of multiple agencies and jurisdictions. The major change from a normal ICS structure is at the top.
In a Unified command, senior representatives of each agency or jurisdiction responding to the incident collectively agree on objectives, priorities, and an overall strategy or strategies
to accomplish objectives; approve a coordinated Incident Action Plan; and designate an Operations Section Chief. The Operations Section Chief is responsible for managing available resources
to achieve objectives. Agency and jurisdictional resources remain under the administrative control of their agencies or jurisdictions, but respond to mission Redacted Version
Gallatin County EMP, 05/18/11, Page BP49 Basic Plan assignments and direction provided by the Operations Section Chief based on the requirements of the Incident Action Plan. 3) The proper
selection of participants to work within a unified command structure will consist of: a) Any agency, jurisdiction or discipline who’s safety of a responder is affected b) Any agency,
jurisdiction or discipline who has customers affected by the event c) Any agency, jurisdiction or discipline who’s workload is affected by the event i) Money already spent ii) Resources
already committed iii) Committed to spend money iv) Committed to providing additional resources The criteria can, and should be reviewed and verified periodically throughout the incident.
Consider using C.A.N. (Conditions, Actions, and Needs) reports as an initial means of exchanging information between agencies. 4) It is the responsibility of the participants in the
unified command group to represent their individual jurisdictions, responders, or customers’ needs. These needs will be the basis for identifying strategic goals and tactical objectives
to mitigate the incident at hand. a) Participants must have either: i) Direct “decision making authority” for the agency ii) Ability to commit money and/or resources OR -iii) Immediate
access to someone within your agency who does have that authority Participants are responsible for ensuring that a cohesive, single voice is obtained for all incident public information
allowing for individual agency specific information to be incorporated. Redacted Version
Gallatin County EMP, 05/18/11, Page BP50 E. AREA COMMAND 1) An Area Command is intended for situations where there are multiple incidents that are each being managed by an ICS organization
or to oversee the management of large or multiple incidents to which several Incident Management Teams have been assigned. Area Command becomes Unified Area Command when incidents are
multijurisdictional. 2) The organization of an Area Command is different from a Unified Command in that there is no operations section, since all operations are conducted onscene, at
the separate ICPs. 3) Multiagency Coordination Systems: Multiagency coordination systems may be required for incidents that require higher level resource management or information management.
The components of multiagency coordination systems include facilities, equipment, EOCs, specific multiagency coordination entities, personnel, procedures, and communications, all of
which are integrated into a common framework for coordinating and supporting incident management. 4) Public Information: The NIMS system fully integrates the ICS Joint Information System
(JIS) and the Joint Information Center (JIC). The JIC is a physical location where public information staff involved in incident management activities can collocate to perform critical
emergency information, crisis communications, and public affairs functions. More information on JICs can be obtained in the Department of Homeland Security (DHS) National Incident Management
System (NIMS) Plan, dated March 2004. 5) Preparedness: Preparedness activities include planning, training, and exercises as well as certification of response personnel, and equipment
acquisition and certification. Activities would also include the creation of mutual aid agreements and Emergency Management Assistance Compacts. Any public information activities such
as publication management would also be preparedness activities. 6) Resource Management: All resources, such as equipment and personnel, must be identified and typed. Systems for describing,
inventorying, requesting, and tracking resources must also be established. 7) Communications and Information Management: Adherence to NIMS standards by all agencies ensures interoperability
and compatibility in communications and information management. Redacted Version
Gallatin County EMP, 05/18/11, Page BP51 Basic Plan 8) Supporting Technologies: This would include any technologies that enhance the capabilities essential to implementing the NIMS.
For instance, voice and data communication systems, resource tracking systems, or data display systems. 9) Ongoing Management and Maintenance: The NIMS Integration Center provides strategic
direction and oversight in support of routine review and continual refinement of both the system and its components over the long term. Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex A : Warning Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Warning Mitigation Preparedness Response Recovery ReadyGallatin.com The Warning Annex describes how the government communicates
with the community during emergencies. Gallatin County 911 Communications and Gallatin County Emergency Management are the primary agencies responsible for this function. This annex
describes the 12 primary methods in which local officials receive notification of incidents, both locally and nationally. 11 primary methods of notifying the community are also addressed
in this annex. Of these 23 methods, guidelines are provided on their best practice uses as well activation procedures. A variety of pre scripted messages for common events are contained
to ensure all the important components of a given event get distributed in the shortest amount of time possible. We fully recognize that the way our communities communicate is changing
rapidly. At the time this document was being drafted several new tools were under development in Gallatin County and the United States. These tools will be employed for warning activities
once they are available and included in the next revision of this annex. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A2 APPROVAL & IMPLEMENTATION ANNEX A: WARNING This annex is hereby approved. This annex is effective immediately and supersedes
all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A3 ANNEX A (WARNING) RECORD OF CHANGES ANNEX A: WARNING Date of Change Date Entered Change Entered By 1 2 3 4 5 6 7 8 9 10 11 12
13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… A6 II. SUPPORTING AGENCIES……………………………………………...…... A6 III. AUTHORITY…….…………………………
……………………………….… A6 IV. PURPOSE……………………………………………………………..……… A7 V. EXPLANATION OF TERMS A. Acronyms…………………………………………….………………… A7 B. Definitions……………………………………………………………… A8 VI. SITUATIONS
& ASSUMPTIONS A. Situation…………………………………………………………...……A8 B. Assumptions…………………………………………………………… A9 VII. CONCEPT OF OPERATIONS A. General………………………………………………………………… A9 B. Receiving Warnings………………………………………
…...……… A10 C. Notification of Local Officials………………………………………… A13 D. Dissemination of Warnings to the Public…………………………… A14 E. Warning Special Facilities & Populations…………………..…………
A17 F. Warnings to Other Governments & Agencies………………...……… A18 G. Phases of Management……….…………………………………….… A18 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. General…………………………………………………………………
A19 B. Assignment of Responsibilities……………………………………… A19 IX. IX. COORDINATION A. General………………………………………………………………… A22 B. Line of Succession…………………………………………….……… A22 X. ADMINISTRATION
& SUPPORT A. Agreement & Contracts…………………………………………….… A22 B. Reports & Records………………………………………………….… A22 C. Maintenance of Equipment……………………………………..…… A23 Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A5 ANNEX A (WARNING) XI. ANNEX DEVELOPMENT & MAITENANCE A. Development…………………………………………………...……… A23 B. Maintenance……………………………………………………….......
A23 ATTACHMENTS A. Distribution List……………………………………………..………... B. Emergency Notification Matrix……………………………………… A24 C. National Warning Messages………………………………………... A25 D. Pre-Scripted Warning
Messages…………………………………… A27 E. 211 Service Activation Procedures………………………………… A36 F. 511 Service Activation Procedures………………………………… A37 G. A Child is Missing (ACIM) Activation Procedures…………………
A38 H. AMBER Alert Activation Procedures……………………………….. A39 I. Emergency Alert System (EAS) Activation Procedures…………. A40 J. Emergency Preparedness Notification System (EPNS) Activation
Procedures……………………………………………………………. A42 K. Gallatin County Information Line Activation Procedures………… A44 L. Gallatin County Information Website Activation Procedures……. A45 M. HARP Activation
Procedures……………………………………….. A46 N. Montana State University……………………………………………. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A6 ANNEX A: WARNING I. PRIMARY AGENCIES Gallatin County Emergency Management, Gallatin County 911 Communications II. SUPPORTING
AGENCIES Broadcasters, EMS, Fire, Law Enforcement, Local Elected Officials, National Weather Service III. AUTHORITY A. FEDERAL Name Description Legal FCC Rules & Regulations Emergency
Alert System 47 USC 151, 154 (i) and (o), 303 (r), 527 (g) and 606; 47 CFR Part 1 Robert T. Stafford Disaster & Emergency Assistance Act National Warning System 42 USC 5121 et seq. Federal
Civil Defense Act of 1950 FEMA Manual National Warning System Manual FEMA Manual 1550.2 B. STATE Name Description Legal Montana Emergency Telephone System 911 MCA 10-4 Montana Emergency
Alert System State Plan C. LOCAL Name Description Legal Gallatin County 911 Communications & Advisory Board GCR 2007-067 Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A7 ANNEX A (WARNING) IV. PURPOSE The purpose of this annex is to outline the organization, operational concepts, responsibilities,
and procedures to disseminate timely and accurate warnings to government officials and the public in the event of, during, and after an emergency situation. V. EXPLANATION OF TERMS A.
ACRONYMS ADM Administrative Message AHJ Authority Having Jurisdiction CEM Civil Emergency Message CJIN Criminal Justice Information Network DHS Department of Homeland Security EAS Emergency
Alert System ECC Emergency Communications Center EMDO Emergency Management Duty Officer EPNS Emergency Preparedness Notification System (a.k.a. Reverse 911) FCC Federal Communications
Commission FEMA Federal Emergency Management Agency FAOC FEMA Alternative Operating Center FOC FEMA Operating Center FNARS FEMA National Radio System GCCC Gallatin County Coordination
Center (aka EOC) GCEM Gallatin County Emergency Management HSOC Homeland Security Operations Center INWS Interactive National Weather Service LWP Local Warning Point LWS Local Warning
System NOAA National Oceanic Atmospheric Administration NAWAS National Warning System NWS National Weather Service PEO Principal Executive Officer PIO Public Information Officer PNG
Public Notification Guide SECC State Emergency Coordination Center SWP State Warning Point Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A8 B. DEFINITIONS Administrative Message (ADM) A message that will be sent to TV and radio stations but will NOT overide TV and
radio broadcasting and will NOT activate NOAA Weather Radio. Civil Emergency Message (CEM) A Civil Emergency Message is a message that provides critical and timesensitive information
that the public can use to take appropriate protective behavior in the event of an emergency. Designated officials should issue a CEM when they believe there is a risk to life and property
that warrants immediate notification of the general public. A CEM will override all TV and radio broadcasting and alert/activate NOAA weather radios. Designated Officials The following
officials are the only “designated officials” who may approve activation of the EAS under the Montana EAS State Plan: a) State Disaster and Emergency Services Duty Officer b) 911 Director
c) Emergency Management Duty Officer d) National Weather Service (for weather-related events) Local Warning Point (LWP) A facility in a city, town, or community that receives warnings
and activates the public warning system in its jurisdictional area of responsibility. State Warning Point (SWP) Each state has a primary and alternate SWP. The primary SWP is staffed
24 hours a day and exercises operational control over NAWAS within the state. The alternate SWP is generally located in the SECC. VI. SITUATION & ASSUMPTIONS A. SITUATION 1) Our county
is exposed to many hazards; all of which have the potential for disrupting the community, causing casualties, and damaging or destroying public or private property. 2) Our county can
expect to experience emergency situations that could threaten public health and safety, both private and public property, and necessitate the implementation of protective actions for
the public at risk. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A9 ANNEX A (WARNING) 3) Emergency situations can occur at any time. Therefore, equipment and procedures to warn the public of impending
emergency situations must be in place and ready to use at any time. 4) Power outages may disrupt radio and television systems that carry warning messages and provide public instructions.
B. ASSUMPTIONS 1) Timely warnings to the public of impending emergencies or those that have occurred may save lives, decrease injuries, and reduce some types of property damage. 2) Electronic
news media is the primary source of emergency information for the general public. 3) Some people directly threatened by a hazard may ignore, not hear, or not understand warnings issued
by government. 4) Provision must be made to provide warnings to special needs groups such as the hearing-and sight-impaired, and the institutions that serve them (e.g. nursing homes
and correctional facilities). 5) Local radio and television stations will broadcast Emergency Alert System (EAS) messages when requested by local government officials. To effectively
utilize EAS, local governments and broadcasters must coordinate the procedures used to transmit warning messages and instructions from local government to broadcasters. 6) The local
National Oceanic and Atmospheric Administration (NOAA) Weather Radio station will broadcast EAS weather watches and warnings issued by the National Weather Service (NWS). Weather radios
are activated when such messages are broadcast. 7) The local telephone system will be intact to allow for the use of EPNS, ACIM, etc. VII. CONCEPT OF OPERATIONS A. GENERAL 1) The primary
objective of the warning system is to notify key officials of emergency situations in order to disseminate timely and accurate warnings and instructions to the population at risk from
the threat or occurrence of an Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A10 emergency situation. Rapid dissemination and delivery of warning information and instructions may provide time for citizens
to take action to protect themselves and their property. 2) The focal point of the county’s warning function is the Local Warning Point (LWP), which operates around the clock. The LWP
is operated by Gallatin County 911 Communications and is located in the Emergency Communications Center. 3) The LWP receives warning of actual or potential emergency situations from
a variety of sources, including federal and state agencies, local officials, businesses, industry, the news media, and the general public. The systems by which warnings may be received
by the LWP are described below. 4) The LWP will verify warning information, where necessary, and disseminate pertinent information to specific local officials and departments. 5) For
certain types of time-sensitive warnings, the LWP may be authorized to activate the local warning system and warn the public immediately. In other situations, local officials must approve
activation of the warning system and determine appropriate instructions to accompany the warning before it is disseminated to the public. 6) For other types of emergency situations,
the Gallatin County Coordination Center (GCCC) may be activated and assume responsibility for formulating warning messages and public instructions, which may be disseminated through
the LWP or provided to the media for dissemination. 7) Once warnings are received and, where necessary, verified, warnings that affect the local area and appropriate public instructions
are disseminated by the LWP. The specific systems used to disseminate warnings and provide information to the public within the local area are described below. B. RECEIVING WARNINGS
1) Warning of actual emergency situations or the threat of such situations may be received from the following: a) Business and Industry: Companies that suffer a major fire, explosion,
hazardous materials spill, or another emergency situation that may pose a threat to public health and safety and/or public and other private property have a general duty to notify local
officials of such occurrences. Such notifications are generally made through the 911 system. Companies reporting emergency situations that may pose a risk to the public are expected
to recommend to local government appropriate actions to protect people and property. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A11 ANNEX A (WARNING) b) Citizen Warning: Citizens may also provide warning of emergency situations, generally by calling 911.
It is always advisable to confirm information on emergency situations reported by citizens before issuing public warnings. c) Emergency Alert System (EAS): EAS is intended to provide
a means for government to provide emergency warning and instructions to the public. See Section D. Dissemination of Warnings below and Attachment I. for further information of EAS. This
jurisdiction may receive EAS messages that contain warning information broadcast by: i. Federal authorities or agencies ii. State government iii. Other local governments d) Civil emergency
warnings issued through NAWAS may also be disseminated through EAS received directly from NWS on Weather Radio, on NAWAS, or on CJIN. e) Federal, State or Local Agencies: Warning of
specific types of emergency situations may be received directly from specialized government agencies, including river authorities, dam operators, the US Coast Guard, military installations,
airport authorities, or other agencies which operate specialized facilities. f) Local Officials: Government employees may provide warning of emergency situations they have discovered
or that have been reported to their departments and been confirmed. Such situations should be reported to the LWP through any available means of communications. g) Montana AMBER Alert
Program: The Montana Department of Justice’s Missing Persons Clearinghouse administers the Montana America’s Missing Broadcast Emergency Response (AMBER) Alert Program. AMBER Alert serves
as an early, special-purpose warning system available for use by law enforcement to alert the public when a child has been kidnapped, and the police believe the child is in danger. Individuals
and broadcasters can register to receive AMBER Alerts via email and text messages from the AMBER Alert Portal via the CJIN terminal. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A12 h) Montana Warning System: i. The Montana Warning System is a state level extension of NAWAS. It consists of a dedicated telephone
warning system linking the State Warning Point at the State Emergency Communications Center (SECC) with local agencies located in safety offices around the state and with four National
Weather Service (NWS) offices in Montana. ii. The State Warning Point relays national emergency warnings received on NAWAS to the LWP using the Montana Warning System. Warnings may be
disseminated by telephone or radio to those agencies in the Gallatin County fan out. i) National Warning Systems: The National Warning System (NAWAS), a 24-hour, nationwide, dedicated,
multiple-line, terrestrial warning system linking federal agencies and the states, is used to disseminate civil emergency warnings. NAWAS is a voice communications system operated by
the Federal Emergency Management Agency (FEMA) under the Department of Homeland Security (DHS), DHS), and is controlled from the FEMA Operations Center (FOC) in Washington, D.C. and
the FEMA Alternate Operations Center (FAOC) in Olney, Maryland. NAWAS is used to disseminate three types of civil emergency warnings to state and local governments: i. Attack warnings.
ii. Fallout warnings. iii. Natural and technological emergency warnings. j) Warnings from the FOC or FAOC are coordinated with the Homeland Security Operations Center (HSOC) and relayed
through the FEMA Regional Communications Center in Lakewood (Denver), CO to the State Warning Point at the Montana Highway Patrol Dispatch in Helena. The State Warning Point further
disseminates the civil emergency warnings throughout Montana. k) Specific formats and handling instructions have been established for certain national civil emergency messages disseminated
by NAWAS. Attachment C provides guidance on handling national warning messages. l) As NAWAS is a “voice only” system that is not particularly suited for disseminating lengthy messages,
this system is generally not used for warning on a daily basis. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A13 ANNEX A (WARNING) m) National Weather Service (NWS) Weather Products: Weather warning messages are issued by NWS Weather Forecast
Offices and various NWS specialized weather centers, such as the River Forecast Center in Kansas City, MO. NWS disseminates weather forecasts, watches, and warnings via the NOAA Weather
Wire, CJIN, INWS and NWR. Among the weather messages that are provided are: i. Flood and flash flood watches and warnings. ii. Severe weather watches and warnings. iii. Tornado watches
and warnings. n) Many local radio and television stations subscribe to the NOAA Weather Radio and have installed terminals to receive weather products directly from NWS, such as: o)
Emergency Managers Wireless Information Network (EMWIN): EMWIN provides weather information broadcast via satellite. p) NOAA Weather Radio: The County also receives NWS weather warnings
disseminated by NOAA Weather Radio on tone-alert radios located in most government facilities. facilities. q) State Government: The State Emergency Coordination Center (SECC) may occasionally
issue warning messages to local governments in specific regions of the state. For example, an advisory may be issued to jurisdictions along major evacuation routes when large-scale evacuations
begin in rural areas due to a wildfire. Warnings issued by the SECC are typically transmitted by CJIN, NAWAS and by telephone to the Local Warning Point. C. NOTIFICATION OF LOCAL OFFICIALS
When the Emergency Management Duty Officer receives warning of an emergency situation, s/he shall notify key local officials so they can determine appropriate actions to deal with the
situation. The Emergency Notification Matrix, provided in Attachment B, indicates which departments and officials should be notified of various types of emergency situations. Notification
will be made by telephone, radio, pager, or any other means available. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A14 D. DISSEMINATION OF WARNINGS TO THE PUBLIC 1) In the initial stages of an emergency situation, the AHJ will, within the limits
of the authority delegated to it, determine if a warning needs to be issued and formulate a warning (using a pre-scripted message where possible included in Attachment D), and disseminate
it thru the LWP or EMDO. When the GCCC has been activated, it will normally determine, with feedback from the Incident Commander, who needs to be warned and how. The GCCC will normally
formulate the warning messages and public instructions. The LWP or the GCCC will execute the warnings by activating the warning system. The Public Information Officer (PIO) or the GCCC
may disseminate emergency public information directly to the media. 2) The systems described below will be used to issue warnings and instructions to the public. To facilitate dissemination
of warning and public instructions, a set of pre-scripted warning messages and public information messages suitable for use in likely emergency situations has been developed. They are
included in Attachment D to this annex. These pre-scripted messages may be used as written or tailored as needed for specific circumstances. a. 211 Service: 211 Service is operated by
the Bozeman Help Center and is staffed 24/7. It provides access to social services for people who call 211. The intent of 211 is not to be a primary emergency information source, but
they are more than willing to provide current information to their callers when they are provided the information by an official source. See Attachment E further information and activation
procedures. b. 511: The Montana Department of Transportation operates a traveler advisory system accessible by calling 511. This system can be used to advise motorists on state highways
of travel impacts or other pertinent information. See Attachment F for further information and activation procedures. c. A Child is Missing (ACIM): ACIM is a non-profit organization
providing automated calling at no cost for missing child incidents. When requested by the Law Enforcement Agency Having Jurisdiction, ACIM (www.achildismissing.org) will create a recorded
message for phone dissemination in the community where the child went missing. ACIM utilizes the Code RED automated calling system (www.coderedweb.com) to initially distribute the recorded
message to phones within a one-mile radius of the point last seen at a rate of 1000 calls per minute. See Attachment G for further information and activation procedures. d. AMBER Alert:
The Montana Department of Justice’s Missing Persons Clearinghouse administers the Montana America’s Missing Broadcast Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A15 ANNEX A (WARNING) Emergency Response (AMBER) Alert Program. AMBER Alert serves as an early, special-purpose, warning system
available for use by law enforcement to alert the public when a child has been kidnapped, and the police believe the child is in danger. Individuals and broadcasters can register to
receive AMBER Alerts from the AMBER Alert Portal via email and text message. See Attachment H for further information and activation procedures. e. Emergency Alert System (EAS): As a
condition of licensing, all commercial radio and television stations and cable television companies must participate in EAS and use their facilities to relay warning and instructions
from government to the public. Broadcasters and cable companies must carry national security warnings and messages initiated by the President; they may broadcast alerts and messages
initiated by state and local governments. The FCC encourages licensees to broadcast state and local warning and instruction messages, but the final decision on broadcasting such messages
rests with the broadcaster. i. The Montana Broadcasters Association coordinates the Montana EAS. Activation of the EAS for Gallatin County is facilitated through the National Weather
Service (NWS) of Great Falls. The actual message is then transmitted over the NWS Weather Radio System to local broadcasters, which then relay it to other broadcasters in a daisy chain
manner. ii. For obvious reasons, EAS should be used prudently. The Montana EAS State Plan governs the activation of EAS by local governments. The general guidelines for local activation
of EAS include: a) Severity of Situation -EAS warning will aid in reducing loss of life or substantial loss of property. b) Timeliness -Immediate public knowledge is required to avoid
adverse impact. c) Alternatives -Other means of disseminating information are inadequate to ensure rapid delivery. iii. The LWP has two options for EAS messages: a) An Administrative
Message (ADM) is a message that will be sent to TV and radio stations but will NOT override TV and radio broadcasting and will NOT activate NOAA weather radios. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A16 b) Designated Officials should issue a Civil Emergency Message (CEM) when they believe there is a risk to life and property
that warrants immediate notification of the general public. A CEM will override all TV and radio broadcasting and alert/activate NOAA weather radios. iv. The local EAS stations are listed
in Attachment I. The county has coordinated with these stations to establish procedures for accessing the EAS through the local primary stations. Authority to release EAS messages for
broadcast is restricted to those local officials named in Attachment I. The following methods will be used to transmit emergency messages to local primary stations for broadcast: a)
By telephone, with the station generally recording our verbal message and then broadcasting it. b) By fax, with the station receiving our written message and reading it on the air. v.
Pre-scripted emergency messages have been prepared for use with those warning systems that are capable of delivering a verbal or written message. As EAS messages are limited to two minutes,
the pre-scripted messages include short warning and instructional messages that may be transmitted by EAS and amplifying messages that will be distributed to the media as Special News
Advisories. vi. See Attachment I for further information. f. Emergency Preparedness Notification System (EPNS): EPNS (aka Reverse 911™) is operated by Intrado and is activated via a
web interface , or by calling Intrado’s Emergency Call Relay Center ( ). EPNS then calls the phone lines identified in the 911 Database that are within the specified geographic area.
EPNS is also capable of utilizing pre-loaded calling lists (i.e. media, school parents, etc…). EPNS has a total maximum capacity of 1,100 outbound calling ports. See Attachment J for
further information and activation procedures. g. Gallatin County Information Line: The Gallatin County Information Line, (406) 582-3175, is a recorded message system that can accept
46 simultaneous callers. It is available to government agencies for providing updated information to the public during an incident. See Attachment K for further information and activation
procedures. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A17 ANNEX A (WARNING) h. Gallatin County Information Website: Gallatin County Emergency Management maintains an incident website,
www.readygallatin.com, in which incident information can be posted for the public. The site is configured to provide creation of an incident, along with unlimited incident updates. This
is achieved through a web-based interface that does not require programming skills. See Attachment L for further information and activation procedures. i. Highway Advisory Radio Portables
(HARP): Gallatin County Emergency Management operates three Highway Advisory Radio Portables (HARP). These units are trailer mounted AM radios that broadcast on either 1600 or 1700 kHz
with a maximum range of 3-5 miles. The HARPs are solar powered with battery backup. Each unit can be updated remotely by telephone. See Attachment M for further information and activation
procedures. j. NOAA Weather Radio: Please see Attachment I for further information on EAS. EAS. k. Route Alerting & Door-to-Door Warning: The public may be warned by route alerting using
vehicles equipped with sirens and public address systems. Route alerting may not work well in some areas, including rural areas where residences are some distance from the road or for
large buildings with few external windows. Response personnel going door-to-door may also deliver warnings. Both of these methods are effective in delivering warnings, but they are labor-intensive
and timeconsuming and may be infeasible for large areas. E. WARNING SPECIAL FACILITIES & POPULATIONS 1) Special populations and facilities will be warned of emergency situations by available
methods. These include: a) Hearing-impaired: Captioned EAS messages on television, NWR and EPNS. b) Special Facilities: EAS messages on radio/television, NOAA Weather Radio and EPNS.
c) Visually Impaired: EAS messages on radio, NOAA Weather Radio and EPNS. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A18 F. WARNINGS TO OTHER GOVERNMENTS & AGENCIES The EMDO is responsible for warning adjacent or nearby jurisdictions that may be
affected by emergency situations originating within this jurisdiction. G. PHASES OF MANAGEMENT 1) Mitigation a) Establish an effective public warning system and appropriate operating
procedures. b) Extend the system to keep up with growth. c) Adopt new methods of warning that increase the ability to reach citizens not well served by current systems. d) Conduct public
education designed to prevent citizens from taking unnecessary risks during an emergency situation. An example may be implementing a public information effort to discourage people from
driving on flooded roads. 2) Preparedness a) Test the Local Warning System on a regular basis. b) Prepare pre-scripted warning and public instruction messages for known hazards. See
Attachment D. c) Brief local media on local warning systems and coordinate procedures for transmitting EAS messages to radio and television stations and cable television providers. d)
Conduct public education on warning systems and the actions that should be taken for various types of warnings. e) Establish a Joint Information System (JIS) and identify suitable facilities
for a Joint Information Center (JIC), if required. 3) Response a) Activate Local Warning System to alert the public of the emergency situation and provide appropriate instructions. b)
Conduct media monitoring to determine the need to clarify issues and distribute updated public instructions. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A19 ANNEX A (WARNING) c) Discontinue warnings when no longer required. 4) Recovery a) Advise the public when the emergency situation
has been terminated. b) If necessary, provide instructions for return of evacuees and safety information relating to the reoccupation of damaged homes and businesses. VIII. ORGANIZATION
& ASSIGNMENT OF RESPONSIBILITIES A. GENERAL 1) Gallatin County and the incorporated cities establish general policies for emergency warning and fund personnel and equipment to operate
the warning system. 2) The 911 Director is responsible for operating the LWP and coordinating operation of the Local Warning System. B. ASSIGNMENT OF RESPONSIBILITIES 1) The Principal
Executive Officer (PEO) will: a) Outline general policies on warning and emergency public information. b) Approve emergency public information to be released to the public through the
news media or other mean. 2) The 911 Director will: a) Develop an adequate warning system. b) Staff and operate the Local Warning Point. c) In coordination with the GCEM, develop and
maintain procedures for operation of the warning system, coordinating as necessary with other departments and agencies, the NWS, local radio and television stations, cable television
companies, and other organizations. d) Provide for maintenance and periodic testing of the warning system equipment. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A20 3) The Gallatin County Emergency Communication Center will serve as the LWP and will: a) Receive and, if necessary, verify
and acknowledge warnings of emergency situations. b) Make notification to local officials of emergency situations or of conditions that could cause such situations, as required. c) In
accordance with SOP, or when directed, activate the warning system to alert and provide instructions to all sirens under their jurisdiction. d) Develop and maintain hazard specific warning
procedures covering warning receipt, verification, and dissemination. e) Perform fan out for NAWAS calls. f) Perform fan out for EAP activations. 4) The GCCC will: a) In coordination
with the Public Safety Agency, develop operating procedures for the warning system, coordinating as necessary with other departments and agencies, the NWS, local radio and television
stations, cable television companies, and other organizations. b) Assist in the development of pre-scripted warning messages and Special News Advisories. See Attachment D. c) When the
GCCC is activated, assist in the development of warning messages and Special News Advisories. d) In coordination with the PIO, educate the public regarding the use of the warning system.
5) The PIO will: a) In coordination with the Public Safety Agency, develop pre-scripted warning messages and public instructions for known hazards.
b) When an emergency has occurred, develop warning messages and public instructions for the specific situation at hand. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A21 ANNEX A (WARNING) c) Develop procedures to facilitate the release of coordinated emergency public information to amplify basic
information provided in warning messages. d) Maintain a media briefing area. e) Periodically brief the media on local warning systems and warning procedures. f) Develop and disseminate
educational materials relating to emergency warning to the public. 6) Law Enforcement will: a) Provide units and personnel for route alerting and door-to-door warning when needed. 7)
Fire Protection Agencies will: a) Provide units and personnel for route alerting and door-to-door warning when needed. 8) All local government departments and agencies will: a) Report
emergency situations to the Local Warning Point that merit warning local officials or the public. b) When requested, provide personnel and equipment to assist in route alerting or door-to-door
warning 9) Media companies are asked to: a) Disseminate warning messages and Special News Advisories provided by local government to the public as rapidly as possible. b) Participate
in periodic tests of the EAS and other warning systems. 10) Institutions, businesses, and places of public assembly are expected to: a) Monitor radio and television and/or NOAA Weather
Radio receivers for warnings and take appropriate actions to protect their patients, students, customers, and employees. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A22 IX. COORDINATION A. GENERAL 1) The PEO shall provide general guidance for warning activities. 2) The 911 Director shall provide
specific guidance for the operation of the LWP and warning systems. 3) For specific, time-sensitive, emergency situations, the LWP has been delegated authority to determine if a warning
needs to be issued, formulate a warning if necessary (using pre-scripted messages where possible), and disseminate it. For other situations, the LWP must coordinate with one of a designated
set of key officials, who will determine if a warning should be issued and approve the general content of any warning message that will be disseminated. 4) When the GCCC has been activated,
the GCCC staff will normally determine who needs to be warned and how. The EMDO, PIO, and other members of the staff will formulate warning messages and public instructions. The LWP
will normally execute such warnings by activating the warning system. Although, the PIO PIO may disseminate emergency public information to the media directly. B. LINE OF SUCCESSION
The line of succession for the 911 Director, who has primary responsibility for the warning function, is the CAD Administrator. X. ADMINISTRATION & SUPPORT A. AGREEMENTS & CONTRACTS
Should local resources prove to be inadequate during an emergency, requests will be made for assistance from other local jurisdictions, other agencies, and industry in accordance with
existing mutual-aid agreements and contracts. B. REPORTS & RECORDS The LWP shall maintain activity logs recording: a) Warnings received. b) Key personnel notified, and the actions they
directed to be taken. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A23 ANNEX A (WARNING) c) Warnings disseminated to the public and the means of that dissemination. C. MAINTENANCE OF EQUIPMENT All
warning systems owned by Gallatin County will be maintained in accordance with the manufacturer’s instructions for those systems. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT The
GCEM is responsible for working with other agencies in the development, maintenance, and improvement of this annex. Each agency tasked will develop SOP that address assigned tasks. B.
MAINTENANCE This annex will be reviewed annually and updated in accordance with the schedule outlined in the Emergency Management Plan. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A24 ATTACHMENT B EMERGENCY NOTIFICATION MATRIX Wildfire Earthquake HazMat Flooding Communicable Disease Agricultural Incident Severe
Weather Utility Issues Transportation Issues Dam Failures Aviation Incidents Terrorism & Civil Unrest Railroad Incident Volcanic Avalanche & Landslide Evacuation City/County Administrator
X X X X X X X X X X X X X X X X VOAD X X X X PEO X X X X X X X X X X X X X X X X County/City Attorney's Office X X X X Emergency Management X X X X X X X X X X X X X X X X 911 X X X
X X X X X X X X X X X X Auditor X X X Fire Service X X X X X X X X X X X X X X X Public Heal h X X X X X X Medical Services X X X X X X X Human Resources X X X Finance Departmen X X
X X Law Enforcement X X X X X X X X X X X X X X X Public Works X X X X X X X X X X X X Engineering & Planning X X X X X Search & Rescue X X X X Utilities X X X X X X X X X Information
Technologies X X X X X Weather Service X X ** This is a guide for notification. Actual notification will be determined by location and scale of the actual event. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A25 ATTACHMENT C NATIONAL WARNING MESSAGES ANNEX A (WARNING) 1) The State Warning Point will ring all stations on the Montana Warning
System. 2) Following the ring down, the originating warning point will identify themselves, such as “Montana Warning Point.” 3) This will be followed by which warning points the message
applies to and instructions to standby for the message. This could be all warning points or specific affected warning points. 4) The message will then be disseminated by the originating
warning point. 5) The calling warning point will then conduct a roll call to confirm receipt of the message. This will consist of, “Bozeman Sheriff, this is Montana Warning Point, did
you receive the message?” 6) The Gallatin Warning Point should acknowledge the message, and preferably, summarize the message back to confirm proper understanding of the intended message.
This could consist of, “Montana Warning Point, this is Bozeman Sheriff, we copied that a railroad derailment with hazmat has occurred next to the Toston Dam. We will relay to Broadwater
County.” 7) The originating warning point should acknowledge and confirm the accuracy of your read back, then move on to the next warning point. 8) The Gallatin Warning Point should
carry out the appropriate fan out procedures for the message. Gallatin County is responsible for relaying NAWAS messages to Madison, Jefferson and Broadwater Counties. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A26 Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A27 ANNEX A (WARNING) ATTACHMENT D PRE-SCRIPTED WARNING MESSAGES A. GENERAL INCIDENT 1) The [City of/Gallatin County] has issued
the following warning for those who live, work, or are visiting in the area of [specify affected area]. 2) An emergency situation involving [affected jurisdiction] is currently in progress
at [specify location using common place name, streets, or other geographic references. Should be recognizable to the general public.] 3) A [specify type of incident] has occurred in
this area. The incident is currently [give some brief detail of incident. Size, direction of travel, hazards, etc…]. 4) The public is asked to [provide instructions on what people are
to do]. 5) Please do not call 911 for information about this incident. Instead you may obtain information from [specify activated tools]: local media outlets (radio, television, newspaper,
online) 582-3175 Information Line readygallatin.com website 1600 am HARP 1700 am HARP 211 service 511 service Coordination Center Public Inquiry Phones (548-0123)
____________________________________________ ____________________________________________ ____________________________________________ Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A28 B. ROAD/FACILITY CLOSURE 1. The [City of/Gallatin County] has issued the following warning for those who live, work, or are
visiting [specify affected area]. 2. It has been necessary to close [streets, facilities, etc…] due to: Flooding Snow Ice Fire Explosion Hazardous Materials Incident
Law Enforcement Incident __________________________________ __________________________________ 3. As of [enter date and time], the following [roads or facilities] have been
closed by officials: 4. Please avoid these [roads or facilities]. 5. If you must travel, use alternate routes, such as: 6. We recommend that you refrain from driving and remain at home
due to the travel conditions. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A29 ANNEX A (WARNING) 7. Please do not call 911 for information about this incident. Instead you may obtain information from [specify
activated tools]: local media outlets (radio, television, newspaper, online) 582-3175 Information Line readygallatin.com website 1600 am HARP 1700 am HARP 211 service
511 service Coordination Center Public Inquiry Phones (548-0123) ____________________________________________ ____________________________________________ _____________________________
_______________ Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A30 C. SHELTER IN PLACE 1) The [City of/Gallatin County] has issued the following warning for those who live, work, or are visiting
[specify affected area]. 2) There has been a release of a hazardous material [specify if known] that is affecting a portion of the local area. People in the following area must take
protective measures: 3) If you are located in this area, do the following immediately in order to protect yourself: a) Go inside your home, workplace, or the nearest building that appears
to be reasonably air tight and stay there. Take your pets with you. b) Close all doors, windows, and any fireplace dampers. c) Turn off any heating or cooling systems that draw air from
outside. d) Keep your radio on and turned to receive emergency announcements and instructions. e) Gather items that you may need to take with you if you are advised to evacuate. 4) People
traveling in vehicles should seek shelter in the nearest air tight structure. If a suitable suitable structure is not immediately available, travelers should roll up car windows, close
air vents, and turn off the heater or air conditioner until they reach a suitable building. 5) If shelter is not immediately available, keep a handkerchief, towel, or damp cloth snugly
over your nose and mouth until you get indoors. 6) (If school is in session): a) Students in the following school(s) are taking shelter at their school(s): b) Parents should not attempt
to pick up students at school until the hazardous situation is resolved and they are advised it is safe to do so. c) Students at the following school(s) [have been/are being] evacuated
to other facilities: Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A31 ANNEX A (WARNING) d) Parents should not attempt to pick up students from schools that have been evacuated. Local officials
will provide information on where to pick up children as soon as it is available. 7) Please do not call 911 for information about this incident. Instead you may obtain information from
[specify activated tools]: local media outlets (radio, television, newspaper, online) 582-3175 Information Line readygallatin.com website 1600 am HARP 1700 am HARP
211 service 511 service Coordination Center Public Inquiry Phones (548-0123) ____________________________________________ ____________________________________________
____________________________________________ Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A32 D. PRE-EVACUATION 1) The [City of/Gallatin County] has issued the following warning for those who live, work, or are visiting
[specify affected area]. 2) Due to a threat of [specify], it may become necessary for people who live, work or are visiting in certain areas to evacuate in the near future. The area(s)
that may be at risk include: 3) Evacuation orders are NOT being issued at this time. Local officials will advise you if evacuation is necessary. However, you should be prepared to evacuate
if needed. To prepare, you should: a) Assemble the following emergency supplies: i. Clothing for your family for several days ii. Bedding, pillows, and towels iii. Prescription medicines
& spare glasses iv. Soap and toiletries v. Baby food and diapers vi. Your address book or list of important phone numbers vii. Your driver’s license and identification cards viii. A
portable radio and flashlight ix. Supplies for your pets b) You should also: i. Gather suitcases, boxes, or bags to hold your emergency supplies ii. Be prepared to secure your home or
office and your property before you depart iii. Ensure your car is in good shape and you have adequate fuel iv. Decide where you will go if you have to evacuate. Make arrangements with
relatives or friends or consider making hotel reservations. Make sure any pets can go with you. 1) Potential evacuation routes from the area(s) at risk include: 2) If you know of
any neighbors that could use assistance, please assist them. 3) We want to emphasize that this is a precautionary message about possible evacuation. Evacuation orders are NOT being issued
at this time. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A33 ANNEX A (WARNING) 4) Please do not call 911 for information about this incident. Instead you may obtain information from [specify
activated tools]: local media outlets (radio, television, newspaper, online) 582-3175 Information Line readygallatin.com website 1600 am HARP 1700 am HARP 211 service
511 service Coordination Center Public Inquiry Phones (548-0123) ____________________________________________ ____________________________________________ _____________________________
_______________ Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A34 E. EVACUATION 1) The [City of/Gallatin County] has issued the following warning for those who live, work, or are visiting [specify
affected area]. 2) Due to [specify] an evacuation order has been issued. People in the following area should evacuate immediately to protect their health and safety. These areas are:
3) Recommended evacuation routes from these area(s) are: 4) Emergency shelters are available at: 5) Be sure to take essential items such as: a. Prescription medicines b. Eyeglasses
c. Identification cards d. Checkbooks e. Credit cards f. Valuable papers 5) Do not delay your departure to collect other belongings. 6) Take your pets with you, but make sure you bring
a leash, crate, or cage for them. Most shelters will not accept pets. 7) If you need assistance evacuating, ask a neighbor to assist you. 8) If you know of a neighbor that could use
assistance evacuating, please help them. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A35 ANNEX A (WARNING) 9) Please do not call 911 for information about this incident. Instead you may obtain information from [specify
activated tools]: local media outlets (radio, television, newspaper, online) 582-3175 Information Line readygallatin.com website 1600 am HARP 1700 am HARP 211 service
511 service Coordination Center Public Inquiry Phones (548-0123) ____________________________________________ Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A36 ATTACHMENT E 211 SERVICE ACTIVATION PROCEDURES 211 Service is operated by the Bozeman Help Center and is staffed 24/7. It provides
access to social services for people who call 211. The intent of 211 is not to be a primary emergency information source, but they are more than willing to provide current information
to their callers when they are provided the information by an official source. Activation Criteria 211 can be utilized by any official agency Authorization Any agency can utilize 211
directly. If 211 receives conflicting information from multiple sources, and cannot resolve it, they will contact the Emergency Management Duty Officer to put them in touch with the
Information Officer for the Agency Having Jurisdiction. Activation Procedure The Agency Having Jurisdiction, or their delegate, may contact 211 directly at . Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A37 ANNEX A (WARNING) ATTACHMENT F 511 SERVICE ACTIVATION PROCEDURES Montana Department of Transportation operates a traveler advisory
system accessible by calling 511. This system could be utilized to advise motorists on state highways of travel impacts, or other pertinent information. Activation Criteria 511 can be
requested by any government agency. Authorization Utilization of the 511 system for emergency information should be approved by the Bozeman Area Maintenance Chief or his delegate. Activation
Procedure The Agency Having Jurisdiction may contact the Bozeman MDT Office at 406-: 1) 2) Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A38 ATTACHMENT G A CHILD IS MISSING (ACIM) ACTIVATION PROCEDURES A Child is Missing (ACIM) is a Non-Profit organization providing
automated calling as no cost for missing child incidents. When requested by the law enforcement agency having jurisdiction, A Child is Missing (www.achildismissing.org) will create a
recorded message for phone dissemination in the community where the child went missing. A Child is Missing utilizes CodeRED’s (www.coderedweb.com) automated calling system to initially
distribute the recorded message to phones within a 1 mile radius of the point last seen at a rate of 1000 calls per minute. Activation Criteria ACIM will request the following information
when contacted by law enforcement 1) Name of law enforcement agency 2) City, County, and State of Agency 3) Name of Missing Person 4) Date of Birth 5) Gender 6) Nationality 7) Height
and Weight 8) Hair and Eye Color 9) Clothing Description 10) Scars or other physical characteristics 11) Medical/psychological conditions to be aware of 12) Home Address 13) Location
Last Seen 14) Phone number for public to call 15) Incident or case number assigned 16) Is there water or wooded areas near by 17) Have friends and family been contacted 18) Has the person
gone missing before 19) Is there foul play, kidnapping, or parental abduction suspected 20) Are there any sexual predators in the area 21) What is the contact information for the law
enforcement agency having jurisdiction’s ACIM point of contact Authorization The law enforcement agency having jurisdiction must approve the request per their policies. Activation Procedure
The law enforcement agency having jurisdiction must contact ACIM at . Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A39 ANNEX A (WARNING) ATTACHMENT H AMBER ALERT ACTIVATION PROCEDURES The Montana America’s Missing: Broadcast Emergency Response
(AMBER) Alert Program is administered through the Montana Department of Justice’s Missing Persons Clearinghouse. AMBER Alert provides law enforcement a method of rapid dissemination
of information during child abductions. AMBER Alerts are initiated through the AMBER Alert Portal (www.montanaamberalert.com), which is a consortium project among several states. Individuals
and broadcasters can register to receive AMBER Alerts directly from the AMBER Alert Portal via email and text messaging. Activation Criteria In order for an AMBER Alert to be to be initiated
the following criteria must be met: 1) The child must be 17 years old, or younger, or have a proven mental or physical disability. 2) The child must be in imminent danger of serious
injury of death 3) There must be enough descriptive information available to believe that broadcasting it will assist law enforcement in recovering the child. 4) The alert must be recommended
by the local law enforcement agency of jurisdiction. Authorization In order to be issued, an AMBER Alert must be authorized per the law enforcement agency having jurisdiction’s policies
and then approved by the Montana Department of Justice. Activation Procedure 1) AMBER Alert must be requested and approved by the Law Enforcement Agency Having Jurisdiction. 2) The AMBER
Alert request, with as much detail as possible, must be submitted to the Montana Department of Justice. This can be achieved in two ways: a. Through Gallatin County Dispatch ( ) using
the Montana Criminal Justice Information Network (CJIN). b. By telephone to Montana Department of Justice (DOJ) at 3) Once approved by Montana DOJ, DOJ will issue the AMBER Alert through
the AMBER Alert Portal (www.montanaamberalert.com). 4) Once entered into the AMBER Alert Portal the message is automatically relayed to broadcasters and AMBER Alert Subscribers. Redacted
Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A40 ATTACHMENT I EMERGENCY ALERT SYSTEM (EAS) ACTIVATION PROCEDURES The Montana Emergency Alert System (EAS) is coordinated by
the Montana Broadcasters Association. Activations of the EAS is facilitated through the National Weather Service (NWS) Great Falls Office ). The actual message is then transmitted over
the NWS Weather Radio System to local broadcasters, whO then relay it to other broadcasters iN a daisy chain manner. Activation Criteria 1) Must have an identified risk to life and/or
property 2) Must be classified as one of two message categories 3) Civil Emergency Message (CEM) – Messages that provide critical and timesensitive information that the public can use
to take appropriate protective behavior in the event of a Civil Emergency. 4) Administrative Message (ADM) – Messages that will be sent to TV and Radio Stations, but will NOT override
TV and Radio broadcasting and will NOT activate NOAA weather Radios. 5) Identify a source of additional additional information Authorization Activation of the Emergency Alert System
requires approval by one of the approved Designated Officials per the Montana Emergency Alert System Plan. These individuals are: 1) State Disaster and Emergency Services Duty Officer
2) County DES Coordinator 3) County 911 Director 4) National Weather Service (weather related events) Activation Procedure 1) Incident Commander requests activation of the EAS based
on meeting the criteria and requests activation through Gallatin County Dispatch ). 2) Gallatin County Dispatch will contact one of the Designated Officials with the request. 3) The
contacted Designated official will contact the Incident Commander and confirm the message to be transmitted. 4) The Designated Official will then complete the EAS Activation Form and
send it to the Great Falls Weather Service Office ( fax), followed by a phone call to the Great Falls Weather Service Office ( ). 5) The EAS Activation Form should also be sent to Gallatin
County Dispatch, or to Emergency Management, depending on where it originates. By protocol, the NWS will call a Designated Official from the requesting county to confirm Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A41 ANNEX A (WARNING) the authenticity of the message. By making sure everyone is on the same page it will minimize any delay.
6) After confirmation, the NWS will then broadcast the EAS Message. ANNEX E: EAS Activation Form for a Civil Emergency Message (CEM) This message will override TV and Radio Station Broadcasting.
Keep message to no more than 2 minutes of airtime. Date\Time___________________________ Person Making Request________________________________________________________ Agency of Person
Making Request_______________________________________________ Specific Type of Emergency (HazMat, etc) ________________________________________ Affected Counties _____________________________________
_______________________ Specific Affected Area (if available) _____________________________________________ Duration of Emergency________________________________________________________
Phone Number to Verify or Contact for More Information_____________________________ Name of Person Completing This Form___________________________________________ Further Instructions
or Exact Message for broadcast________________________________ Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A42 ATTACHMENT J EMERGENCY PREPAREDNESS NOTIFICATION SYSTEM (EPNS) ACTIVATION PROCEDURES The Emergency Preparedness Notification
System (aka Reverse 911™) is operated by Intrado. The Emergency Preparedness Notification System (EPNS) is activated via a web interface , or by calling Intrado’s Emergency Call Relay
Center ). EPNS then calls the phone lines within the targeted area identified in the 911 Database. EPNS is also capable of utilizing pre-loaded calling lists (i.e. media, school parents,
etc…). EPNS has a total maximum capacity of 1,100 outbound calling ports. Activation Criteria In order for the EPNS to be activated, the following considerations should be addressed:
1) Defined message delivery area a. Radius of given location b. Polygon c. Pre-loaded GIS Shape File d. Pre-defined Call List 2) Cost vs. Benefit a. $0.46 per minute for completed calls
in 30 second increments 3) Message to be delivered 4) Follow up information source Authorization Use of the EPNS must be requested by a command staff member of the agency having jurisdiction.
After the request has been made by the agency having jurisdiction, the 911 Director must authorize the expenditure of funds for deployment of EPNS. The Gallatin County 911 Director has
issued standing orders authorizing Command Staff of local public safety agencies to activate the EPNS. If a member of the public has a legitimate need and would like to test the system,
they will need to contact the law enforcement agency in whose jurisdiction they reside, or the Fire District in whose district they reside and make the request directly. If the request
is deemed appropriate by the jurisdiction involved, then the request to activate can take place as further described. Further, to insure operational reliability of the system, routine
testing will take place quarterly, and be administered under the direction of the CAD Administrator. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A43 ANNEX A (WARNING) Activation Procedure 1) Agency having jurisdiction makes a request for activation of the EPNS to Gallatin
County Dispatch ( ). 2) Gallatin County Dispatch will page the EPNS group for activation. 3) The individual activating EPNS will then contact the Incident Commander to obtain the following
a. Obtain message the IC wants distributed i. Always include additional information source in message ii. Provide instructions on what people are to do iii. Always instruct people not
to call 911 for additional information b. Identify specific area to be notified i. This can be: • Specific Address • Radius from an address (including, or excluding, specific address)
• Intersection • Lat/Long • Polygon physically drawn on a map • Pre loaded GIS Shape File c. Try to be as specific as possible d. Be cautious of over estimating a radius 4) Message must
then be recorded over the phone at the EPNS Voice Message Center ) a. Remember to write down the the assigned message number 5) EPNS Web Interface ) must now be launched from a compatible
computer, or call the Emergency Call Relay Center ( a. Information from the Incident Commander is utilized to populate the EPNS fields i. Assigned message number must be entered here
b. A verification call back number must be entered. After activation Intrado will call to verify. Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A44 ATTACHMENT K GALLATIN COUNTY INFORMATION LINE ACTIVATION PROCEDURES The Gallatin County Information Line, (406) 582-3175, is
a recorded message system that can accept 46 simultaneous callers listening to the message. It is available to government agencies for providing updated information to the public during
an incident. Activation Criteria The Gallatin County Information Line is available for government agencies for public safety uses. Activation Procedure 1) Government agencies must request
use of the Information Line from Gallatin County Emergency Management through Gallatin County Dispatch, (406) 2) Gallatin County Dispatch will contact Gallatin County Emergency Management
Duty Officer, (406) 3) The EM Duty Officer will then contact the requesting agency to obtain the following a. Specific message to be recorded b. How often the message
will be updated c. How will updates will be obtained 4) EM Duty Officer will then activate the information line Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11. Page A45 ANNEX A (WARNING) ATTACHMENT L GALLATIN COUNTY INCIDENT WEBSITE ACTIVATION PROCEDURES Gallatin County Emergency Management
maintains an incident website, www.gallatinmedia.org, in which incident information can be posted for the public. The site is configured to provide creation of an incident, along with
unlimited incident updates. This is achieved through a web based interface that does not require programming skills. Activation Criteria The Gallatin County Incident Website is available
for government agencies for public safety uses. Activation Procedure 1) Government agencies must request the use of the Incident Website from Gallatin County Emergency Management through
Gallatin County Dispatch (406-2) Gallatin County Dispatch will contact the Emergency Management Duty Officer. 3) The EM Duty Officer will then contact the requesting agency to obtain
the following a. Specific information to be posted b. How often the information will be updated i. Method for obtaining updates 4) The EM Duty Officer will then create an incident on
the website Redacted Version
Gallatin County EMP, Annex A (Warning), 05/18/11, Page A46 ATTACHMENT M HIGHWAY ADVISORY RADIO PORTABLES (HARP) ACTIVATION PROCEDURES Gallatin County Emergency Management operates three
Highway Advisory Radio Portables (HARP). These units are trailer mounted AM radios that broadcast on either 1600 or 1700 kHz with a maximum range of 3-5 miles. The HARPs are solar powered
with battery backup. Each unit can be updated remotely by telephone. Activation Criteria HARPs are available to government agencies for public safety use. Authorization HARPs are available
through the Gallatin County Emergency Management Duty Officer. Activation Procedure 1) Government agencies must request deployment of a HARP from Gallatin County Emergency Management
through Gallatin County Dispatch (406-). 2) Gallatin County Dispatch will contact the Emergency Management Duty Officer. 3) EM Duty Officer will then contact the requesting agency directly
and obtain the following: a. Area/Population the agency wishes to cover with the HARPs b. Specific message the agency wants broadcast c. How often the message will need to be updated
i. Method for obtaining updates d. Method citizens can obtain additional information 4) EM Duty Officer will then work on deployment of the HARPs Redacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex B : Communicat ions Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Communications Mitigation Preparedness Response Recovery ReadyGallatin.com The Communications Annex describes the communications
network (voice, data, and alerting) in Gallatin County. Gallatin County 911 Communications and Gallatin County Emergency Management are the primary agencies responsible for this function.
This annex describes the communications capabilities of key facilities in the county. Radio frequency information and site information is outlined for the Gallatin County. Radio Amateur
Civil Emergency Services (RACES), commonly referred to as ham radio operators, operations are also addressed. Communications infrastructure is also addressed in terms of what redundancy
measures we have in place. We fully recognize that our communications systems are constantly changing. At the time of this document being drafted several changes were underway. All changes
will be addressed in the next revision of this annex. Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B2 APPROVAL & IMPLEMENTATION ANNEX B: COMMUNICATIONS This annex is hereby approved. This annex is effective immediately and
supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B3 ANNEX B (COMMUNICATIONS) RECORD OF CHANGES ANNEX B: COMMUNICATIONS Date of Change Date Entered Change Entered By 1 2
3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… B5 II. SUPPORTING AGENCIES……………………………………………......… B5 III.
AUTHORITY A. Federal……………………………………………………………….… B5 B. State………………………………………………………………….… B5 C. Local…………………………………………………………….……… B5 IV. PURPOSE……………………………………………………………..……… B5 V. EXPLANATION
OF TERMS A. Acronyms…………………………………………….………………… B6 B. Definitions……………………………………………………………… B6 VI. SITUATIONS & ASSUMPTIONS A. Situation…………………………………………………………...…… B6 B. Assumptions…………………………………………………………
… B6 VII. CONCEPT OF OPERATIONS A. General…………………………………………………………….…... B7 B. Phases of Management…………………………………….……...… B7 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………
………………………………….B9 B. Assignment of Responsibilities……………………………………… B9 IX. Coordination……………………………………………………………….…. B10 X. Administration and Support………………….………………………………. B11 XI. Annex
Development & Maintenance………………………….…………… B13 ATTACHMENTS A. Communication Diagram…………………..………………………… B14 B. Frequency List……………………………...…………………………. B15 C. Communications Sites………………………………………………..
B19 D. Radio Amateur Communications Emergency Services (RACES)..B24 E. Fire Service Base Frequencies……………………………………… B25 F. Mobile Emergency Response Support (MERS)……………………. B26 Redacted
Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B5 ANNEX B (COMMUNICATIONS) ANNEX B: COMMUNICATIONS I. PRIMARY AGENCY Gallatin County Emergency Management, Gallatin County
911 Communications II. SUPPORTING AGENCY Gallatin County Fire Protection Agencies, Gallatin County Law Enforcement Agencies III. AUTHORITY A. FEDERAL Name Description Legal TBD B. STATE
Name Description Legal TBD C. LOCAL Name Description Legal TBD IV. PURPOSE This annex provides information about our communications equipment and capabilities available during emergency
operations. Our entire communications system is discussed and procedures for its use are outlined in the annex. Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B6 V. EXPLANATION OF TERMS A. ACRONYMS CATV Cable TV COG Council of Government EAS Emergency Alert System EMP Electromagnetic
Pulse FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center IC Incident Commander JIC Joint Information Center NIMS National Incident Management System NRF
National Response Framework SOC State Operations Center SOP Standard Operating Procedures B. DEFINITIONS Local Computer Network Local, Metropolitan, or Wide-Area Networks. State Warning
Point Warning Point for the state operated by the SOC. VI. SITUATIONS & ASSUMPTIONS A. SITUATION 1) As noted in the general situation statement in the basic plan, we are at risk from
a number of hazards that could threaten public health and safety and personal and government property. A reliable and interoperable communications system is essential to obtain the most
complete information on emergency situations and to coordinate our resources responding to those those situations. 2) The 911 Communications Center is staffed on a 24-hour basis. Equipment
is available to provide communications necessary for emergency operations. B. ASSUMPTIONS 1) Adequate communications are available for effective and efficient warning, response, and
recovery operations. Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B7 ANNEX B (COMMUNICATIONS) 2) Any number of natural or manmade hazards may neutralize or severely reduce the effectiveness
of communications currently in place for emergency operations. 3) Additional communications equipment required for emergency operations will be made available from citizens, business,
volunteer organizations, and/or other governmental agencies. VII. CONCEPT OF OPERATIONS A. GENERAL 1) A common operating picture within our jurisdiction and across other jurisdictions
provides the framework of our communications capabilities. This framework is made possible by interoperable systems. Extensive communications networks and facilities are in existence
throughout Gallatin County to provide coordinated capabilities for the most effective and efficient response and recovery activities. 2) Our existing communications network consisting
of telephone, computer, Teletype, and radio facilities will serve to perform the initial and basic communications effort for emergency operations. Landline circuits, when available,
will serve as the primary means of communication with other communication systems as back up. 3) During emergency operations, all county/city departments will maintain their existing
equipment and procedures for communicating with their field operations units. They will keep the GCCC informed of their operations and status at all times. 4) To meet the increased communications
needs created by an emergency, various state and regional agencies, amateur radio operators, and business/industry/volunteer group radio systems will be asked to supplement communications
capabilities. These resource capabilities will be requested through local and regional mutual-aid agreements and/or Montana DES, as required. B. PHASES OF MANAGEMENT 1) Prevention a)
Maintain a current technology-based, reliable, interoperable, and sustainable communications system. Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B8 b) Ensure warning communications systems meet jurisdictional needs. c) Ensure intelligence and other vital information
networks are operational. d) Ensure integrated communications procedures are in place to meet the needs and requirements of Gallatin County. 2) Prevention a) Review and update this communications
annex. b) Develop communications procedures that are documented and implemented through communications operating instructions (including connectivity with private-sector and nongovernmental
organizations). c) Thoroughly and continually review the system for improvement, including the implementation and institutionalized use of information management technologies. d) Ensure
communications requirements for the GCCC and potential Joint Information Center (JIC) are regularly reviewed. e) Review After Action Reports of actual occurrences, exercises, and other
sources of information for lessons learned. f) Ensure the integration of mitigation plans and actions into all phases of emergency management, as applicable. g) Acquire, test, and maintain
communications equipment. h) Ensure replacement parts for communications systems are available and make arrangement for rapid resupply in the event of an emergency. i) Train personnel
on appropriate equipment and communication procedures as necessary. j) Conduct periodic communications drills and make communications a major element during all exercises. k) Review
assignment of all personnel. l) Review emergency notification list of key officials and department heads. Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B9 ANNEX B (COMMUNICATIONS) m) Provide Qwest Communications with a list of circuit restoration priorities for essential
governmental systems. 3) Response a) Select communications personnel required for emergency operations according to the incident. b) Incident communications will follow ICS standards
and will be managed by the IC using a common communications plan and an incident-based communications center. c) All incident management entities will make use of common language during
emergency communications. This will reduce confusion when multiple agencies or entities are involved in an incident. d) Ensure emergency equipment repair on a 24-hour basis. e) Initiate
warning procedures as outlined in Annex A (Warning), if required. 4) Recovery All activities in the emergency phase will continue until such time as emergency communications are no longer
required. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Our emergency communications system is operated by Gallatin County 911 Communications and includes a
variety of government owned and operated equipment, as well as equipment owned and operated by certain volunteer groups. 2) The 911 Director will ensure that warning information received
at the warning point is disseminated to county/city officials and, where appropriate, to the public. The responsibility of ensuring the communications system is operational and incorporates
all available resources also rests with the 911 Director. B. ASSIGNMENT OF RESPONSIBILITIES Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B10 1) The 911 Director will: a) Be responsible for all activities enumerated in this annex in Phases of Management. b) Coordinate
common communications procedures. a) Develop and maintain a communications resource inventory. See Annex M (Resource Management) for additional information. b) Ensure a communications
capability exists between the Communications Center and the GCCC to include coordination with Qwest Communications for installation of dedicated telephone lines into the Communications
Center and/or the GCCC. c) Ensure communication restoration procedures are developed. d) Ensure that the local telephone company is forwarded a list of circuit restoration priorities.
e) Ensure procedures are in place for dissemination of message traffic. f) Coordinate the inclusion of business/industry and amateur radio operators into the communications network.
g) Develop and maintain SOP to include message-handling procedures and recall rosters for essential personnel. h) Responsible for proper use and maintenance of the equipment and for
correct message handling procedures, including routing of all incoming messages and logging all incoming and out-going messages. 2) The Public Information Officer will be: a) Responsible
for monitoring commercial radio and telephone broadcasts for accuracy of public information. IX. COORDINATION A. GENERAL 1) The 911 Director establishes general policies for emergency
communications. Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B11 ANNEX B (COMMUNICATIONS) 2) The 911 Director is under the supervision of the County Administrative Officer and is directly
responsible for facilities, equipment, and operation of the Communications Center. 3) Communications personnel from individual departments and support agencies, while under control of
their own department or agency and operating their own equipment, are responsible for knowing and following the procedures outlined in this annex. 4) During emergency situations, communications
will be maintained between the Communications Center and the GCCC. B. CONTINUITY OF GOVERNMENT Each department or agency with communications responsibilities shall establish a line of
succession for communications personnel. X. ADMINISTRATION & SUPPORT 1) Facilities and Equipment A complete listing of equipment is included Annex M (Resource Management). 2) Maintenance
of Records All records generated during an emergency will be collected and filed in an orderly manner so a record of events is preserved for use in determining response costs, settling
claims, and updating emergency plans and procedures. 3) Preservation of Records Vital records should be protected from the effects of disaster to the maximum extent feasible. Should
records be damaged during an emergency situation, professional assistance in preserving and restoring those records should be obtained as soon as possible. 4) Communications Protection
a) Radio i. Electromagnetic Pulse (EMP). One of the effects of a nuclear detonation that is particularly damaging to radio equipment is EMP. Plans call for the disconnection of radios
from antennas and power sources when an Attack Warning is issued. A portable radio unit will then be employed as a backup to Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B12 maintain limited communications with field units. This procedure will be used until an All Clear is announced. Telephones
will also be used while operable. ii. Lightning, Wind, and Blast. Standard lightning protection is used including arrestors and the use of emergency power during severe weather. Damaged
antennas can be quickly replaced with spare units maintained by vendors. iii. Mobile repeaters kept with the Fire Council, Search & Rescue and the Sheriff’s Office can be quickly positioned
at predetermined locations to resume radio communications in the event of damage to radio towers. b) Telephone (Common Carrier) i. Overloaded Circuits. To avoid overloaded circuits during
emergencies, citizens will be advised to listen to EAS for information and to use telephones only if they have a genuine emergency. If overloaded circuits do become a problem, coordinate
with Qwest Communications to begin immediate restoration of priority circuits. ii. Emergency Service. During major emergencies, a direct line to Qwest Communications is activated in
the GCCC for emergency service calls. 5) Computer Equipment and Facilities The physical protection of computer equipment and facilities will be maintained under normal and emergency
operations to help ensure continuity of communications. 6) Security a) Measures will be taken to ensure that only authorized personnel will have access to the Dispatch/Communications
Center. b) Communications security will be maintained in accordance with national, state, and local requirements. 7) Training a) Each organization assigning personnel to the GCCC for
communication purposes is responsible for making certain those persons are familiar with operating procedures. Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B13 ANNEX B (COMMUNICATIONS) b) The 911 Director will provide additional training on emergency communications equipment
and procedures as necessary. 8) Support If requirements exceed the capability of local communications resources, the PEO will request support from nearby jurisdictions or state resources
from the EMDO. XI. ANNEX DEVELOPMENT & MAINTENANCE 1) The 911 Director will be responsible for maintaining this annex. Each agency will develop SOP that address assigned tasks. 2) This
annex will be updated in accordance with the schedule outlined in the Basic Plan. Redacted Version
ATTACHMENT A COMMUNICATIONS DIAGRAM & TABLE Gallatin County EMP, Annex B (Communications), 05/18/11 Page B14 Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B15 ANNEX B (COMMUNICATIONS) ATTACHMENT B FREQUEN Name AMR AMBULANCE TAC AMSTERDAM FIRE TAC BELGRADE FIRE TAC BELGRADE POLICE
BELGRADE PW REPEATER BIG SKY FIRE TAC BIG SKY SKI AREA BASE AREA TAC BIG SKY SKI AREA LIFT TAC BIG SKY SKI AREA MOUNTAIN PATROL BIG SKY SKI AREA SKI PATROL BLACK BLUE BOZEMAN CITY OF,
PARKS REPEATER BOZEMAN CITY OF, SANITATION RP BOZEMAN FIRE F1 BOZEMAN FIRE TAC 1 BOZEMAN FIRE TAC 2 BOZEMAN POLICE F3/TAC REPEATER BOZEMAN POLICE REPEATER BOZEMAN STREETS REPEATER BOZEMAN
WATER REPEATER BRIDGER BOWL REPEATER BRIDGER BOWL SKI AREA LIFTS & SKI PATROL BRIDGER CANYON FIRE TAC BROADWATER CO ‐BROADWATER SOUTH BROADWATER DO ‐FIRE 154.310?? BROWN CIVIL AIR PATROL
ACTUAL SEARCH CIVIL AIR PATROL AIR/GROUND SIMPLEX COMMON (NPS DIRECT) CORAL DNRC BRIDGER RIDGE FOREST SERVICE ‐AIR TO GROUND P FOREST SERVICE ‐AIR TO GROUND S FORT ELLIS FIRE /TAC GALLATIN
CANYON FIRE/BIG SKY FIRE TAC GALLATIN COUNTY DETENTION CENTER Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B16 GALLATIN COUNTY FAIRGROUNDS GALLATIN COUNTY FIRE CENTRAL RP GALLATIN COUNTY FIRE COUNCIL GTAC 1 GALLATIN COUNTY FIRE
COUNCIL GTAC 2 GALLATIN COUNTY FIRE COUNCIL GTAC 3 GALLATIN COUNTY FIRE EAST RP GALLATIN COUNTY FIRE MUTUAL AID GALLATIN COUNTY FIRE NORTH GALLATIN COUNTY FIRE WEST GALLATIN COUNTY ROADS
TAC GALLATIN COUNTY SAR REPEATER GALLATIN COUNTY SHERIFF N RPTR GALLATIN COUNTY SHERIFF S RPTR GALLATIN COUNTY SHERIFF TAC GALLATIN COUNTY SRT REPEATER GALLATIN GATEWAY FIRE GALLIN COUNTY
ROADS REPEATER GARNET GOLD GRAY GREEN IDAHO FREMONT CO SAR IDAHO FREMONT COUNTY SAR LIVINGSTON FIRE LIVINGSTON FIRE LIVINGSTON POLICE REPEATER LIVINGSTON POLICE SIMPLEX LIVINGSTON POLICE
SUPERVISORY/TAC MADISON COUNTY SHERIFF NORRIS REPEATER MADISON COUNTY TAC MADISON COUNTY VOL FIRE ‐MAUER MADISON COUNTY VOL FIRE‐NORRIS MADISON COUNTY VOLU FIRE ‐ENNIS FIRE TAC MADISON
VALLEY RURAL FIRE DEPT MANHATTAN POLICE TAC MAROON MEAGHER COUNTY SO MONTANA STATE COMMON MUTUAL AID EMERGENCY REPEATER MONTANA STATE COMMON MUTUAL AID EMERGENCY REPEATER MONTANA STATE
HIGHWAY MAINT BRIDGER REPEATER Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B17 ANNEX B (COMMUNICATIONS) MONTANA STATE HIGHWAY MAINT RPTR EAGLEHEAD MONTANA STATE HIGHWAY MAINT RPTR ENNIS MONTANA STATE
HIGHWAY MAINT RPTR W. YELLOWSTONE MONTANA STATE HIGHWAY MAINT. STATEWIDE MONTANA STATE PATROL REPEATER E5‐BIG SKY MONTANA STATE REPEATER C3‐BOZEMAN MONTANA STATE UNIVERSITY POLICE F1
MONTANA STATE UNIVERSITY POLICE ‐STUDENT SECURITY MONTANA STATE UNIVERSITY POLICE TAC NATIONAL FOREST AIR GUARD NATIONAL FOREST AIR NET NATIONAL FOREST SERVICE COMMON NORTHSIDE RURAL
FIRE REPEATER NORTHSIDE RURAL FIRE TAC PARK COUNTY FIRE DEPT TAC PARK COUNTY REPEATER PARK COUNTY RURAL FIRE PARK COUNTY RURAL FIRE DISPATCH/NORTH PARK COUNTY RURAL FIRE DISPATCH/SOUTH
PARK COUNTY SHERIFF LOCAL PARK COUNTY SHERIFF REPEATER PINK PURPLE RAE FIRE RED RUBY RUBY/GARNET SAR PORTABLE REPEATER SCARLET SILVER SOA 1 DIRECT SOA 1 RPTR SOA 2 RPTR SOA 3 RPTR SOURDOUGH
FIRE TAN THREE FORKS FIRE THREE FORKS POLICE TAC VIOLET WEST YELLOWSTONE FIRE WEST YELLOWSTONE YELLOWSTONE FIRE/AMBULANCE Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B18 WEST YELLOWSTONE POLICE WHITE WHITE SULPHUR SPRINGS ROUNDUP SO TAC YELLOW YELLOWSTONE FIRE CACHE OPERATIONS YELLOWSTONE
HOLMES RPTR YELLOWSTONE LAMAR RPT YELLOWSTONE NORTH DIRECT YELLOWSTONE NORTH LAMAR DIRECT YELLOWSTONE NORTH RPTR YELLOWSTONE WEST DIRECT YELLOWSTONE WEST RPTR Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B19 ATTACHMENT C COMMUNICATIONS SITES ( ANNEX B COMMUNICATIONS) Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B20 Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B21 ANNEX B (COMMUNICATIONS) ): Alphanumeric Paging Microwave <-> Fire East Repeater Operational Area Repeater Fire North
Fire Dispatch Voted-Simulcast Trunked Trunked Dispatch ): Alphanumeric Paging Microwave <-> Fire North Repeater Fire Dispatch Voted-Simulcast Law North Repeater Law Dispatch Voted-Simulcast
RDLAP UHF Mobile Data ): Alphanumeric Paging Microwave <-> <-> Fire North Repeater Fire Dispatch Voted-Simulcast Fire West Operational Area Repeater Trunked Trunked Dispatch ): Alphanumeric
Paging ): Alphanumeric Paging Fire North Repeater Fire Dispatch Voted-Simulcast Microwave High Flat <-> ECC <-> Kenyon Microwave <-> <-> BFD Control Control Station for BFD Rpt BPD Control
Control Station for BPD Rpt Alphanumeric Paging Trunked Trunked Dispatch Microwave <-> <-> Microwave <-> ): Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B22 Law North Law Dispatch Voted-Simulcast ): Alphanumeric Paging Trunked Trunked Dispatch SAR High Flat Search and Rescue
Coordination Fire North Fire Dispatch Voted-Simulcast Microwave <-> <-> Microwave <-> Microwave <-> South Control Control Station for South Rpt RDLAP UHF Mobile Data ): Bozeman Fire
Fire Dispatch Fire Central Operational Area Repeater Ruby Repeater Operational Area Repeater Bozeman Police Law Dispatch nt): Trunked Trunked Dispatch Microwave <-> <-> ): South Eaglehead
Fire & Law Dispatch ): Alphanumeric Paging South Big Sky Fire & Law Dispatch Big Sky Tac Operational Area Repeater Alphanumeric Paging Alphanumeric Paging SAR Horse Search & Rescue Coordination
RDLAP UHF Mobile Data Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B23 ANNEX B (COMMUNICATIONS) ): SAR Big Sky Search & Rescue Coordination Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B24 ATTACHMENT D Radio Amateur Communications Emergency Service (RACES) Founded in 1952, the Radio Amateur Civil Emergency
Service (RACES) is a public service provided by a reserve (volunteer) communications group within government agencies in times of extraordinary need. During periods of RACES activation,
certified unpaid personnel are called upon to perform many tasks for the government agencies they serve. Although the exact nature of each activation will be different, the common thread
is communications. The Federal Communications Commission (FCC) is responsible for the regulation of RACES operations. RACES is administered by the local, county, or state agency responsible
for disaster services. RACES is a special part of the amateur operation sponsored by the Federal Emergency Management Agency (FEMA). RACES was primarily created to provide emergency
communications for civil defense preparedness agencies and is governed in the Code of Federal Federal Regulations (CFR) Title 47, part 97, Subpart E, Section 97.407. Today, as in the
past, RACES is employed during a variety of emergency situations where normal governmental communications systems have sustained damage, or when additional communications are required
or desired. Situations where RACES can be used include, but are not limited: natural disasters, technological disasters, terrorist incidents, civil disorder, and CBRNE incidents. The
Gallatin County Search and Rescue Amateur Radio Operators are the primary source of RACES support for Gallatin County. Montana Frequencies: Use Primary Alternate State Net District 1
District 2 District 3 District 4 District 5 District 6 State EOC Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B25 ANNEX B (COMMUNICATIONS) ATTACHMENT E Fire Service Base Frequencies Fire Base 15 Channel Example -VERSION 2 4/9/09 Ch
Name Rx Freq Rx Tone Tx Freq Tx Tone W/N Function Tactical Call Remarks 1 W Fire Dispatch Fire North Galla in County Fire Dispatch 2 W As assigned Fire West Galla in County West Tac
Repeater 3 W As assigned Fire Central Gallatin County Central Tac Repeater 4 W As assigned Ruby MT Mutual Aid Repeater (portable or fixed) 5 W As assigned Fire East High Galla in County
East Tac Repeater 6 W Law Dispatch 593 Gallatin County Law Dispatch 7 8 Agency Tactical Channel Agency Tac Agency Tac 9 W As assigned Red State Fire Mutual Aid 10 W As assigned Scarlet
Fire Operations Tac 11 W As assigned Maroon Fire Operations Tac 12 W As assigned Coral Fire Operations Tac 13 W As assigned GTAC 3 Gallatin Cty Multidisciplinary Tac 14 W As assigned
GTAC 2 Gallatin Cty Multidisciplinary Tac 15 W As assigned GTAC 1 Gallatin Cty Multidisciplinary Tac 16 W Check In Gold/Check-In Interagency Mutual Aid Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11 Page B26 ATTACHMENT F Mobile Emergency Response Support (MERS) The MERS system is a component of the FEMA Logistics System, managed
by the Response Director. The mission of the MERS Detachments is to provide (air and ground transportable) mobile telecommunications, logistics, operations, security, disaster preparedness/safety,
and administrative support required for the on-site management of disaster response operations. • Telecommunications capability using satellites, high and low frequency radios, and microwave
line-of-sight transmissions. • MERS equipment specific logistical support for disaster field facilities. • Life Support Operations for disaster responders (Meals Ready-to-Eat (MRE),
water, etc.) • Power generation including dedicated site power, power distribution, and lighting. • Heating, ventilation, and air conditioning for up to 16,000 square feet. • Reverse
osmosis water purification unit – purifies brackish and salt water (3,000 gallons gallons per hour for brackish water, and 300 gallons per hour for salt water. • Water transportation
and storage (6,200 gallon water tanker for potable water). • Fuel transportation and distribution, and refueling operations. • Quick Response System (QRS) – supports a team of 13 people
with equipment for up to 72 hours, and includes satellite communications, radio communications, laptop computers, generators, and life support. • Emergency Operations Vehicles (EOV):
o Emergency Response Team (ERT)
Command and Control Center (20 – 25 personnel) o Two (2) on-board 40kw generators o Voice-over IP switching, network server, broadcast TV reception, two-way internet service and video-teleconferencin
g o Twenty workstations consisting of landline and wireless telephones, and LAN/WAN and modem connections o Conventional office machine support (fax, copier, etc.) • MERS Emergency Operation
Vehicles (2 per detachment): • Emergency Response Team (ERT) Command and Control Center (8-10 personnel) Expandable vehicle for operations area with conference table Activation Criteria
Local Disaster Authorization FEMA Operations Center Redacted Version
Gallatin County EMP, Annex B (Communications), 05/18/11, Page B27 Activation Procedure 1) Contact Gallatin County Emergency Management Duty Officer ( . 2) EMDO will contact MT DES Duty
Officer ( ). 3) MT DES Duty Officer will contact RRCC ( ) or FEMA Operations Center ( ). ( ANNEX B COMMUNICATIONS) Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex C : Shel ter & Mass Care Redacted
Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Shelter & Mass Care Mitigation Preparedness Response Recovery ReadyGallatin.com The Shelter and Mass Care Annex describes
how we provide sheltering and mass care services to the community. The primary agency for this function is the Gallatin County Volunteer Organizations Active in Disaster (VOAD). Gallatin
County Emergency Management has worked close with VOAD in development and maintenance of this function. Gallatin County Volunteer Organizations Active in Disaster is composed of 11 nongovernmental
organizations located in Gallatin County. Each one of these organizations bring a different set of resources with them, and together provide all the functions necessary to providing
shelter and mass care to displaced people. This annex provides the coordination and assignment of 5 primary activities under the umbrella of sheltering and mass care. • Feeding – How
do we provide food to the community and the responders. • Sheltering – How do we provide sheltering for displaced individuals. • Special Needs – What special factors need to be taken
into account to support groups and individuals with special needs. • Pets – How do we support pets during an incident. • Welfare Inquiries – How do we provide reunification of individuals.
Most of these activities will utilize the support of several groups to perform during and incident. Great effort has been volunteered by the VOAD to identify how these groups work together
for the overall good of the community. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C2 RECORD OF CHANGES ANNEX C: SHELTER & MASS CARE Date of Change Date Entered Change Entered By 1 2 3 4 5 6 7 8 9 10
11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C3 ANNEX C (SHELTER & MASS CARE) APPROVAL & IMPLEMENTATION ANNEX C: SHELTER & MASS CARE This annex is hereby approved.
This annex is effective immediately and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… C6 II. SUPPORTING AGENCIES………………………………………………….. C6 III.
AUTHORITY………………………………………………………………….. C6 IV. PURPOSE……………………………………………………………………. C7 V. EXPLANATION OF TERMS………………………………………………… C7 A. Acronyms……………………………………………………………… C7 B. Definitions………………………………………………
……………… C7 VI. SITUATIONS & ASSUMPTIONS A. Situation……………………………………………………………… C8 B. Assumptions…………………………………………………………… C9 VII. CONCEPTS OF OPERATIONS A. Shelter & Mass Care Policy…………………………………………..
C10 B. State Support & Assistance Policy………………………………….. C11 C. Staffing Requirements……………………………………………….. C11 D. Mass Care Relief……………………………………………………... C12 E. Feeding…………………………………………………………………..
C12 F. Sheltering……………………………………………………………….. C13 G. Special Needs Groups & Individuals……………………………….… C14 H. Handling of Pets………………………………...……………………… C14 I. Public Information…………...…………………….……………………..
C15 J. Welfare Inquiries……...………………………………………………… C15 K. External Assistance……..……………………………………………… C16 L. Phases of Management……..……………….………………………… C16 VIII. Organization & Assignment
of Responsibilities A. Organization…………………………………………………………… C17 B. General………………………………………………………………... C18 C. Assignment of Responsibilities……………………………………… C18 D. Primary Agency……………………………………………………….
C21 Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C5 ANNEX C (SHELTER & MASS CARE) IX. Coordination…………………………………………………………………..C22 X. Administrative Support A. Support…………………………………………
……………………… C23 B. Training and Exercises……………………………..………………… C23 C. Expenditures and Record Keeping……………….………………… C23 D. Critiques………………………………………………………………. C24 XI. Annex Development &
Maintenance……………………………………… C24 ATTACHMENTS A. VOAD Resources………………………..…………………………… C25 B. Safe & Well Disaster Welfare Inquiry System…………………….. C28 C. Gallatin County Medical Volunteer
System……………………….. C31 Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C6 ANNEX C: SHELTER & MASS CARE I. PRIMARY AGENCIES Gallatin County VOAD II. SUPPORTING AGENCIES Gallatin County Health
Department, Gallatin County Emergency Management, Law Enforcement, and Montana State University III. AUTHORITY A. FEDERAL Name Description Legal Congressional Charter of 1905 Creation
of the American Red Cross 36 USC 300101-300111 Homeland Security Presidential Directive 5, Management of Domestic Incidents Establishes authorities and creates National Incident Management
System HSPD-5 Emergency Assistance Act Outlines federal assistance to state and local governments 42 USC 5121-5206, PL93-288 B. STATE Name Description Legal Disaster Emergency Services
DES Program/Hazmat/MA MCA 10-3 C. LOCAL Name Description Legal TBD Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C7 ANNEX C (SHELTER & MASS CARE) IV. PURPOSE The purpose of this annex is to outline the organization, operational
concepts, responsibilities, and procedures to provide emergency shelter and mass care requirements in Gallatin County. V. EXPLANATION OF TERMS A. ACRONYMS ARC American Red Cross DHS
Department of Homeland Security DWI Disaster Welfare Inquiry EMDO Emergency Management Duty Officer FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center
(aka EOC) GCEM Gallatin County Emergency Management NIMS National Incident Management System PEO Principal Executive Officer PIO Public Information Officer SOP Standard Operating Procedures
TSA The Salvation Army VOAD Volunteer Organizations Active in Disaster USDA United State Department of Agriculture B. DEFINITIONS Mass Care Providing assistance to those who have been
displaced from their homes and others affected by a hazardous situation or the threat of such a situation. Mass care for these individuals includes providing food, basic medical care,
clothing, and other essential life support services. Welfare Inquiries Welfare inquiries are requests from relatives, friends, employers, or others for information on the status of persons
in an area affected by an emergency situation who cannot be located because they have evacuated, become separated from their families, or cannot be contacted by normal means of communication.
For emergency situations that extend beyond several days, the American Red Cross (ARC) may activate a Welfare Inquiry System, known as Disaster Welfare Inquiry (DWI), to handle such
inquiries. ARC has a website in which this can be viewed and activated, https://disastersafe.redcross.org. Shelter Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C8 1) Short-term lodging for evacuees during and immediately after an emergency situation. Shelters are generally located
away from known hazards. Mass care operations are typically conducted in shelters. 2) Two Basic Types of Shelters a) Emergency Shelter is often referred to as Congregate Care or Congregate
Lodging. These are facilities, such as churches, lodges, schools, or National Guard armories, adequate to provide temporary shelter for disaster victims. b) Temporary Housing is a longer
duration shelter coordinated by FEMA, which includes unoccupied, available, and public or federally owned housing, rental properties, mobile homes, or other readily fabricated dwellings.
Special Needs Individuals/Groups Includes elderly, children, those who are medically fragile, as well as mentally and/or physically challenged. These groups may need to have specially
trained health care providers to care for them, special facilities equipped to meet their needs, and may require specialized vehicles and equipment for transport. This population requires
specialized assistance in meeting daily needs and may need special assistance during emergency situations. VI. SITUATION & ASSUMPTIONS A. SITUATION 1) Our Hazard Summary in the Basic
Plan identifies a number of threats that could make it necessary to evacuate some portions of the county. Evacuees from other jurisdictions may also seek refuge in our area. Each of
these situations may generate a need for shelter and mass care operations. 2) We have the responsibility for providing shelter and mass care to protect local residents displaced from
their homes and others who evacuate into our jurisdiction due to emergency situations. 3) Shelter and mass care needs may range from very short term operations for a limited number of
people where the primary objective is to provide protection from the weather, provide assistance to those who have been displaced from their homes, comfortable seating, and access to
rest rooms. In addition, it may be necessary to provide accommodations for more lengthy operations for large numbers of evacuees where feeding, sleeping, and shower facilities are available.
Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C9 ANNEX C (SHELTER & MASS CARE) 4) The American Red Cross (ARC) has been chartered under federal law to provide mass
care to victims of natural disasters. Hence, our efforts should be coordinated with the ARC, which will normally operate shelter and mass care operations insofar as its capabilities
permit. a) The ARC signs agreements with local governments, school districts, churches, and other organizations to use their facilities for shelter and mass care operations. The ARC
identifies suitable shelter facilities based on a set of standards, maintains a list of potential shelters, maintains shelter kits, and trains shelter management personnel. b) Local
governments, the ARC, and other volunteer groups may also sign agreements relating to the operation of shelter and mass care and feeding facilities when needed; such agreements detail
the responsibilities of both the volunteer group and the local government. 5) If ARC services are not available, other volunteer organizations and religious groups may open shelters.
Some of these organizations and groups coordinate their efforts with the ARC, while others may operate these facilities themselves and assume full responsibility for them. B. ASSUMPTIONS
1) Shelters may have to be opened with little notice. Until the ARC personnel arrive and assume responsibility for managing such shelters, local government personnel may have to manage
and coordinate shelter and mass care activities. 2) Members of Gallatin County Volunteers Active in Disaster (VOAD) will assist in shelter and mass care operations. 3) If additional
resources are needed to conduct shelter and mass care operations, support may be requested pursuant to inter-local agreements and from state and federal emergency management agencies.
4) When evacuation is recommended during an emergency situation, the vast majority of evacuees will seek refuge with friends or relatives or go to commercial accommodations rather than
a public shelter. In addition, some people, who are not at risk, may spontaneously evacuate and seek public shelter. 5) For hazards that are highly visible or extensively discussed in
the media, people may evacuate prior to an official recommendation to do so. Hence, Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C10 shelter and mass care operations may have to commence early in an emergency situation. 6) Essential public and
private services will be continued during shelter and mass care operations. However, for a major evacuation that generates a large-scale shelter and mass care operation, normal activities
at schools, community centers, churches, and other facilities used as shelters may have to be curtailed. VII. CONCEPT OF OPERATIONS A. SHELTER & MASS CARE POLICY 1) This annex is intended
to outline the capabilities for mass care services, including shelter, feeding, basic first aid, bulk distribution of needed items and other related services to persons affected by the
incident, including special needs populations. 2) For a hazard that can be anticipated, shelters are normally located away from the expected disaster area. Later, after immediate hazard
conditions have lessened, shelters may be established within or in proximity to the disaster area to establish temporary housing for the people made homeless, temporarily or otherwise,
by the disaster. 3) Shelter Selection a) The ARC publishes standards for temporary shelters. The following criteria may be useful in screening facilities to determine which merit more
detailed inspection: i. A safe and healthful facility reasonably near the victim’s homes. ii. An appropriate size for the need. iii. Has suitable space for sleeping quarters (40-60 sq.
ft./bed). iv. Has secured storage areas, separate rooms for elderly and families with children, disabled (as needed), nursing, and office space. v. Has adequate supply of drinking water
(5 gal/person/day for all users), toilet and bathing facilities (one toilet/40 people). vi. Includes provisions for cooking, serving, and storing food (each person will need 2500 calories).
Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C11 ANNEX C (SHELTER & MASS CARE) vii. Has fire and police protection. viii. Has adequate parking. 4) Shelter Facilities
a) The ARC executes agreements with building owners for use of structures as shelters, inspects the facilities it plans to use to determine their capacities, and determines the availability
of various types of equipment. b) Schools are the most frequently used shelters because they generally have substantial space, a feeding capability, sufficient restrooms, and adequate
climate control systems. Those who wish to utilize schools for sheltering must secure permission in writing from school officials. c) Community centers and churches are also frequently
used as shelters. Permission to use these facilities or any other facilities for disaster operations should also be secured in writing from the owners or operators of those facilities.
d) In most shelters, evacuees must sleep on the floor; there are generally not enough cots cots immediately available. Public information messages should highlight this situation and
encourage those who plan to take refuge in a public shelter to bring bedding. B. STATE SUPPORT & ASSISTANCE POLICY 1) In accordance with this plan, state emergency support and assistance
will be provided as quickly and as efficiently as feasible, if required. Attempts to provide assistance will be consistent with priority of need as outlined in Annex N (Coordination).
2) State assistance will only be available after a local declaration is enacted in accordance with Annex U (Legal). C. STAFFING REQUIREMENTS 1) Based on situational requirements, VOAD
may provide a representative to the Gallatin County Coordination Center (GCCC) and field-deployed incident command posts. Representatives may serve in both a primary and/or support agency
role. To facilitate accomplishment of assigned responsibilities, the number of agency personnel operating from each location will be based on operational requirements and coordinated
with with the appropriate primary agency. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C12 2) VOAD representatives must be knowledgeable of the resource request, deployment, and accountability methodology
for committing assets or services at their disposal. D. MASS CARE RELIEF 1) Registration a) The purpose of registration is to be able to respond to inquiries about the status of evacuees,
monitor health concerns, and provide a basis for post-emergency follow-up support. b) The ARC will assist local government in the registration of evacuees who are housed in ARC shelters.
The Shelter Officer should coordinate with other organizations that operate shelters to ensure that evacuees occupying those facilities are registered and information provided to the
EOC. 2) Other Needs In addition to the provision of shelter and mass care services, evacuees may need assistance with clothing, basic medical attention, prescription medicines, disaster
mental health services, temporary housing, and other support services. Many human services programs also serve disaster victims that have not been evacuated from their homes. These services
will be coordinated by the Gallatin County VOAD. 3) First Aid First responders will handle all medical needs for those people affected by the disaster. See Attachment D for more information.
E. FEEDING 1) Both fixed facilities and mobile units may be used for preparing and serving meals. Fixed facilities include schools, churches, and civic buildings serving as shelters.
These kitchens must meet Health Department standards. The VOAD organization(s) may also deploy self-contained mobile feeding units to supplement fixed feeding facilities. 2) The U.S.
Department of Agriculture (USDA), through the Health and Human Services Commission (HHSC), provides USDA commodities used in preparing meals or for distribution to disaster victims.
3) If a school is used as a congregate feeding site, the school may use USDA commodities already on its shelves to prepare meals for mass care Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C13 ANNEX C (SHELTER & MASS CARE) operations. USDA will replace them or credit their entitlement dollars as long as
school officials provide HHSC with an itemized list of the commodities were used and daily meal counts. USDA commodities may not be used without prior approval from HHSC. The request
must come from the ARC. The form FCS-292, a report of commodity distribution, must be completed by school officials within 30 days after the termination of assistance to the disaster
victims. Also HHSC will arrange to have additional USDA commodities shipped to the feeding site either directly from USDA or one of the HHSC warehouses, if necessary. F. SHELTERING 1)
The ARC, with the help of VOAD, will identify potential shelters and develop a shelter list to ensure that issues of interest to local government are considered in the shelter selection
process. 2) The specific facilities that will be used for sheltering and feeding during an emergency will depend on the needs of the situation, the status of available facilities, the
location of the hazard area, and the anticipated duration of operations. Shelters are typically opened and closed based on need. When occupancy of existing shelters reaches 75 to 80
percent, consideration should be given to opening an additional facility. 3) It is generally more effective in terms of resource utilization to operate a few medium to large shelters
than a large number of small facilities. 4) Shelters should be managed by individuals with shelter management training. The ARC will maintain a listing of trained shelter and mass care
facility managers in the local area. 5) To ensure consistency in shelter activities, it is desirable that all shelters follow a general set of operating guidelines. When the ARC opens
a shelter, ARC policies guide how the facility is staffed and operated. 6) Shelter managers are expected to provide periodic reports on the number of occupants and the number of meals
served. Other groups operating shelters may also be required to report this information through their organizational channels. 7) Local government is responsible for providing the following
support for shelter operations: a) Security and, if necessary, traffic control at shelters. b) Fire inspections and protection at shelters. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C14 c) Transportation for food, shelter supplies, and equipment if the organization operating the shelter cannot do
so. d) Basic medical attention, if the organization operating the shelter cannot do so. 8) Evacuees normally return to their homes as soon as the danger has passed. Hence, most shelters
are closed quickly and returned to normal use. However, some evacuees may be unable to return to their homes due to damage or destruction. It may be necessary to have one or more shelters
remain open for an extended period until those who cannot return to their residences can be relocated to motels, rental units, mobile homes, and other types of temporary housing. Such
extended use facilities should have showers and on-site feeding, and cots should be provided. Temporary housing is coordinated through FEMA. G. SPECIAL NEEDS GROUPS & INDIVIDUALS 1)
Special facilities include hospitals, nursing homes, group homes, and correctional institutions. Such facilities are responsible for the welfare and safety of their clients, who may
need trained staff to care for them and special equipment and facilities to meet their needs. Institutions supporting special needs populations are required by state and federal regulations
to have disaster preparedness plans that provide for evacuation and relocation of the institution’s population to comparable facilities in an emergency. 2) In the event that special
facilities encounter difficulty in evacuating and relocating their clients, local officials may need to assist those facilities in arranging transportation and in locating suitable reception
facilities. It may also be necessary to assist in relocating some medical patients who are living at home. 3) Mass care shelters for the general population are not staffed or equipped
to handle special needs groups. These groups, particularly medical patients and prisoners, should not be relocated to shelters used by the general public. 4) Public shelters can generally
accommodate individuals with special needs who require minimal care and are attended by their families or other caregivers. Patients with special needs beyond the capacity of the shelter,
disabilities, or severe injury are moved to a more suitable healthcare facility as soon as possible. H. HANDLING OF PETS 1) Evacuees with pets seeking public shelter can create potential
problems. For health reasons, pets are not allowed in emergency shelters operated by the Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C15 ANNEX C (SHELTER & MASS CARE) ARC and most other organized volunteer groups. However, a number of studies have
indicated that some people, particularly the elderly, will not leave their homes if they cannot take their pets with them. Hence, it is desirable to make reasonable arrangements for
evacuees who come to public shelters with pets. VOAD should coordinate these arrangements. 2) Depending on the situation, we will use one or more of the following approaches to handle
evacuees arriving with pets: a) Provide pet owners information on nearby kennels, animal shelters, and veterinary clinics that have agreed to temporarily shelter pets. b) Direct pet
owners to a public shelter that has covered exterior corridors or adjacent support buildings where pets on leashes or in carriers may be temporarily housed. c) Set up temporary pet shelters
at the Gallatin County Expo Center, stock yards, MSU, etc. I. PUBLIC INFORMATION 1) The public information staff is expected to develop emergency public information messages to advise
those who are or will be evacuating of the location of public shelters and general shelter policies. 2) The public information staff should also provide information on the emergency
situation to shelter managers so they can pass such information on to shelter occupants. 3) The primary communications between shelter and mass care facilities and the GCCC will be by
telephone. If telephones cannot be used, radios should be provided. Amateur radio operators may be able to assist with communications needs. J. WELFARE INQUIRIES 1) We will utilize American
Red Cross’ Safe and Well System (www.redcross.org/safandwell) to answer requests from relatives and friends concerning the safety and welfare of evacuees or those in disaster areas.
The Safe and Well System uses information entered by affected individuals themselves. The system allows people access limited contact information to find people and see their current
status. Safe and Well may not be established in short duration situations. 2) Mass care and shelter facilities assist in Welfare Inquiries by gathering information on disaster victims
though registration of victims at shelters. Due Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C16 to confidentiality issues, the extent to which this information can be shared is limited. When activated, shelter
occupants are encouraged to register on Safe and Well. 3) Specific information on Safe and Well is located in Attachment B. K. EXTERNAL ASSISTANCE If shelter and mass care needs cannot
be satisfied with local resources or those obtained pursuant to inter-local agreements and from volunteer organizations, authorized local officials may request state assistance. For
more details on requesting state assistance, see Annex U (Legal). L. PHASES OF MANAGEMENT 1) Mitigation a) Identify volunteer organizations that could assist in shelter and mass care
operations and develop cooperative agreements. b) In coordination with ARC & VOAD, identify suitable shelters and feeding facilities. c) Sign agreements with volunteer organizations
authorizing use of local government facilities for shelter and mass care operations. d) Encourage schools, churches, and volunteer groups to sign written agreements for use of their
facilities as emergency shelters. 2) Preparedness a) Send selected local officials to shelter management training and encourage those organizations or agencies that will be making their
facilities available for use as shelters to send their personnel to such training. b) In coordination with volunteer organizations, identify potential shelters, and develop general shelter
and mass care procedures for the local area. c) Coordinate basic communication and reporting procedures. d) Develop facility setup plans for potential shelters. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C17 ANNEX C (SHELTER & MASS CARE) e) Identify population groups requiring special assistance during an emergency and
ensure that preparations are made to provide assistance. 3) Response a) Open and staff shelters and mass care facilities. b) Provide information to the public on shelter locations and
policies. c) Assist in the registration of evacuees. d) Provide food, clothing, first aid, and other essential services to evacuees. e) Maintain communications between mass care facilities
and the GCCC. f) Provide periodic reports on shelter occupancy and meals served. g) Provide information to victims needing additional services. 4) Recovery a) Assist evacuees in returning
to their homes, if necessary. b) Assist those who cannot return to their homes with temporary housing. c) Deactivate shelters and mass care facilities and return them to normal use.
d) Inform public of any follow-on recovery programs that may be available. VIII. ORGANIZATION & & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION The Gallatin County VOAD will carry out
shelter and mass care operation. The agencies receiving direction from VOAD are listed in Attachment A. Operations will be organized in accordance with NIMS guidelines. The Gallatin
County VOAD is responsible for coordinating among its members. VOAD will provide a representative to the GCCC. Redacted Version
Gallatin County EMP, Annex C (Shelter &
Mass Care), 05/18/11, Page C18 B. GENERAL VOAD is responsible for coordinating the efforts of local government, volunteer groups, and other agencies involved in shelter and mass care
operations. C. ASSIGNMENT OF RESPONSIBILITIES 1) The Principal Executive Officer (PEO) will: a) Direct the opening of local shelter and mass care facilities and the closing of such facilities
when they are no longer needed. b) Approve release of public information materials on shelter locations and what people should bring and not bring to public shelters. c) Coordinate shelter
and mass care efforts with other local governments, where appropriate. d) Request shelter and mass care support from other local governments and/or the state if local resources are insufficient.
2) The EMDO will: a) Coordinate shelter and mass care planning with VOAD, the PIO, other local officials, and volunteer organizations. b) When the situation warrants, recommend to the
PEO that shelter and mass care operations be implemented. c) Recommendation the number of facilities to be activated and specific facilities to be used in coordination if with the volunteer
organizations that will operate those facilities. d) Coordinate with the functional managers in the GCCC to provide support for shelter and mass care activities. e) Receive reports on
shelter and feeding operations from Gallatin County VOAD. During major emergencies, summarize shelter and mass care activities in the periodic Situation Report. f) When conditions warrant,
recommend to the PEO that shelter and mass care facilities be closed. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C19 ANNEX C (SHELTER & MASS CARE) 3) The Incident Commander will: Identify requirements for shelter and mass care support
needed as a result of an evacuation. 4) The ARC shall serve as lead shelter organization and will: a) Identify volunteer organizations that are willing to support local shelter and mass
care activities through VOAD. See Attachment A. b) Identify potential shelter and mass care facilities in coordination with volunteer organizations that normally operate shelters and
feeding facilities, c) Develop emergency agreements with volunteer groups for the use of facilities owned by local government and encourage other agencies, organizations, and groups
that have suitable facilities to sign similar agreements. d) Develop cooperative agreements with volunteer organizations relating to shelter and mass care support. e) Coordinate and
disseminate common shelter operating guidelines to volunteer organizations operating shelters. f) Ensure mass care facilities are adequately staffed and equipped. g) Coordinate mass
feeding where needed. Coordinate with HHSC officials for supplementary food stocks from USDA sources if required. h) Identify requirements for human services support for evacuees in
shelters to the Human Services Officer. i) Identify requirements for facility security and fire protection requirements for shelters to law enforcement agencies and the fire service
j) Coordinate resource support for shelter operations. k) Receive reports on shelter and mass care operations and provide summary information for inclusion in the periodic Situation
Report. l) Respond to disaster welfare inquiries. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C20 5) Shelter Managers will: a) Staff and open shelters and keep them operating as long as necessary. b) Register
shelter occupants and assist in answering disaster welfare inquiries. c) Arrange for mass feeding, if required. d) Identify additional resource requirements to the Shelter Officer. e)
Coordinate with VOAD to provide individual and family support services as needed. f) Submit a daily mass care facility status report to the GCCC that indicates the number of shelter
occupants, the number of meals served, and the condition of the facility, and also identifies any problem areas. g) Maintain records of supplies received and expended. h) When directed,
terminate operations, turn in equipment and unused supplies, return the facility to its original condition, and submit a final report mass care facility status report. 6) The Law Enforcement
will: Provide security and law enforcement at shelter and mass care facilities. 7) The Fire Protection will: a) Inspect shelter and mass care facilities for fire safety. b) Provide and
maintain shelter fire extinguishers. c) Train shelter management personnel in fire safety and fire suppression. 8) The Transportation Officer will: a) Arrange transportation for shelter
equipment, food, clothing, blankets, comfort kits, and other shelter supplies to shelter and mass care facilities. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C21 ANNEX C (SHELTER & MASS CARE) b) Upon request, provide transportation for return of evacuees without vehicles to
their homes. 9) The Health and Medical Officer will: a) Coordinate basic medical assistance for individuals in mass care facilities. b) Monitor health and sanitation conditions in mass
care facilities. 10) VOAD will: a) Coordinate provision of clothing, blankets, personal care items and other items to evacuees. b) Upon request, coordinate disaster mental health services
for occupants of mass care facilities. c) Coordinate arrangements to provide temporary facilities for evacuees arriving at shelter and mass care facilities with pets. d) Be prepared
to provide shelter managers with information on procedures for handling evacuees with pets. 11) The PIO will: a) Provide information to the public on the locations of shelters and shelter
operating policies. b) Provide updates on the emergency situation to shelter managers to be passed on to shelter occupants. c) Provide public information on closure of shelters and return
of evacuees to their homes. D. PRIMARY AGENCY 1) The primary agency for shelter and mass care is Gallatin Valley VOAD. This agency is responsible for coordinating actions of the shelter
and mass care team to: a) Identify shelter and mass care assets and services being employed during a disaster and resolve any major problems or gaps, which may surface related to shelter
and mass care operations and activities. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C22 b) Provide status reports to the GCCC, as applicable, and includes appropriate shelter and mass care information
in the GCCC’s situation reports. c) Process requests received from local governments for shelter and mass care assistance, coordinate potential response actions of the member agencies
and organizations on the team, and develop recommendations to the GCCC for possible mission assignment(s). d) Provide additional support for recovery, public information, military support,
food and water, health and medical services, transportation, and donations management as needed. e) Develop, maintain, and distributes this annex. 2) VOAD, as the primary organization
and as an independent voluntary organization, will also provide services in the following areas: a) On-site assistance to disaster workers and victims b) Spiritual ministry c) Disaster
counseling d) Individual and mass feeding e) Nursing care f) Burial assistance g) Provision of and operation of emergency shelter facilities h) Assistance in the registration and identification
of victims and emergency workers i) Assistance in administration and supervision of disaster relief operations j) Distribution sites for provisions of basic needs supplies such as food,
water, clothing, etc. IX. COORDINATION 1) The PEO shall establish priorities for and provide policy guidance for shelter and mass care activities. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C23 ANNEX C (SHELTER & MASS CARE) 2) The EMDO will provide general direction to VOAD regarding shelter and mass care
operations. 3) VOAD will plan and manage the conduct of shelter and mass care activities, coordinating as necessary with volunteer organizations that participate in shelter operations
or mass feeding and other departments and agencies. 4) Shelter and feeding facility managers will be responsible for the operation of their individual facilities. XI. ADMINISTRATIVE
SUPPORT A. SUPPORT Requests for emergency assistance will be resolved at the lowest level. Unresolved assistance requests will normally flow upward from cities, to the county, to the
state, and to other states or the federal government, as necessary. B. TRAINING & EXERCISES 1) The GCEM will coordinate with VOAD to insure that shelter management and other appropriate
training is made available to local officials and volunteers who participate in shelter and mass care activities. All departments and organizations should ensure that their personnel
are trained to accomplish the tasks assigned to them. 2) Emergency exercises shall periodically include a shelter and mass care scenario based on the hazards faced by this jurisdiction.
Volunteer organizations that participate in shelter and mass care operations shall be invited and encouraged to participate in such exercises. C. EXPENDITURES & RECORD KEEPING 1) Shelter
and feeding facility managers shall maintain a record of supplies received and expended. Copies of these records will be provided to the Shelter Officer, who shall maintain a consolidated
file. 2) Documentation of Costs. All departments and agencies will maintain records of personnel and equipment used and supplies expended during shelter and mass care operations as a
basis for possible cost recovery from a responsible party or insurer or possible reimbursement of expenses by the state or federal government Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C24 D. CRITIQUES Following the conclusion of any significant emergency event/incident or exercise, the primary agency
representative will conduct a critique of the group activities during the event/incident/exercise. Support agencies will provide written and or oral inputs for this critique and the
primary agency representative will consolidate all inputs into a final written report. XII. ANNEX DEVELOPMENT & MAINTENANCE 1) VOAD is responsible for developing and maintaining this
annex. Recommended changes should be forwarded to GCEM as needs become apparent. 2) This annex will be revisited annually and updated in accordance with the schedule outlined in the
Basic Plan. 3) Departments and agencies assigned responsibilities in this annex are responsible for developing and maintaining SOPs covering those responsibilities. Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C25 ATTACHMENT A VOAD RESOURCES ANNEX C (SHELTER & MASS CARE) Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C26 GROUP/ORGANIZATION SERVICES PROVIDED Bozeman Thrift Center • Clothing • Donations • Volunteers Family Promise of
Gallatin County • Sheltering • Transportation • Volunteers Gallatin Valley Food Bank • Donations • Food • Feeding • Volunteers Love, INC • Building Repair • Clean Up • Clothing • Sheltering
• Food • Counseling • Transportation • Volunteers Heart of the Valley • Animal Rescue • Animal Sheltering Hope Animal Assisted Crisis Response • Counseling Lions Club • Red Cross • Building
• Sheltering • Food • Feeding • Counseling • Volunteers Help Center • Counseling • Transportation Salvation Army • Clothing • Donations • Sheltering • Food • Feeding Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C27 ANNEX C (SHELTER & MASS CARE) • Counseling • Transportation Back Country Horsemen • Animal Rescue • Animal Sheltering
• Transportation Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C28 ATTACHMENT B SAFE & WELL DISASTER WELFARE INQUIRY SYSTEM Gallatin County utilizes the American Red Cross’ Safe
and Well Disaster Welfare Inquiry System for all welfare registries and inquiries, which is an Internet based system that allows individuals to register. In order for people to be found,
the searching individual must know one of two combinations of information. They must know the full name and either the home phone number or full home address of the person they are looking
for. Activation Criteria Safe and Well is online and active 24/7. No activation or authorization is required. Registration Procedure 1) Go to http://www.redcross.org/safeandwell and
select “List Myself as Safe and Well”. 2) As a minimum complete the fields with the red asterisk. a) First and last name b) Home country c) Primary phone d) Home address, city, and state
(always click on “verify address” and select “choose” is if recommends a valid address) e) Select a pre-canned status message f) A custom message can also be added 3) This can be completed
by the individuals or by response agencies with the permission of the list individuals. If not being entered by the listed individual, the Disaster Welfare Inquiry Form must be completed
and signed. 4) Registration in a shelter does not replace the need for individuals to register in Safe and Well. Shelter registration is used internally and is not intended to meet the
needs of welfare inquiries. See Part J for information on disaster welfare inquiries. 5) First Aid Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C29 ANNEX C (SHELTER & MASS CARE) 6) Medical needs in shelters and other mass care facilities may be accomplished in
a couple ways. The ARC will often have medical professionals available in their shelters. 7) The Gallatin County Medical Volunteer System (MVS) is a registry of licensed medical professionals
in the county that are willing to assist in an emergency. This list essentially encompasses individuals with any sort of medical license in the State of Montana. See Attachment D for
MVS information. Search Procedure 1) Go to http://www.redcross.org/safeandwell and select “search registrants” 2) Enter the minimum required information with an asterisk (always click
on “verify address” and select “choose” is if recommends a valid address) Redacted Version
DISASTER WELFARE INQUIRY SYSTEM First Name: Last Name: Home County: Primary Phone (where people would expect to contact you): Home Address: Home City: Home State: Home Zip: Current City:
Current State: Safe and Well Messages: I am safe and well Family and I are safe and well Currently as shelter Currently at home Currently at friend/family/neighbor house Currently at
a hotel Will make phone calls when able Will email when able Will mail letter/postcard when able I am safe and in the process of evacuating I have evacuated to a shelter I am evacuating
to the house of family/friend I am currently/remaining at home Custom Message: By completing this form and signing this document, I acknowledge and approve the entry of this information
into the American Red Cross Safe and Well System. I understand that this information will allow people that know me to search for my current status. Any information placed in the system
will remain there for 90 days. I fully understand that I am authorizing that my information provided on this form may be placed into the Safe and Well System, which is accessible from
the Internet. Printed Name Witness Name Signature Witness Signature Date Date Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C30 Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C31 ANNEX C (SHELTER & MASS CARE) ATTACHMENT C GALLATIN COUNTY MEDICAL VOLUNTEER SYSTEM Gallatin County has developed
this Medical Volunteer System (MVS) Framework to guide the process of identifying, recruiting, and managing medically-trained volunteers. Medical volunteers may be needed in many capacities
in the future, and planning for such allows for less confusion and more efficiency during times of disaster. Enabling those in the community with the appropriate skills to assist when
and where needed enhances the capabilities of the local health care organizations and allows them to care for more people. The situations in which the volunteers are activated are somewhat
extreme, but the hope is that this framework will make that process smoother. This framework outlines a system for finding, establishing, and managing volunteers. The system is the Gallatin
County version of a Medical Reserve Corps (MRC). In most cases, this system will be used during the first 12-72 hours of a disaster or emergency in Gallatin County. Activation Criteria
When an entity cannot meet the needs of an incident with their own internal personnel. Authorization No authorization is required. Activation Procedure 1) Contact the Gallatin City-County
Health Department on call staff through Gallatin County Dispatch ( ). 2) Requesting agency will then provide the following to the Health Dept. a) Type of volunteer needed (nurse, doctor,
specialties, etc.) b) Date and time needed c) Expected length of shift (6 hours, 8 hours, 12 hours, etc.) d) Estimated duration of need (1-2 days, weeks, only during day, 24-hours, etc.)
e) Where the volunteer should report f) The name and contact information of the supervisor the volunteer should report to g) Expected duties Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C32 h) What to bring (photo ID, water, food, gloves, scrubs, etc.) 3) The Health Dept., or an MVS administrator, will
then solicit the requested volunteers either by email or telephone. Please note that the deployment time for MVS may be considerable. 4) Once the resources have been filled, the requesting
agency will be contacted with the names of the individuals requested. 5) Volunteers provided through this system had current licenses at the time of application, however it is encouraged
that this is verified during the deployment process. Background checks have also not been performed (See section 5.1 of MVS Framework). Redacted Version
Gallatin County EMP, Annex C (Shelter & Mass Care), 05/18/11, Page C33 ANNEX C (SHELTER & MASS CARE) Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex D : Radiological Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Radiological Protection Mitigation Preparedness Response Recovery ReadyGallatin.com The Radiological Protection Annex describes
Gallatin County’s response to a radiological incident. Gallatin County Hazardous Materials Response Team and Gallatin County Emergency Management are the primary agencies for this function.
While Gallatin County has significantly less risk to a radiological incident, there is definitely exposure present in the community. Radiological materials are transported through the
area, used in industrial and medical applications, and utilized for research purposes at Montana State University. Gallatin County is equipped relatively will to address a radiological
incident. The County is host to one the Montana State Hazardous Materials Incident Response Teams which has radiological capabilities. Montana State University Safety and Health also
has significant response capabilities as well as a radiological safety officer on staff. In addition to our local resources, Montana National Guard, Department of Defense, and Department
of Energy response resources are also available. As with most specialized resources in Montana, local resources will be responsible for stabilizing an incident for a considerable amount
of time until other resources can arrive. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D2 APPROVAL & IMPLEMENTATION ANNEX D: RADIOLOGICAL PROTECTION This annex is hereby approved. This annex is effective
immediately and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D3 ANNEX D (RADIOLOGICAL PROTECTION) RECORD OF CHANGES ANNEX D: RADIOLOGICAL PROTECTION Date of Change Date Entered
Change Entered By 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D4 TABLE OF CONTENTS I. PRIMARY AGENCIES…………………………………………………….…... D6 II. SUPPORTING AGENCIES…………………………………………………..
D6 III. AUTHORITY A. Federal……………………………………………………………….... D6 B. State……………………………………………………………………. D6 C. Local…………………………………………………………………… D6 IV. PURPOSE………………………………………………………………..……D6 V.
EXPLANATION OF TERMS……………………………………………….… D6 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... D7 B. Assumptions…………………………………………………………… D8 VII. CONCEPTS OF OPERATIONS
A. General………………………………………………………………… D9 B. Radiological Accidents……..………… ………………………………D10 C. Deliberate Acts…………………………………….…………............. D12 D. Phases of Management………………………………………………
D12 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES…………. D13 IX. COORDINATION……………………………….……………………………. D15 X. ADMINISTRATION & SUPPORT A. Agreements and Contracts…………………………………………...D16
B. Reports and Records……………………………………................... D16 C. Maintenance of Radiological Equipment……………………………D16 D. Training………………….………………………………………..…… D16 XI. ANNEX DEVELOPMENT &
MAINTENANCE………………….………… D17 Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D5 ANNEX D (RADIOLOGICAL PROTECTION) ATTACHMENTS A. Radiological Monitoring Resources…….…………………………… D18 B. Radiological
Incident Response Checklist…….…………………… D19 C. Radiological Incident Reporting System………………………….... D22 D. Civil Support Team (CST)……………………………………………. D23 Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D6 ANNEX D: RADIOLOGICAL PROTECTION I. PRIMARY AGENCIES Gallatin County HazMat, Gallatin County Emergency Management
II. SUPPORTING AGENCIES Fire Service, Law Enforcement III. AUTHORITY A. FEDERAL Name Description Legal TBD B. STATE Name Description Legal TBD C. LOCAL Name Description Legal TBD IV.
PURPOSE The purpose of this annex is to outline the organization, operational concepts, responsibilities, and procedures to provide a coordinated response to emergencies involving radioactive
materials. V. EXPLANATION OF TERMS Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D7 ANNEX D (RADIOLOGICAL PROTECTION) A. ACRONYMS DOE (US) Department of Energy DHS Department of Homeland Security
DPHHS Department of Public Health & Human Services EMC Emergency Management Coordinator FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center OSHA Occupational
Safety and Health Administration IC Incident Commander ICP Incident Command Post ICS Incident Command System NIMS National Incident Management System NRC Nuclear Regulatory Commission
SOP Standard Operating Procedures VI. SITUATION & ASSUMPTIONS A. SITUATION 1) General a) Radioactive materials are hazardous materials that receive special consideration in state and
federal laws and regulations. They are subject to a number of specific regulations that control the handling and use of such materials and establish unique state and federal procedures
for handling incidents involving them. In addition, the government agencies that provide radiological guidance and assistance to local jurisdictions differ from those that address most
other hazardous materials. b) Except for radiological incidents involving federal facilities or federally owned nuclear materials, the state or local government has responsibility for
taking required emergency response actions. Response from this jurisdiction will be in compliance with the National Incident Management System (NIMS) operating principles and protocols
and will constitute general guidance for all responders to the radiological incident. Support may be requested from federal agencies pursuant to the National Response Framework (NRF).
The Department of Homeland Security (DHS) has overall responsibility of all actual and potential Incidents of National Significance and incidents involving nuclear or radioactive materials
that may or may not rise to the level on an Incident of National Significance. Various federal coordinating agencies will lead the response to incidents of lesser Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D8 severity by coordinating federal radiological monitoring assistance to state and local governments. c) The Department
of Public Health and Human Safety (DPHHS), as the state radiation control agency, has primary responsibility for the state Radiological Control Program (RCP). DPHHS/RCP also provides
statewide training for Radiological Officers (ROs) and radiological monitors. d) The federal agency responsible for accidents at nuclear facilities licensed by the State of Montana or
incidents involving shipments of radioactive materials licensed by the state is the Nuclear Regulatory Commission (NRC). The US Department of Energy (DOE) and Department of Defense (DOD)
have the lead federal role in incidents at their facilities or accidents involving their shipments. Each of these federal agencies, in addition to the United States Coast Guard (USCG),
the Environmental Protection Agency (EPA), and the National Aeronautics and Space Administration (NASA), may serve as a coordinating agency for DHS. 2) Radiological Hazards a) This jurisdiction
is susceptible to accidents involving radioactive materials at fixed sites and/or in transport. Hospitals and medical facilities use a wide range of radioactive sources in nuclear medicine,
as well as in research. Radioactive sources are used to x-ray pipe welds, in well logging, and for many other common industrial and business uses. These sources can be extremely hazardous
(life threatening) when removed from their containers, either intentionally or by accident. A variety of radioactive materials are transported on our highways and rail systems, sometimes
in unmarked vehicles. Additionally, radioactive materials may be present on some aircraft. B. ASSUMPTIONS 1) We may experience radiological emergency situations, which will necessitate
the implementation of protective actions for the public and/or property at risk. 2) A nuclear attack against the United States is considered highly unlikely. The deliberate release of
radioactive materials by criminals or terrorists in the local area is possible but considered unlikely. 3) Proper development and execution of a Radiological Protection Program (RPP)
can significantly reduce the number of casualties that could result from a radiological accident. A combination of trained local radiological personnel, operational detection equipment,
and containment/decontamination equipment Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D9 ANNEX D (RADIOLOGICAL PROTECTION) and facilities should be available to detect, assess, and contain the threat
posed by radiological accidents. 4) We must be prepared to carry out the initial emergency response on an independent basis. If our resources are inadequate to cope with a radiological
incident, we may request assistance through Montana DES. 5) Local emergency operations, including the use of mutual aid resources, will be directed by local officials, except in those
situations where law requires that a state or federal agency exercise lead responsibility or where local responders lack the necessary expertise/equipment to cope with the incident,
and agree to permit those with expertise to take charge. 6) The state may request supplemental emergency assistance from other states or from the federal government when local and state
resources are insufficient to deal with the emergency. VII. CONCEPT OF OPERATIONS A. GENERAL 1) Our basic Radiation Protection Program (RPP) consists of the Gallatin County Hazmat Team
and an incident response capability that includes trained radiological monitors equipped with appropriate radiation detection and communication equipment. 2) To conduct an effective
RPP, we will: a) Maintain information on radiological monitoring instruments by type, number, location, and owner. See Attachment A for a list of radiological monitoring resources within
our jurisdiction. b) Establish procedures for initial emergency response to radiological accidents. See the Radiological Incident Response Checklist in Attachment B. c) Establish a radiological
incident reporting system. See Attachment C. d) Appoint personnel and provide
training to local emergency responders, emergency management personnel, ROs, and radiological monitors. See Attachment D. e) Establish procedures for decontamination and recovery operations.
Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D10 B. RADIOLOGICAL ACCIDENTS 1) Discovery: Radiological accidents may be discovered by the public, by businesses
that use or transport such materials, or by local responders who are summoned to an accident site. Local personnel are likely to be first emergency responders on the scene of a radiological
accident. The first local emergency responder at the scene will take charge, initiating the Incident Command System (ICS), and serve as the Incident Commander until relieved by a more
senior or more qualified individual. 2) Local Notification: The Incident Commander will provide information on the incident to local officials using the Hazardous Materials Incident
Report provided in Attachment C. The Incident Commander shall make an initial assessment of the situation to include an estimate of the likelihood of a release of radiological materials.
If it appears that radiological materials have been released into the environment or a release release appears likely, the GCCC will be activated to support the incident response. 3)
Response Actions: The Incident Commander should identify response resources required and direct the on-scene response to contain or prevent spread of contamination at the incident site.
The initial response should be accomplished in accordance with established hazardous materials response criteria and the general checklist in Attachment C. At least one trained RO or
radiological monitor should participate in the response to a known or suspected radiological incident. 4) Protective Actions a) Short Term i. If it appears that a release of radiological
materials has occurred or is possible, the Incident Commander is responsible for determining and implementing appropriate protective actions for the public in the immediate area of the
incident, for advising personnel responding to the incident of potential hazards, and for determining requirements for personal protective equipment (PPE). Responders who lack appropriate
hazardous materials training and appropriate PPE should not be committed to radiological incidents. ii. If it appears that a radiological release has or may affect areas beyond the incident
site, the Incident Commander should coordinate with the EMDO to warn the public, make the required notifications, implement protective actions, and obtain additional resources and technical
assistance. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D11 ANNEX D (RADIOLOGICAL PROTECTION) iii. Suitable initial public protective actions for a radiological incident
may include evacuation and/or sheltering. Annex Q (Hazardous Materials) provides additional information on selecting public protective measures. b) Long-term Protective Measures: DPHHS
will normally conduct a detailed incident assessment, identify affected areas through radiological monitoring, recommend follow-on protective measures to protect public health, and oversee
recovery operations. Long-term protective measures may be implemented by DPHHS or other state regulatory agencies and may include controls on the movement and use of livestock, foodstuffs,
milk, feed, and drinking and irrigation water from contaminated sources. 5) State and Federal Notifications: The EMDO shall be responsible for making required emergency notifications
to state and federal agencies. Radiological releases should be reported to MT DES. 6) State State & Federal Assistance. The GCCC is responsible for coordinating with the DPHHS to obtain
technical advice and assistance regarding radiological issues. The DPHHS has the capability to provide guidance by telephone to the GCCC or directly to the Incident Commander until DPHHS/RCP
personnel arrive on the scene. The DPHHS may formulate requests for the Governor for additional radiological monitoring and assessment assistance from the federal government or from
other states, if required. The PEO may request other types of state assistance through the Montana DES. 7) Situation Updates. The Incident Commander shall provide situation updates to
the GCCC; the GCCC should prepare and transmit situation reports to the Montana DES. See Annex N (Coordination) for guidance on situation reporting. 8) Monitoring of Emergency Workers.
Exposure records and medical follow-up will be provided for responders who have entered contaminated areas. 9) US Government Nuclear Materials. In the event of a radiological accident
involving nuclear weapons, special nuclear material (SNM), or classified components, the federal agency, which owns that material, may declare a National Defense Area (NDA) or National
Security Area (NSA) around the site and take exclusive control within that area. NDAs and NSAs are established to safeguard classified information or restricted data, equipment, or material.
10) US Department of Energy (DOE) Shipments. US DOE has jurisdiction on accidents involving DOE transuranic waste shipments. Information on these Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D12 shipments and guidance on dealing with incidents involving such shipments is provided in Attachment E. C. DELIBERATE
ACTS The deliberate release of radioactive materials is a crime under a number of state and federal laws. Any incident of this type must be promptly reported to local and state law enforcement
agencies. The Federal Bureau of Investigation (FBI) has lead responsibility for criminal investigations of terrorist acts or terrorist threats involving weapons of mass destruction (WMD),
including improvised radiological dispersion devices. DPHHS is the lead state agency and is responsible for the overall coordination of all actual and potential Incidents of National
Significance and accidents or incidents involving radiological materials that may or may not rise to the level of an Incident of National Significance. If a release of radiation is believed
to be an act of terrorism, we will ensure the incident is reported to both to the DPHHS and the FBI. More information on dealing with terrorist events is provided in Annex V (Terrorist
Incident). D. PHASES OF MANAGEMENT 1) Prevention a) Maintain an effective public warning system 2) Preparedness a) Select and train Hazmat personnel b) Ensure responders have data available
on local facilities that are licensed to use, store, or transport radiological materials. c) Ensure radiation detection instruments are available and operational d) Educate the public
about radiological hazards and protective actions 3) Response a) Respond in accordance with the guidelines in Attachment B b) Provide information and instructions to the public 4) Recovery
a) Ensure radiation source material is removed and ensure access to contaminated areas is controlled until they are cleaned up. Cleanup Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D13 ANNEX D (RADIOLOGICAL PROTECTION) will normally be performed by a contractor supervised by state or federal
agencies and paid for by the responsible party. b) Work with state and federal agencies to assess damage, if any. c) Work with the DPHHS to continue area radiation monitoring, if required.
d) Work with the DPHHS to determine the cause of the incident and determine liability. e) Keep the public informed about the status of the incident. VIII. ORGANIZATION & ASSIGNMENT OF
RESPONSIBILITIES A. ORGANIZATION 1) The Radiological Officer (RO) is in charge of the RPP on a day-to-day basis. Once a radiological accident occurs, responsibility for coordinating
the response is assigned to the Incident Commander and responsibility for coordinating external support is assigned to the GCCC staff. 2) Effective response to a radiological incident
requires a coordinated response by local departments, agencies, and officials, together with representatives of the facility or company responsible for the incident, augmented by state
and federal agencies with responsibilities for radiological incidents. Technical assistance for a radiological incident may be provided by the facility, by state and federal agencies,
or by industry. B. ASSIGNMENT OF RESPONSIBILITIES 1) The Fire Chief will designate one or more Radiological Officers to coordinate all radiological protection program activities. 2)
The Incident Commander (IC) will: a) Manage emergency response resources and operations at the incident site to control the incident. b) Determine and implement protective actions for
emergency responders and the public in the vicinity of the incident site. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D14 3) Fire Protection Agencies will: a) Provide personnel and equipment to contain or control radiological incidents.
b) Carry out initial radiological monitoring needed to assess the situation and determine protective actions. State or federal agencies may provide follow-on radiological monitoring
assistance. c) Carry out initial decontamination where needed. Large-scale decontamination, if needed, may be coordinated by state or federal agencies. d) Assist in evacuation, if necessary.
4) The HazMat Team will: a) Ensure a sufficient number of radiological detection instruments are in-place and operational. b) Ensure selected emergency responders are provided training
in radiological monitoring. c) Schedule and conduct an annual review of this annex and coordinate the update of the annex, if needed. 5) Law Enforcement Agencies will: a) Restrict access
to incident sites and contaminated areas to protect public health and safety. b) Organize and conduct evacuations and provide traffic control as needed, if necessary. c) Assist in warning
the public, as necessary. d) If the release of radiation appears deliberate, control the scene, apprehend suspects, conduct an investigation. If the incident appears to be terrorism-related,
ensure DPHHS and the FBI are advised. 6) EMS will: a) Provide medical care and transportation for casualties. b) Alert hospitals of the potential for contaminated victims. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D15 ANNEX D (RADIOLOGICAL PROTECTION) 7) Hospital(s) will: a) Provide medical care for casualties as needed. b)
Be prepared to decontaminate contaminated patients. 8) Other [Departments & Agencies] will: a) Provide personnel, equipment, and supplies requested to support emergency operations. b)
Provide technical assistance to the Incident Commander and the GCCC upon request. c) In accordance with established procedures, provide personnel to staff the Incident Command Post (ICP)
or GCCC, when activated. IX. COORDINATION A. GUIDANCE The PEO will establish local policies relating to radiological protection and may provide general guidance for emergency operations.
B. PROGRAM MANAGEMENT The RO will carry out day-to-day management of the RPP. C. OPERATIONAL DIRECTION During radiological incidents, the IC will manage radiological response operations
at the incident site. The IC and the GCCC shall agree upon a division of responsibilities for specific tasks. Typically, the GCCC will conduct support operations, including activating
additional resources and requesting external resources, making required notifications and reports, coordinating large scale evacuations and area traffic control, disseminating emergency
public information, and other tasks to sustain emergency operations. D. COMMUNICATIONS Telephone, radio, teletype, e-mail, and/or facsimile will be used to transmit reports of radiological
incidents, obtain technical assistance, exchange information, and provide coordination. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D16 X. ADMINISTRATION & SUPPORT A. AGREEMENTS & CONTRACTS Should our local resources prove to be inadequate during
an emergency, requests will be made for assistance from mutual aid agreements, state and/or federal agencies, and industry in accordance with existing mutual-aid agreements and contracts.
B. REPORTS & RECORDS 1) Situation Reports. If there has been an actual release of radioactive materials, the GCCC should prepare and disseminate a periodic situation report to state
and federal agencies until the situation is resolved. It may be desirable to also disseminate this report to nearby jurisdictions and to those cities or counties that are providing mutual
aid resources. See Annex N (Coordination) for the format of and instructions for this report. 2) Activity Logs. The ICP and the GCCC shall maintain accurate logs recording key response
activities. 3) Response & Recovery Expenses. As it may be possible to recover some expenses incurred in responding to a release of radiological materials from the responsible party,
insurers, or the federal government, each department or agency shall maintain detailed records of labor costs, equipment usage, and supplies expended to respond to or recover from an
actual radiological release. 4) Post-Incident Review. A post-incident critique shall be conducted in the aftermath of any incident that resulted in an actual release of radiological
materials. C. MAINTENANCE OF RADIOLOGICAL EQUIPMENT All radiological monitoring devices owned by county/city will be maintained in accordance with the manual of instructions for those
instruments. D. TRAINING Federal law requires that individuals, who respond to hazardous materials incidents, including radiological incidents, should be adequately trained and equipped
for the tasks they will perform. Training is available through a combination of federal, state, and local sources. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D17 ANNEX D (RADIOLOGICAL PROTECTION) XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT The Fire Chief is responsible
for developing and maintaining this annex. B. MAINTENANCE This annex will be reviewed annually and updated in accordance with the schedule outlined in the basic plan. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D18 ATTACHMENT A RADIOLOGICAL MONITORING RESOURCES Type of Instrument Number in Stock Location (Office, Vehicle)
City Owner (Local, State) Ludlum 2241-2 2 HazMat Team Bozeman BFD Canberra Ultraradiac Dosimeter 2 HazMat Team Bozeman BFD Ludlum Safety & Health Bozeman MSU Thermoeberline FH 40 survey
monitor 2 HazMat Team Bozeman BFD Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D19 ANNEX D (RADIOLOGICAL PROTECTION) ATTACHMENT B RADIOLOGICAL INCIDENT RESPONSE CHECKLIST 4 Action Item Assigned
1. If the situation requires it, isolate the site and deny access. • Use emergency vehicles, barricades, barrier tape, etc. 2. Classify incident, provide basic situation information
to dispatch, and identify response resources required. See Incident Classification page 3, this appendix. • Level I – Incident • Level II – Emergency • Level III – Disaster 3. Record
situation on a Hazardous Materials Incident Report (see Appendix 3, Tab A) and provide to [Dispatch/Communications Center]. 4. [Dispatch/Communications Center] should relay situation
information to emergency responders, who should dispatch forces in accordance with their SOPs. If separate fire and law enforcement [Dispatch/Communications Centers] are used, the center
receiving the initial report should pass it to the other dispatch center. 5. Determine extent of danger to responders and establish requirements for personal protective equipment (PPE)
and specialized response equipment. See Response Personnel Safety in Annex Q, Appendix 4. 6. Ascertain extent of danger to general public; determine specific areas and special facilities
(schools, hospitals, nursing homes, prisons, and other institutions), if any, at risk. 7. Develop initial action plan to contain and control the release of radiological material. 8.
Determine appropriate protective actions for the public and special facilities. See Annex Q, Appendix 4. If evacuation is contemplated, see the General Evacuation Checklist in Annex
E, Evacuation. 9. Initiate warning and issue protective action recommendations for the general public. See Annex A, Warning, and Annex I, Emergency Public Information. 10. Warn special
facilities, provide protective action recommendations and instructions, and determine requirements for assistance. Provide assistance requested. 11. If evacuation will be conducted,
provide traffic control and be prepared to provide transportation to those who lack it. 12. If evacuation will be conducted, provide traffic control and be prepared to provide transportation
to those who lack it. 13. Warn other communities that may be threatened by the radiological release. 14. If possibility exists of casualties that are contaminated with radiological material,
ensure EMS units and hospitals are so advised. 15. If evacuation is recommended, staff and open temporary shelters for evacuees. See Annex C, Shelter and Mass Care. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D20 4 Action Item Assigned 16. Notifications: Advise the responsible party to report release to state and federal
authorities as required by state and federal statutes and regulations. If the [County/City] is responsible for the release, it must make required notifications to state and federal agencies.
If the responsible part cannot be identified/located, [County/City] should make required notifications, making it clear that the responsible party is presently unknown. 17. If water
or wastewater systems are threatened by radioactive contamination, advise system operators so they may implement preventative measures. 18. If on-scene technical assistance is required,
request assistance from industry or appropriate state or federal agencies. 19. If additional response resources are required, request them. Invoke mutual aid agreements. Summon HAZMAT
response contractor, if one is under contract. Request assistance from the State through the Disaster District. 20. Provide updated information on the incident to the public through
media releases. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D21 ANNEX D (RADIOLOGICAL PROTECTION) 21. Continuously document actions taken, resources committed, and expenses
incurred. 21. Retain message files, logs, and incident-related documents for use in incident investigation and legal proceedings and to support claims for possible reimbursement from
the responsible party or state and federal agencies. 22. Assess contamination and determine which areas are safe to re-enter. Determine and implement remediation measures for other areas.
23. As evacuated areas are determined to be safe to reenter, advise evacuees and special facilities they may return, providing traffic control as needed. 24. Curtail shelter and mass
care operations as evacuees depart. 25. If some areas will require long-term cleanup before they are habitable, develop and implement procedures to mark and control access to such areas.
NOTE: Clean up is the responsibility of the responsible party. 26. If some areas will require long-term cleanup before they are habitable, develop and implement procedures to mark and
control access to such areas. NOTE: Clean up is the responsibility of the responsible party. 27. Assist evacuees who cannot return to their homes in finding temporary housing and obtaining
social services. 28. Conduct post-incident review of response operations. Incident Classification. Level I – Incident. An incident is a situation that is limited in scope and potential
effects; involves a limited area and/or limited population; evacuation or sheltering in place is typically limited to the immediate area of the incident; and warning and public instructions
are conducted in the immediate area, not community-wide. This situation can normally be handled by one or two local response agencies or departments acting under an Incident Commander
(IC), and may require limited external assistance from other local response agencies or contractors. Level II – Emergency. An emergency is a situation that is larger in scope and more
severe in terms of actual or potential effects than an incident. It does or could involve a large area, significant population, or critical facilities; require implementation of large-scale
evacuation or sheltering in place and implementation of temporary shelter and mass care operations; and require community-wide warning and public instructions. You may require a sizable
multi-agency response operating under an IC; and some external assistance from other local response agencies, contractors, and limited assistance from state and federal agencies. Level
III – Disaster. A disaster involves the occurrence or threat of significant casualties and/or widespread property damage that is beyond the capability of the local government to handle
with its organic resources. It involves a large area, a sizable population, and/or critical resources; may require implementation of large-scale evacuation or sheltering in place and
implementation of temporary shelter and mass care operations and requires a community-wide warning warning and public instructions. This situation requires significant external assistance
from other local response agencies, contractors, and extensive state or federal assistance. Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D22 ATTACHMENT C Nuclear Incident Response Team (NIRT) The Nuclear Incident Response Team (NIRT) is a US Department
of Energy National Nuclear Security Administration program under Department of Homeland Security control when deployed. NIRT provides support for nuclear weapon accidents, radiological
accidents, lost or stolen radioactive materials, and nuclear terrorism. NIRT is composed of seven components consisting of: Aerial Measuring System, Accident Response Group, Federal
Radiological Monitoring/Assessment Center, National Atmospheric Release Advisory Capability, Nuclear Emergency Support Team, Radiological Assistance Program, and the Radiation Emergency
Assistance Center/Training Site. The Nuclear Emergency Support Team (NEST) is the program for preparing and equipping specialized response teams to deal with the technical aspects of
nuclear or radiological terrorism. NEST capabilities include search and identification of nuclear materials, diagnostics and assessment of suspected nuclear devices, technical operations
in support of render safe procedures, and packaging for transport to final disposition. NEST capabilities are drawn from the nation’s nuclear weapons complex. Response teams vary in
size from a five person technical advisory team to a tailored deployment of dozens of searchers and scientists who can locate and then conduct or support technical operations on a suspected
nuclear device. NEST personnel and equipment are ready to deploy worldwide at all times. Activation Criteria Radiological incident beyond local capabilities. Authorization Secretary
of Homeland Security Activation Procedure 1) Department of Energy Emergency Operations Center at . Redacted Version
Gallatin County EMP, Annex D (Radiological Protection), 05/18/11, Page D23 ANNEX D (RADIOLOGICAL PROTECTION) ATTACHMENT D Civil Support Team The 83rd Civil Support Team (CST) is stationed
at Fort Harrison in Helena, MT and is under direction of the Montana National Guard. Civil Support Teams are essentially specialized survey teams capable to extensive site monitoring
and chemical identification. These teams are also fully qualified HazMat teams, however they do not replace the State Hazardous Materials Incident Response Teams (See Annex Q). Activation
Criteria Request from local jurisdiction. Authorization The Adjutant General of the Montana National Guard. Activation Procedure 1) Request to Gallatin County Emergency Management Duty
Officer ( . 2) EMDO will contact MT DES Duty Officer (4 ). 3) MT DES Duty Officer will contact the MT National Guard Joint Operations Center ( ). 4) Joint Operations Center will contact
the 83rd CST and obtain a mission tasking. 5) 83rd CST will then make contact with the incident point of contact. Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex E : Evacuat ion Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Evacuation Mitigation Preparedness Response Recovery ReadyGallatin.com The Evacuation Annex describes the process we utilize
when evacuating people. Local law enforcement agencies are the primary agencies for this function. Evacuations are always a difficult activity and are always implemented in the public’s
best interest, while it is often not seen this way. The authority to implement an evacuation is held by the law enforcement agency having jurisdiction for the incident. In large scale
wide spread incidents the Principal Executive Officer will play a significant role. Montana statute does not authorize the forcible evacuation of individuals from their private property.
This annex provides the following standardized items: • Decision Considerations • Evacuation Levels (Warning, Order) • Evacuation Paperwork While this annex provides boiler plate material,
agencies should customize the material for their agency ahead of time. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E2 APPROVAL & IMPLEMENTATION ANNEX E: EVACUATION This annex is hereby approved. This annex is effective immediately and supersedes
all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E3 ANNEX E (EVACUATION) RECORD OF CHANGES ANNEX E: EVACUATION Date of Change Date Entered Change Entered By 1 2 3 4 5 6 7 8
9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… E6 II. SUPPORTING AGENCIES……………………………………………...… E6 III. AUTHORITY
A. Federal……………………………………………………………….… E6 B. State………………………………………………………………….… E6 C. Local…………………………………………………………….……… E6 IV. PURPOSE……………………………………………………………..……… E7 V. EXPLANATION OF TERMS
A. Acronyms…………………………………………….………………… E7 B. Definitions……………………………………………………………… E7 VI. SITUATIONS & ASSUMPTIONS A. Situation…………………………………………………………...…… E9 B. Assumptions……………………………………………………………
E9 VII. CONCEPT OF OPERATIONS A. General………………………………………………………………… E10 B. Evacuation Decisions…………………………………………...……. E10 C. Hazard Specific Evacuation Planning…………………………….… E11 D. Transportation………………
………………………………………… E12 E. Traffic Control…………………..………………………………..……...E12 F. Warnings & Public Information……………...………………………… E12 G. Special Needs Populations……….…………………………………... E14 H.
Handling Pets During Evacuations……….………………………...… E15 I. Access, Control & Security……….…………………………………….. E16 J. Return of Evacuees……….………………………………………….… E16 K. Phases of Management……….…………………………….…………
E18 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………… E19 B. Assignment of Responsibilities……………………………………… E20 Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E5 ANNEX E (EVACUATION) IX. COORDINATION…………………………………………………………..... E24 X. ADMINISTRATION & SUPPORT…………………………………………… E24 XI.
ANNEX DEVELOPMENT & MAITENANCE………………….…………… E25 ATTACHMENTS A. Evacuation Order………………….…………………………… E27 B. Evacuation Warning………………….…….…………………… E28 C. Population Protection and Evacuation
Plan……………….... E29 D. Contact Sheet……………………………….…………………. E30 E. Sample Declaration with Evacuation Authority…………….. E31 Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E6 ANNEX E: EVACUATION I. PRIMARY AGENCY Gallatin County Law Enforcement Agencies II. SUPPORTING AGENCY Gallatin County Emergency
Management, Gallatin County Fire Protection Agencies III. AUTHORITY A. FEDERAL Name Description Legal B. STATE Name Description Legal Establishment of Curfew Curfew by county commission
MCA 7-32-2302 Tactical Incident Assistance Tactical Incident Assistance MCA 10-3-7 Authority of Principal Executive Officer Evacuation & Access Control MCA 10-3-406 C. LOCAL Name Description
Legal Redacted Version
Gallatin County EMP, Annex E (Evacuation),
05/18/11, Page E7 ANNEX E (EVACUATION) IV. PURPOSE The purpose of this annex is to provide for the orderly and coordinated evacuation of all or any part of the population of Gallatin
County if it is determined that such action is the most effective means available for protecting the population from the effects of an emergency situation. V. EXPLANATION OF TERMS A.
ACRONYMS EMC Emergency Management Coordinator GCCC Gallatin County Coordination Center (aka EOC) ICP Incident Command Post ICS Incident Command System NRP National Response Plan NIMS
National Incident Management System PIO Public Information Office or Officer SOP Standard Operating Procedures B. DEFINITIONS Evacuation The National Incident Management System (NIMS)
defines evacuation as an organized, phased, and supervised withdrawal, dispersal, or removal of civilians from dangerous or potentially dangerous areas, and their reception and care
in safe areas. Evacuation Order An order given by a law enforcement officer in Gallatin County, most likely in person or by posting, to a property and the individuals on it that they
are to leave immediately. Conditions in the area no longer make it safe for individuals to remain there. This is the last notice and no further contact will be made. Evacuation Warning
A warning given by a law enforcement officer in Gallatin County, most likely in person or by posting, to a property and the individuals on it advising that they are in danger due to
a current incident. Individuals under an Evacuation Warning are told that they need to be capable of leaving immediately, that it’s possible officials will not be able to come back to
tell them to leave if conditions worsen. If the individuals will not be capable of leaving immediately due to physical conditions, location, animals, etc..., then they should consider
leaving now. Special Needs Facilities Certain facilities, which house or serve populations that cannot care for Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E8 themselves during emergency situations and/or require unique support services. Such facilities include: 1) Schools and day
care centers, where students require supervision to ensure their safety. 2) Hospitals and nursing homes, where patients need specialized health care personnel and equipment to maintain
their health. 3) Correctional facilities, where offenders require security to keep them in custody. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E9 ANNEX E (EVACUATION) VI. SITUATIONS & ASSUMPTIONS A. SITUATION 1) There are a wide variety of emergency situations that might
require an evacuation of portions of the local area. a) Limited evacuation of specific geographic areas might be needed as a result of a hazardous materials transportation accident,
major fire, natural gas leak, or localized flash flooding. b) Large-scale evacuation could be required in the event of a major hazardous materials spill, terrorist attack with chemical
agent, or extensive flooding, for example. 2) State law provides the PEO with the authority to order the evacuation of all or part of the population from a stricken or threatened area
within their respective jurisdictions. Hence, the PEO may order a mandatory evacuation upon issuing a local disaster declaration. The PEO may also take subsequent action to control re-entry,
curtail movement, and deny building occupancy within a disaster area. B. ASSUMPTIONS 1) Most people at risk will evacuate when local officials recommend that they do so. A general estimate
is 80 percent of those at risk will comply when local officials direct an evacuation. The proportion of the population that will evacuate typically increases as a threat becomes more
obvious to the public or increases in severity. 2) Some individuals will refuse to evacuate, regardless of the threat. 3) When there is sufficient warning of a significant threat, many
individuals who are not at risk will evacuate. 4) Evacuation planning for known hazard areas can and should be done in advance. 5) While some emergency situations are slow to develop,
others occur without warning. Hence, there may be time for deliberate evacuation planning or an evacuation may have to be conducted with minimal preparation time. In the case of short
notice evacuations, there may be little time to obtain personnel and equipment from external sources to support evacuation operations. 6) The need to evacuate may become evident during
the day or at night, and Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E10 there could be little control over the evacuation start time. 7) In most emergency situations, the majority of evacuees
will seek shelter with relatives or friends or in commercial accommodations rather than in public shelter facilities. 8) Most evacuees will use their personal vehicles to evacuate; however,
transportation may need to be provided for evacuees without personal vehicles. 9) When confronting a major disaster or catastrophic incident, it may be necessary to employ all modes
of transportation to include state and/or federal assistance to effectively evacuate our population. VII. CONCEPT OF OPERATIONS A. GENERAL 1) Evacuation is one means of protecting the
public from the effects of a hazard; protection is achieved by moving people away from the hazard. In planning for evacuation, the characteristics of the hazard and its magnitude, intensity,
speed of onset, and anticipated duration are all significant factors. These will determine the number of people to be evacuated; the distance people must be moved to ensure their safety,
the need for reception facilities, and the extent of traffic control and security required. 2) We must be prepared to conduct both small-scale and large-scale evacuations at all times
of the day both from known hazard areas and from unexpected incident locations. A General Evacuation Checklist, provided in Attachment A, has been developed to guide the execution of
evacuation operations. B. EVACUATION DECISIONS 1) The Incident Commander or, for large-scale evacuations, the GCCC shall assess the need for evacuation, plan evacuations, and coordinate
support for the evacuation effort. Evacuation planning should resolve the following questions: a) What areas or facilities are at risk and should be evacuated? b) How will the public
be advised of what to do? c) What do evacuees need to take with them? d) What travel routes should be used by evacuees? e) What transportation support is needed? f) What assistance will
the special needs population require? Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E11 ANNEX E (EVACUATION) g) What traffic control is needed? h) Does the anticipated duration of the evacuation make it necessary
to activate shelter and mass care facilities? i) How will evacuated areas be secured? 2) Evacuations that must be conducted because of incidents that occur without warning may have to
be planned quickly and carried out with only those resources that can be mobilized rapidly. 3) The decision to recommend an evacuation of the populace in and around the area of an incident
site rests with the Incident Commander managing the incident. In general, the PEO shall issue the order for large-scale evacuations. 4) Gallatin County uses a two phase evacuation process.
When possible an Evacuation Warning is issued first providing notice to the area that conditions are expected to worsen and they will be told to leave. This provides advance notice allowing
individuals to prepare for an evacuation and allowing those needing more time to leave early. When it is no longer safe for civilians to be in the affected area an Evacuation Order is
issued. This is the point in which people who have not already left are to leave. This is the last notification given by law enforcement. Law enforcement will not forcibly remove individuals
from private property, however they will be asked to sign a waiver indicating they are refusing to leave. Templates for Evacuation Warnings, Notices, and Waivers are contained in Attachments
A-C. C. HAZARD SPECIFIC EVACUATION PLANNING 1) Hazard-specific evacuation planning information will be developed for certain known hazards and included as appendices to this or other
annexes. These appendices will describe the potential impact areas for known hazards, the number of people in the threatened area, and any special needs populations affected. Such appendices
should also identify potential evacuation routes and, where appropriate, transportation pickup points or assembly areas. 2) Likely major evacuation areas, other than hazardous materials,
and the potential evacuation routes for those areas are described and depicted in Attachment C to this annex. 3) Hazardous materials risk areas and potential evacuation routes from those
areas are described and depicted in the appendices to Annex Q (Hazardous Materials). Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E12 D. TRANSPORTATION 1) Individuals: It is anticipated that the primary means of evacuation for most individuals will be personal
automobiles. Some people do not own vehicles and others will need assistance in evacuating. Provisions must be made to furnish public transportation during an emergency evacuation. 2)
Special Needs Facilities: Public schools normally maintain transportation resources; private schools and day care centers may also have limited transportation assets. Most other special
needs facilities rely on commercial or contract transportation companies for their specialized transportation needs. Unfortunately, many of these providers cannot provide sufficient
equipment to evacuate a sizeable facility on short notice. Hence, local government may be requested to assist in providing transport. 3) Emergency transportation may be provided using
school buses, city buses, rural transportation system buses, ambulances, and other vehicles. See Annex S (Transportation) for transportation guidance; see Annex M (Resource Management)
for transportation resources. In the case of largescale evacuations with advance warning, pickup points may be designated or a telephone bank established to receive and process requests
for transportation. 4) Public information messages emphasizing the need for citizens to help their neighbors who lack transportation or need assistance can significantly reduce requirements
for public transportation during an evacuation. E. TRAFFIC CONTROL 1) Actual evacuation movement will be management by local Law Enforcement Agencies. 2) When possible, two-way traffic
will be maintained on all evacuation routes to allow continued access for emergency vehicles. 3) When time permits during large-scale evacuations when, traffic control devices, such
as signs and barricades, will be provided upon request by the Public Works Agency Having Jurisdiction. 4) Law enforcement will request wrecker services when needed to clear disabled
vehicles from evacuation routes. F. WARNING & PUBLIC INFORMATION 1) The Incident Commander will normally decide if an evacuation warning Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E13 ANNEX E (EVACUATION) should be issued in and around an incident site. The GCCC will normally disseminate warnings for large-scale
evacuations beyond the incident site or where evacuation is conducted because of an imminent threat. 2) Advance Notice of Possible Evacuation a) For slow developing emergency situations,
advance warning should be given to affected residents as soon as it is clear evacuation may be required. Such advance notice is normally disseminated by personal contact, the media and
through other measures. Advance warning should address suitable preparedness actions, such as securing property, assembling disaster supplies, fueling vehicles, and identifying evacuation
routes. b) Advance warning should be made to special needs facilities in a threatened evacuation area as early as possible. During notification, request facility staff review and prepare
to implement their evacuation plans. Facility staff should also report their periodic status and any requirements for assistance to the GCCC. c) The special needs population should also
be given advance notice. Notifying and preparing this segment of the population for evacuation will likely require additional time and resources. Any special circumstances or requests
for assistance should be reported to onscene authorities or GCCC. 3) Evacuation Warning (dissemination of evacuations) a) Evacuation warning should be disseminated through all available
warning systems. See Annex A (Warning) for further information. b) In the case of immediate evacuation in and around an incident site, route alerting using siren and speaker-equipped
vehicles moving through the affected area is usually effective. When possible, two vehicles should be employed—the first to get the attention of the people and a second will deliver
the evacuation message. Door-todoor notification should be considered for large buildings and in rural areas where residences may be some distance from the road. c) Special needs facilities
may be notified directly by on-scene authorities or by the GCCC staff. However, if both the incident command staff and the GCCC will be making notifications, a specific division of responsibilities
for notification should be made so that no facilities are inadvertently overlooked. d) Law enforcement personnel should sweep the evacuation area to Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E14 insure all those at risk have been advised of the need to evacuate and have responded. Persons who refuse to evacuate will
be left until all others have been warned and then, time permitting, further efforts may be made to persuade these individuals to leave. 4) Emergency Public Information a) Warning messages
disseminated through warning systems alert the public to a threat and provide basic instructions. They are necessarily short and to the point. The public will often require amplifying
information on what to do during an evacuation. The Public Information Officer (PIO) will insure that such information is provided to the media on a timely basis for further dissemination
to the public. Provisions must be made to disseminate information to individuals with special needs, including the blind, hearing impaired and non-English speakers. Specific public information
procedures are contained in Annex I (Public Information). b) Amplifying instructions for an evacuation may include information on the location of shelter and mass care facilities, specific
evacuation routes, guidance on securing their homes, and the need for evacuees to take certain items with them during an evacuation. When school children are evacuated, parents need
timely information on where to pick them up. c) When the incident that generated the need for evacuation is resolved, evacuees must be advised when it is safe to return to their homes
and businesses. G. SPECIAL NEEDS POPULATIONS 1) Special needs facilities are responsible for the welfare and safety of their students, clients, patients, and inmates. Virtually all of
these facilities are required to maintain an emergency plan that includes provisions for an emergency evacuation; however, in order to effectively implement those plans, they must be
warned of emergency situations. a) Schools & Day Care Centers i. If evacuation of public schools is required, students will normally be transported on school buses to their designated
evacuation point, where they can be picked up by their parents. It is essential that the public be provided timely information on these arrangements. In the case of a large-scale emergency
situation with advance warning, schools will generally be closed and students returned to their homes so they can evacuate with Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E15 ANNEX E (EVACUATION) their families. ii. Private schools and day care centers, including adult day care facilities, typically
maintain limited transportation resources and may require government assistance in evacuating. b) Hospitals, Nursing Homes, & Correctional Facilities i. If evacuation of these facilities
is required, patients and inmates should be transported, with appropriate medical or security support, to a comparable facility. The facility operator is responsible for making arrangements
for suitable transportation and coordinating use of appropriate host facilities. In the case of short-notice or no-notice emergency situations, facilities may be unable to make the required
arrangements for transportation and may need assistance from local government with transportation and in identifying suitable reception facilities. ii. Medical patients, homeless, registered
sex offenders, and prisoners should not be housed in shelter and mass care facilities with the general public. 2) Special needs citizens will require special evacuation assistance, transportation,
shelter facilities, and medical care during major evacuations; See Annex H (Health and Medical). H. HANDLING PETS DURING EVACUATIONS 1) Evacuees who go to the homes of relatives, friends
or commercial accommodations with their pets normally do not pose difficulties during evacuation. However, evacuees with pets seeking public shelter can create potential problems. For
health reasons, pets are not allowed in emergency shelters operated by the American Red Cross and most other organized volunteer groups. However, a number of studies indicate that some
people, particularly the elderly, will not leave their homes if they cannot take their pets with them. Loose pets remaining in an evacuated area may also create a public safety concern.
Hence, it is desirable to make reasonable arrangements for evacuees who come to public shelters with pets. 2) Depending on the situation and availability of facilities, one or more of
the following approaches will be used to handle evacuees arriving with pets: a) Provide pet owners information on nearby kennels, animal shelters, and veterinary clinics that have agreed
to temporarily shelter pets. b) Direct pet owners to a public shelter with covered exterior corridors or Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E16 adjacent support buildings where pets on leashes and in carriers may be temporary housed. c) Set up temporary pet shelters
at fairgrounds, rodeo or stock show barns, livestock auctions, and other similar facilities. I. ACCESS, CONTROL & SECURITY 1) Security in evacuated areas is important. Those who have
evacuated may not do so in the future if their property has been damaged or stolen during their absence. Law enforcement should establish access control points to limit entry into evacuated
areas and, where possible, conduct periodic patrols within such areas to deter theft by those on foot. To the extent possible, Fire Protection Agencies will take measures to insure continued
fire protection. 2) If an evacuated area has sustained damage and cannot be reoccupied for an extended period of time, it may be desirable to implement a permit system to limit access
to emergency workers, homeowners, business owners, utility workers, and contractors restoring damaged structures and removing debris. Refer to Annex G, Law Enforcement, for further information.
J. RETURN OF EVACUEES 1) Evacuees returning to their homes or businesses in evacuated areas require the same consideration, coordination, and control as the original evacuation. For
limited incidents, the Incident Commander will normally make the decision to return evacuees and disseminate it as appropriate. For largescale evacuations, the decision will normally
be made by the PEO and disseminated through the media. 2) The following conditions should prevail in the evacuated area before evacuees are authorized to return: a) The threat prompting
the evacuation has been resolved or subsided. b) Sufficient debris has been removed to permit travel and roads and bridges are safe to use. c) Downed power lines have been removed; ruptured
gas, water, and sewer lines have been repaired; and other significant safety hazards have been eliminated. However, utility services may not be fully restored. d) Structures have been
checked for obvious hazards. e) Some means of fire protection is available. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E17 ANNEX E (EVACUATION) 3) For return and re-entry, it may be necessary to provide transportation for those who lack vehicles.
Traffic control along return routes may also be required. 4) Public information intended for returnees should address such issues as: a) Documenting damage for insurance purposes. b)
Caution in reactivating utilities and damaged appliances. c) Cleanup instructions. d) Removal and disposal of debris. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E18 K. PHASES OF MANAGEMENT 1) Prevention a) Where possible, undertake mitigation for known hazards that have in the past led
to evacuation. b) Discourage development, particularly residential construction, in potential risk areas, including floodplains, areas downstream from suspect dams and dikes, and areas
adjacent to facilities that make, use, or store hazardous materials. c) Seek improvement to preplanned evacuation routes if needed. d) Enhance warning systems to increase warning times
and reduce the need for hasty evacuations. 2) Preparedness a) Identify areas where previous major evacuations have occurred and additional areas that may require large-scale evacuation
in the future due to known hazards. See Attachment B for potential major evacuation areas other than hazardous materials risk areas; hazardous materials risk areas are described in Annex
Q (Hazardous Materials). Determine the population of risk areas and identify facilities that may may require special assistance during evacuation (hospitals, nursing homes, schools,
etc.) to determine potential transportation requirements. b) To the extent possible, identify individuals with special needs who would require assistance in evacuating and maintain contact
information for those individuals. c) Identify primary and alternate evacuation routes, taking into account road capacities. d) Review the disaster preparedness plans of special facilities
and advise facility operators of any changes that may be needed to make them more workable. e) Include evacuations in the scenario of periodic emergency drills and exercises. f) Conduct
public information programs to increase citizen awareness of possible reasons for evacuation, preplanned evacuation routes, availability of transportation, the need to take appropriate
food, Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E19 ANNEX E (EVACUATION) clothing, and other disaster supplies during an evacuation, and the desirability of helping neighbors
who may need assistance during an evacuation. g) Promulgate procedures for protecting government resources from known hazards by relocating them. 3) Response See the General Evacuation
Checklist in Attachment C. 4) Recovery a) Initiate return of evacuees, when it is safe to do so. b) Coordinate temporary housing for those who cannot return to their homes. c) Manage
traffic control for return. d) Initiative recovery activities for evacuees who have suffered loss of or damage to their homes or businesses. e) Carry out appropriate public information
activities. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES B. ORGANIZATION 1) Our normal emergency organization described in the Basic Plan will plan and carry out evacuations and
the return of people to their homes or businesses. A large-scale evacuation, however, may require the formation of an ICP to support the Incident Command Posts (ICP) and GCCC. 2) Incident
Command System (ICS) – GCCC/ICP Interface a) As noted previously, the Incident Commander will normally determine the need for, organize, and conduct limited evacuations in the immediate
vicinity of the incident site. If large-scale evacuation is required, the PEO should make the recommendation for such evacuation to the public. b) A division of responsibility for evacuation
tasks should be agreed upon Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E20 between the Incident Commander and the GCCC. The Incident Commander will normally manage evacuation operations at the scene,
while the GCCC coordinates operations beyond the incident site, such as coordinating traffic control along evacuation routes, arranging for the activation of shelter and mass care facilities,
and advising other jurisdictions of the evacuation. c) During a large-scale evacuation, a division of responsibility for evacuation tasks should be agreed upon between the GCCC and the
RUC. The GCCC will normally manage evacuation operations within their respective jurisdiction area while the ICP coordinates evacuation operations affecting multiple jurisdictional areas.
The ICP will normally coordinate traffic control along evacuation routes, arrange for the activation of shelter and mass care facilities, and advise other jurisdictions. B. ASSIGNMENT
OF RESPONSIBILITIES 1) The PEO will: a) For emergencies and disasters, issue the order order directing citizens to evacuate, when appropriate. b) Approve release of warnings, instructions,
and other emergency public information relating to evacuation. c) Coordinate evacuation efforts with other local governments that may be affected by the evacuation, where appropriate.
d) Direct the relocation of at risk essential resources (personnel, equipment, and supplies) to safe areas. e) Direct the opening of local shelter and mass care facilities, if needed.
2) The Incident Commander will: a) Identify risk areas in the vicinity to the incident site and determine protective actions for people in those risk areas. b) If evacuation of risk
areas and special needs facilities is required, plan, organize, and conduct the evacuation with the resources assigned. c) Request support from the GCCC to assist in coordinating evacuation
activities beyond the incident site, such as activation of shelter and mass care facilities, if required. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E21 ANNEX E (EVACUATION) 3) The GCCC will: a) Develop and maintain evacuation planning information for known risk areas, including
population of the area, and primary evacuation routes. b) Review evacuation plans of special needs facilities within known risk areas and determine possible need for evacuation support.
c) Coordinate evacuation planning to include: d) Selection of suitable evacuation routes, based on recommendations from law enforcement. e) Movement control, based on recommendations
from law enforcement. f) Transportation arrangements. g) Shelter and mass care arrangements. h) Special needs demographics and evacuation support requirements. 4) Common Tasks of All
Organizations a) If time permits, secure and protect facilities in evacuation areas. b) If time permits, relocate essential equipment, supplies, and records to non-risk areas. 5) Law
Enforcement Agencies will: a) Perform necessary evacuations. b) Recommend evacuation routes to the the Incident Commander and/or GCCC staff. c) Assist in evacuation by managing traffic
control. d) Protect property in evacuated areas and limit access to those areas. e) Secure and protect or relocate prisoners. f) Coordinate law enforcement activities with other emergency
services. g) Assist in warning the public. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E22 h) Provide information to the PIO for public news releases on the evacuation routes. 6) The Fire Protection Agencies will:
a) Be responsible for fire protection in the vacated area. b) Assist in warning the public. c) Assist in evacuating special needs groups, as requested. 7) The Public Information Officer
(PIO) will: a) Disseminate approved emergency information advising the public of evacuation actions to be taken. b) Coordinate with area news media for news releases. 8) The Public Works
Agency Having Jurisdiction will: a) Provide traffic control devices upon request. b) Assist in keeping evacuation routes open. c) Provide barricades and barriers to restrict entry to
evacuated areas and other areas where entry must be controlled. 9) The Transportation Officer will: a) Coordinate transportation for evacuees without vehicles or whom need assistance
in evacuating, determining and establishing pickup points if necessary. b)
Coordinate transportation assistance for the evacuation of special needs facilities and special needs population. c) Coordinate all transportation relating to relocation of essential
resources. d) Provide information to the PIO on pickup points or special pickup routes for those who require transportation, so that this information may be provided to the public. Redacted
Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E23 ANNEX E (EVACUATION) 10) The Shelter Officer will: a) For short-term evacuations, coordinate with operators of governmentowned
buildings schools, churches, and other facilities for use of their facilities as temporary evacuee holding areas. b) For other than short-term evacuations, coordinate with the American
Red Cross, Salvation Army, and other service organizations to open shelters and activate mass care operations. See Annex C (Shelter & Mass Care) for further information. 11) Health and
Medical Agency Having Jurisdiction will: a) Monitor evacuation of special needs facilities and coordinate evacuation assistance, if requested. 12) Animal Control Agency Having Jurisdiction
will: a) Coordinate arrangements to provide temporary facilities for pets arriving with evacuees. b) Be prepared to provide shelter managers with information on procedures for handling
evacuees with pets. 13) Special Needs Facilities (schools, hospitals, nursing homes, correctional facilities) will: a) Close and supervise evacuation of their facilities. b) Coordinate
appropriate transportation for evacuees and en route medical or security support. c) Arrange for use of suitable host facilities. d) Request emergency assistance from local government
if assistance cannot be obtained from other sources. e) Ensure assigned personnel are trained and knowledgeable of evacuation procedures. f) Disseminate public information to advise
relatives and the general public of the status of their facilities and the patients, students, or inmates served by those facilities. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E24 IX. COORDINATION A. GENERAL 1) The PEO has the general responsibility for ordering an evacuation, when deemed the most suitable
means of protecting the public from a hazard. 2) In situations where rapid evacuation is critical to the continued health and safety of the population, the on-scene Incident Commander
may recommend evacuation of people at risk in and around an incident scene and direct and control the required evacuation. 3) Large-scale evacuations and evacuations conducted on the
basis of imminent threat where there is no current incident scene will normally be coordinated and directed by the GCCC and ICP. B. EVACUATION AREA DEFINTION 1) Areas to be evacuated
will be determined by those officials with the authority to direct a mandatory evacuation based on the counsel of those individuals and agencies with the necessary expertise, the use
of specialized planning materials or decision aids, the recommendations of state and federal agencies, and, where appropriate, advice from other subject matter experts. Evacuation recommendations
to the public should clearly describe the area to be evacuated with reference to known geographic features, such as roads and rivers. 2) The hazard situation that gave rise to the need
for evacuation should be continually monitored in case changing circumstances, such as an increase in rainfall or wind shift, change the potential impact area and, thus, the area that
must be evacuated. C. LINE OF SUCCESSION 1) The lines of succession for the PEO and the GCCC are outlined in Section VII of the Basic Plan. 2) Each department shall according to the
standard operating procedures establish lines of succession for each department and agency head. X. ADMINISTRATION AND SUPPORT A. REPORTING 1) Large-scale evacuations should be reported
to state agencies and other Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E25 ANNEX E (EVACUATION) jurisdictions that may be affected in the periodic Situation Reports prepared and disseminated during
major emergency operations. The Situation Report format is provided in Annex N (Coordination). B. RECORDS 1) Activity Logs. The Incident Commander and, if activated, the GCCC shall maintain
accurate logs recording evacuation decisions, significant evacuation activities, and the commitment of resources to support evacuation operations. 2) Documentation of Costs. Expenses
incurred in carrying out evacuations for certain hazards, such as radiological accidents or hazardous materials incidents, may be recoverable from the responsible party. Hence, all departments
and agencies will maintain records of personnel and equipment used and supplies consumed during large-scale evacuations. C. RESOURCES General emergency response resources that may be
required to conduct an evacuation are listed in Annex M, Resource Management. D. POST-INCIDENT REVIEW For large-scale evacuations, the EMC shall organize and conduct a review of emergency
operations by those tasked in this annex in accordance with the guidance provided in the Basic Plan. The purpose of this review is to identify needed improvements in this plan, procedures,
facilities, and equipment. E. EXERCISES Local drills, tabletop exercises, functional exercises, and full-scale exercises shall periodically include an evacuation scenario based on the
hazards faced by this jurisdiction. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE 1) Law Enforcement is responsible for developing and maintaining this annex. Recommended
changes to this annex should be forwarded as needs become apparent. 2) This annex will be revised annually and updated in accordance with the schedule outlined in Section X of the Basic
Plan. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E26 3) Departments and agencies assigned responsibilities in this annex are responsible for developing and maintaining SOPs
covering those responsibilities. Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E27 ANNEX E (EVACUATION) ATTACHMENT A [agency] EVACUATION ORDER Your life and or property are at significant risk from current
or projected conditions. The [agency] is ordering you to evacuate this area. Because emergency responders must consider the threat to all citizens as well as their own safety, if you
fail to comply with this order understand that no further contact or rescue effort is being planned for you. • See attachments for additional instructions. For recorded information call
582-3175 On the web www.ReadyGallatin.com http://www.gallatin.mt.gov/sheriff 1600 am, 1700 am EAS – 93.7 fm – 1090 am Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E28 ATTACHMENT B [agency] EVACUATION WARNING Current or projected threats from hazards associated with the current conditions
are severe enough to indicate a possibility of the need to evacuate. This is the time for preparation, precautionary movement of persons with special needs, mobile property, and (under
certain circumstances) pets and livestock. We will attempt to keep you advised as conditions change. Area radio and television stations have been asked to broadcast periodic updates.
The location of public assistance centers and information sites will be broadcast. You are encouraged to stop by the nearest center or site for helpful pamphlets and current status updates.
If conditions worsen, we hope to be able to contact you personally if conditions allow. If you are absent from your home for more than a short time, please leave the attached form with
your name and a contact telephone number in a door or window (where it can be easily seen) For recorded information call 582-3175 On the web www.ReadyGallatin.com http://www.gallatin.mt.gov/sheriff
1600 am, 1700 am EAS – 93.7 fm – 1090 am Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E29 ANNEX E (EVACUATION) ATTACHMENT C [agency] Population Protection and Evacuation Plan REFUSAL TO COMPLY WITH THE RECOMMENDATION
TO EVACUATE Your life and or property are at significant risk from current or projected conditions. The [agency] is recommending that you evacuate this area. If you fail to comply with
this recommendation, understand that Emergency responders must consider the threat to all citizens as well as their own safety and further contact and or rescue efforts for you may not
be committed. WAIVER: I acknowledge that the [agency] has lawfully advised me to evacuate the area. I fully understand that if I fail to comply with this recommendation immediately,
further emergency resources may not be committed on my behalf. I assume the responsibility for the protection of family members, property and myself. I further understand that serious
bodily injury or death may result from my non-compliance with this evacuation recommendation. _____________________________________ [deputy/officer] DATE/TIME ______________________________________
NAME(S) OF OCCUPANTS _____________________________________ ADDRESS OF OCCUPANT(S) ______________________________________ PHONE NUMBER(S) _______________________________________ OCCUPANT
SIGNATURE(S) Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E30 ATTACHMENT D Contact Sheet Area:________________________________________ Date: __________ Deputy Name:_________________________________
Name Address/phone (day-night) Occp Warning Evac rec Restore No Cont LV ST Redacted Version
Gallatin County EMP, Annex E (Evacuation), 05/18/11, Page E31 ATTACHMENT E Sample Declaration with Evacuation Authority ANNEX E (EVACUATION) Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex F : Fi refight ing Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Firefighting Mitigation Preparedness Response Recovery ReadyGallatin.com The Firefighting Annex describes the roles and
responsibilities of the fire service as well as how coordination is conducted. The local fire protection agencies are the primary agencies for this function. 21 rural fire districts,
fire service areas, and municipal fire departments exist in Gallatin County. Two federal fire agencies also have protection responsibilities in Gallatin County on lands owned by the
USDA Forest Service, National Park Service, Bureau of Land Management, US Fish and Wildlife Service, and the Montana Department of Natural Resources and Conservation. This annex describes
how the 21 local fire agencies respond to incidents, coordinate resources, and request assistance. Local fire agencies’ primary responsibilities lie in suppression of fires, medical
care, and specialized services such as HazMat, Technical Rescue, Extrication, etc… Fire agencies serve in in a support role in a large variety of functions. Six methods of accessing
mutual aid resources are identified in this annex. Three additional methods for accessing more specialized resources are also covered in this annex. The activation of 3 fire investigation
resources are outlined in this annex. Many of the resources outlined in this annex are used on a regular basis by local agencies. Some resources are only utilized on infrequent large
incidents. The process for accessing resources has been summarized in a simple layout to be clear and easy to follow, while still providing a realistic understanding of the requested
resource. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F2 APPROVAL & IMPLEMENTATION ANNEX F: FIREFIGHTING This annex is hereby approved. This annex is effective immediately and
supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F3 ANNEX F (FIREFIGHTING) RECORD OF CHANGES ANNEX F: FIREFIGHTING Date of Change Date Entered Change Entered By 1 2 3 4 5
6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………….……... F6 II. SUPPORTING AGENCIES………………………………………………….. F6 III.
AUTHORITY A. Federal……………………………………………………………….... F6 B. State……………………………………………………………………. F6 C. Local…………………………………………………………………… F7 D. Agreements…………………………………………………….……… F7 E. References…………………………………………
…………….……. F7 IV. PURPOSE…………………………………………………………..………… F7 V. EXPLANATION OF TERMS A. Acronyms…………………………………………………………….… F8 B. Definitions………………………………………………………………F8 VI. SITUATIONS & ASSUMPTIONS
A. Situation………………………………………………………………... F9 B. Assumptions…………………………………………………………… F10 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… F10 B. Implementation of NIMS/ICS…………………………….………….
. F11 C. Protective Action Recommendations……………………………….. F11 D. Evacuation Operations……………………………………………….. F11 E. Terrorist Incident Response…………………………………………… F12 F. Requesting External
Assistance………………………………………. F12 G. Phases of Management……………………………………………….. FF13 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………… 15 B. Assignment
of Responsibilities……………………………..……….. F16 Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F5 ANNEX F (FIREFIGHTING) IX. COORDINATION A. General………………………………………………………………… F18 B. Incident Command System – GCCC Interface…………………….
F19 C. Line of Succession……………………………………………………. F19 X. ADMINISTRATION & SUPPORT A. Reporting…………………………………………………………….… F19 B. Records………………………………………………………………… F19 C. Preservation of Records………………………………
……………... F20 D. Resources…………………………………………………………...… F20 E. Communications……………………………………………….……… F20 F. Post Incident Review…………………………………………..……... F20 XI. ANNEX DEVELOPMENT & MAINTENANCE……………………………..
F20 ATTACHMENTS A. Mutual Aid Assistance………………………………………………... F21 B. County Assist Program………………………………………………. F22 C. National Guard Assistance………………………….….……………. F24 D. DOD Military
Assistance…..…………………………………………. F26 E. Gallatin County Fire Investigation Task Force……………………. F27 F. Montana Fire Marshal Assistance………………………………….. F28 G. Alcohol, Tobacco, Firearms,
and Explosives Assistance……….. F29 Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F6 ANNEX F: FIREFIGHTING I. PRIMARY AGENCIES Local Fire Protection Agencies II. SUPPORTING AGENCIES Bureau of Alcohol, Tobacco,
Firearms & Explosives (ATF), Bureau of Land Management (BLM), Department of Natural Resources & Conservation (DNRC), Gallatin County Emergency Management, Montana DES, Montana Fire Marshall,
US Forest Service, US National Park Service III. AUTHORITY A. FEDERAL Name Description Legal Federal Fire Prevention Act Firefighting cost reimbursement on Federal lands PL 93-498, 44
CFR 151 Fire Management Assistance Grant Firefighting cost reimbursement 44 CFR 204 B. STATE Name Description Legal Fire Protection Fire Protection Authority MCA 7-33 Intergovernmental
Cooperation Mutual Aid – RFD MCA 10-3-2 Mutual Aid Agreements Fire Mutual Aid – RFD MCA 7-33-2108 Mutual Aid Agreements Fire Mutual Aid – FSA MCA 7-33-2405 Mutual Aid Agreements Fire
Mutual Aid – Muni MCA 7-33-4112 Mutual Aid Agreements Fire Mutual Aid – Unincorporated MCA 7-33-2313 Timber Resource State Fire Warden MCA 76-13 Rural Fire Protection County Fire Warden
MCA 7-33-22 Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F7 ANNEX F (FIREFIGHTING) C. LOCAL Name Description Legal Cooperative Fire Control Agreement Gallatin County/DNRC Wildland
Agreement GCC 2008-174 Gallatin County Community Wildfire Protection Plan GCC 2009-177 D. AGREEMENTS Name Description Legal Emergency Management Coordinator and HazMat Contract Provides
authority for Emergency Management Coordinator GCC 2008-062 Gallatin County Fire Protection Mutual Aid Agreement -1997 Fire Mutual Aid General Agreement between NPS & GCSO Mutual Aid
and Legal Authority for Yellowstone NP GCC 2008-144 MTWARN Public Works Mutual Aid Wildfire Protection Plan Wildland Coordination E. REFERENCES Name Description Legal Gallatin County
Fire Council Standard Operating Procedures Montana Disaster & Coordination Plan National Incident Management System HSPD-5 National Response Framework IV. PURPOSE The purpose of this
annex is to define the organization, operational concepts, responsibilities, and procedures to accomplish emergency firefighting requirements in Gallatin County. This annex is applicable
to all agencies, organizations and personnel with firefighting emergency support function (ESF) responsibilities. In addition to firefighting, Fire Protection Agencies also have warning,
radiological protections and rescue responsibilities as addressed respectively in Annexes A, D and R. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F8 V. EXPLANATION OF TERMS A. ACRONYMS AHJ Authority Having Jurisdiction ATF Alcohol, Tobacco, Firearms & Explosives DHS Department
of Homeland Security ECC Emergency Communications Center (aka 911) EMDO Emergency Management Duty Officer FSA Fire Service Area IC Incident Commander ICP Incident Command Post ICS Incident
Command System JFO Joint Field Office GCCC Gallatin County Coordination Center (aka EOC) GCEM Gallatin County Emergency Management HSOC Homeland Security Operations Center NIMS National
Incident Management System NRF National Response Framework PEO Principal Executive Officer PIO Public Information Officer PNG Public Notification Guide RFD Rural Fire District RUC Regional
Unified Command SECC State Emergency Coordination Center SOP Standard Operating Procedures SWP State Warning Point B. DEFINITIONS Consequence Management Measures taken to protect public
health and safety, restore essential government services, and provide emergency relief to governments, businesses, and individuals affected by the consequences of terrorism. Emergency
management agencies normally have the lead role in consequence management. The requirements of crisis management and consequence management are combined in the National Response Framework
(NRF). Crisis Management Measures taken to define the threat and identify terrorist acts, resolve terrorist incidents, investigate such incidents, and apprehend those responsible. Law
Enforcement agencies will normally take the lead role in crisis management. The requirements of crisis management and consequence management are combined in the NRF. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F9 ANNEX F (FIREFIGHTING) Expedient Evacuation Evacuations that must be conducted with little notice, frequently in response
to a request from the Incident Commander (IC) at the scene. Hazardous Materials (Hazmat) The NRF defines Hazmat as a substance or material, including a hazardous substance, that has
been determined by the Secretary of Transportation to be capable of posing an unreasonable risk to health, safety and property when transported in commerce, and which has been so designated
under the provisions of 49 CFR 172.101. The term is also intended to mean hazardous substances, pollutants and contaminants as defined by the National Oil and Hazardous Substances Pollution
Contingency Plan. Incident Action Plan An oral or written plan containing general objectives reflecting the overall strategy for managing an incident. It may include the identification
of operational resources and assignments. It may also include attachments that provide direction and important information for management of an incident during one or more operational
periods. Terrorist Incident Under the Homeland Security Act of 2002, terrorism is defined as activity that involves an act dangerous to human life or potentially destructive of critical
infrastructure or key resources and is a violation of the criminal laws of the United States or of any state or other subdivision of the United States in which it occurs and is intended
to intimidate or coerce the civilian population or influence a government or affect the conduct of a government by mass destruction, assignation or kidnapping. See Section 2 (15), Homeland
Security Act of 2002, Pub. L. 107-296, 116 Stat. 213 5 (2002). VI. SITUATION & ASSUMPTIONS A. SITUATION 1) Gallatin County depends on Fire Protection Agencies for fire protection. 2)
The challenges of fire prevention and control are exacerbated when other emergency situations occur simultaneously or have already impacted the local area. 3) Uncontrolled fires may
reach such proportions as to become a major emergency situation. If not promptly controlled, even small fires can threaten lives and cause significant destruction of property and the
environment. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F10 4) Natural hazards and other emergencies, such as flash flooding, may necessitate the use of fire protection resources.
5) Fire scenes may present problems requiring a response by law enforcement, public works, utilities, public health authorities, environmental protection and other government agencies.
In these cases, effective interagency coordination using the National Incident Management System (NIMS)/Incident Command System (ICS) is essential. 6) Large-scale emergencies, disasters,
and acts of terrorism may adversely impact fire protection personnel, equipment, facilities, and communications systems. B. ASSUMPTIONS 1) During emergency situations, we will use our
fire protection resources and those available pursuant to inter-local agreements, including mutual aid plans and agreements with industry. 2) Our resources and those obtained pursuant
to regional and inter-local agreements may prove insufficient during a major incident or disaster. disaster. State and/or federal resources will be available to augment our fire protection
requirements. 3) During major emergency situations, our fire protection resources may be damaged and specialized supplies depleted. VII. CONCEPT OF OPERATIONS A. GENERAL 1) Fire Protection
Agencies have the primary responsibility for protecting our community from fire hazards, hazmat spills, and radiological incidents. Our fire protection resources include governmental
fire agencies. 2) Fire protection responsibilities in emergency situations are basically the same as in daily operations. These responsibilities include fire control, hazmat and oil
spill response, emergency medical services, special rescue, and radiological protection operations. During emergency situations, fire protection teams may assist in performing additional
emergency tasks. These tasks may include assisting other governmental agencies as requested. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F11 ANNEX F (FIREFIGHTING) B. IMPLEMENTATION OF NIMS/ICS 1) The first official responder on the scene of an emergency situation
should initiate the ICS and establish an Incident Command Post (ICP). As other responders arrive, the individual present, who is most qualified to deal with the specific situation, should
assist the current IC or may assume the Incident Command. The IC will direct and control responding resources and designate emergency operating areas. The GCCC will generally not be
activated. 2) During major emergencies, disasters, or catastrophic incidents, it may be necessary to transition from the normal ICS structure to a Multiagency Coordination System. The
GCCC is central to this system and functions as a conduit for coordinating information and resources. The IC will manage and direct the on-scene response from the ICP. The GCCC will
mobilize and deploy resources for use by the IC, coordinate external resources and technical support, research problems, provide information to senior managers, disseminate emergency
public information, and perform other tasks to support on-scene operations. In the event of a catastrophic incident, considerations will be made for the implementation of the Gallatin
County Emergency Management Plan. C. PROTECTIVE ACTION RECOMMENDATIONS Fire protection personnel are generally the most knowledgeable regarding the threats posed by fire, radiological
materials, and other hazardous materials. As such, they are responsible for assessing threat hazards and recommending to the IC appropriate protective actions for emergency responders,
including requirements for personal protective equipment. Fire protection personnel are also responsible for recommending appropriate protective actions to ensure public safety in the
immediate vicinity of a threat. D. EVACUATION OPERATIONS 1) The IC may direct an expedient evacuation at the incident site, isolation area, or protective action area associated with
a major incident. Fire protection and other emergency responders on site will normally initiate the evacuation pending the arrival of follow-on forces. 2) Other major incidents may require
a large-scale evacuation. Law enforcement is the lead agency responsible for pre-planning evacuation of known risk areas and carrying out large-scale evacuation operations. During such
evacuations, fire protection teams may be tasked with: a) Alerting residents in the affected area who have not been warned by other means. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F12 b) Evacuating individuals and/or livestock that require assistance. E. TERRORIST INCIDENT RESPONSE 1) Crisis Management:
Law enforcement agencies generally have the lead in terrorism crisis management activities. Fire Protection Agencies will provide support as requested. Refer to Annex V (Terrorist Incident)
for more information on the response to terrorist threats and activities. 2) Consequence Management: Coordination will be paramount during terrorist incident consequence management activities
due to multi-agency involvement and potentially overlapping roles and responsibilities. The ranking official from the agency with primary responsibility for the incident will assume
the position of IC. Fire Protection will normally have the lead local role in consequence management for terrorist incidents involving conventional explosives, radiological materials,
and chemical agents. During consequence management, the IC will coordinate response and recovery operations with law enforcement authorities conducting crisis management operations.
Refer to Annex V (Terrorist Incident) for further information on terrorist incident consequence management. F. REQUESTING EXTERNAL ASSISTANCE 1) If our local fire resources are inadequate
to deal with an emergency situation, the Fire Chief, or the Fire Chief’s designee may request additional fire resources pursuant to mutual aid agreements to which local fire departments
are a party. The Fire Chief, or the Fire Chief’s designee, may also request assistance from industries and businesses with firefighting resources that have agreed to assist during emergencies.
2) If our fire protection resources and those obtained pursuant to mutual aid agreements are insufficient to deal with an emergency situation, statewide mutual aid will be requested
in accordance with existing the mutual aid system. See Attachment A of this document for more information. 3) When local wildland firefighting resources are expended, Gallatin County
can make a request to the Montana Department of Natural Resources and Conservation. This is referred to as a “State Assist.” When a State Assist is granted, the local agencies still
retain the authority and control, but the state will assist with resources and incident expenses. Typically the Gallatin County Fire Warden is the primary facilitator of this process.
See Attachment B of this document for more information on this procedure. 4) If Montana National Guard resources are needed, a request to Montana Disaster and Emergency Services must
be made. Typically a local Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F13 ANNEX F (FIREFIGHTING) emergency or disaster declaration must be declared first. Upon approval from the Governor, National
Guard resources can then be made available. Typically the Gallatin County Emergency Management Duty Officer is the primary facilitator of this. During times of extreme fire activity,
often times National Guard resources will be assigned and controlled by the Northern Rockies Coordination Center in Missoula. Please see Attachment C for the procedure. 5) If US Department
of Defense resources are needed, a request to Montana Disaster and Emergency Services must be made. Typically both a local and state declaration must be declared. Typically, the Gallatin
County Emergency Management Duty Officer facilitates this process. During times of extreme fire activity, National Guard resources will often be assigned and controlled by the Northern
Rockies Coordination Center in Missoula. See Attachment D of this document for more information on this procedure. 6) Several types of external assistance, such as specialized rescue
teams, air medivac, and search and rescue aircraft, may apply to this annex as well as others. These are addressed in Annex R (Search & Rescue). Several resources are available to assist
local agencies with fire investigations. Gallatin County maintains an interagency taskforce available in the county (Attachment E). The Montana State Fire Marshal’s Office also has investigators
available (Attachment F). The Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF) have local and national resources available (Attachment G). G. PHASES OF MANAGEMENT 1) Prevention
a) Enforce all codes as applicable. b) Conduct fire safety education programs for the public. c) Recommend fire prevention activities such as brush clearance, outdoor burning restrictions,
and use of fireworks, when conditions warrant. d) Should maintain current information on the types and quantities of hazardous materials present in local businesses and industrial facilities.
e) Should maintain current information on known fire hazards present in facilities such as refineries, factories, power plants, and other commercial businesses. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F14 2) Preparedness a) Maintain a list of all firefighting resources; see Annex M (Resource Management). b) Inspect, test,
maintain and repair all equipment on a scheduled basis. c) Stockpile specialized supplies. d) Ensure all fire protection personnel are properly trained on fire control, hazmat response,
rescue, and NIMS/ICS. Our emergency response personnel meet the NIMS national qualification and certification standards. e) Develop communications procedures to ensure adequate communications
between all emergency responders. f) Plan and execute NIMS compliant training exercises for all firefighting personnel on a regular basis. g) Revise and update response plans at regular
intervals. 3) Response a) Contain, control, and extinguish fires. b) Initiate rescue missions, as necessary. c) Alert and advise all emergency response personnel and decisionmakers to
the dangers associated with hazmat and fire during emergency operations. d) Control hazmat incidents within departmental capabilities giving priority to public and firefighter safety
and protecting property, respectively. See Annex Q (Hazardous Materials) for more information. e) Conduct radiological monitoring and assessment within departmental capability. Maintain
an operational Radiological Protection Program in accordance with state and federal standards. See Annex D (Radiological) for more information. The NRF Nuclear/Radiological Incident
Annex addresses the federal response to incidents involving radiological materials. f) Initiate evacuation of emergency scenes, if necessary. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F15 ANNEX F (FIREFIGHTING) g) Provide fire protection for temporary shelter and mass care facilities. 4) Recovery a) Coordinate
inspections of restored and/or reconstructed buildings. b) Perform or assist in decontamination and cleanup. c) Assess damage to fire equipment and facilities, if necessary. d) Recommend
condemnation of unsafe buildings. e) Review fire codes in relation to an incident or disaster and recommend improvements to the County Commission and City Council(s). VIII. ORGANIZATION
& ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Our normal emergency organization, described in Section VI.A and depicted in Attachment B of the Basic Plan, shall coordinate firefighting
efforts conducted as part of emergency operations in accordance with NIMS. Most fires can be handled by fire protection agencies with limited support from other fire protection agencies,
operating under an IC. The GCCC will normally be activated during major emergencies emergencies and disasters involving significant fires or fires occurring simultaneously with other
hazards. These situations may require the commitment of all emergency services and external assistance. In such incidents, transition to a Multiagency Coordination System is advisable.
In the event of a catastrophic incident, considerations will be made for the implementation of the Emergency Management Plan. 2) The Fire Chief, the Fire Chief’s designee, shall serve
as the Chief Fire Officer and coordinate emergency firefighting operations and shall normally serve as the IC for the response to incidents. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F16 B. ASSIGNMENT OF RESPONSIBILITIES 1) Fire Protection Agencies will: a) Coordinate all fire protection activities. b) Provide
fire control and protection. c) Assist in the operation of warning systems; see Annex A (Warning). d) Provide support for shelter/mass care operations; see Annex C (Shelter & Mass Care).
e) Provide support for radiological protection; see Annex D (Radiological). f) Provide assistance during evacuations; see Annex E (Evacuation). g) Respond to hazmat accidents/incidents;
see Annex Q (Hazardous Materials). h) May enforce fire codes. i) Prepare and execute inter-local agreements. j) Provide support for other public safety operations, as necessary. k) Conduct
search and rescue operations; see Annex R (Search & Rescue). l) Provide personnel to staff the GCCC and ICPs when activated. 2) The County Fire Warden, or the County Fire Warden’s designee,
will: a) Serve as IC on wildland fires not serviced by a fire protection agency. b) Provide coordination between the county and Montana DNRC. c) Serve as the county commission’s subject
matter expert on wildland fires. d) Serve as liaison from the County Commissioners to the local Fire Protection Agencies. e) Coordinate fire protection plans with local, state, and federal
agencies. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F17 ANNEX F (FIREFIGHTING) f) Mange the DNRC County co-op wildland engine and equipment resources. g) Provide oversight and
management of the county burn permits. h) Serve as the county’s agency administrator on wildland fires when requested by the County Commission. 3) The Emergency Management Duty Officer
will: a) Support warning operations at the direction of the IC. b) Support public information at the direction of the IC in coordination with the PIO. c) Provide logistical support for
the incident. d) Coordinate and provide current information between agencies and elected officials. 4) The IC will: a) Establish an ICP, and control and direct emergency response resources.
b) Assess the incident, request any additional needed resources, and provide periodic updates to the GCCC, if activated. c) Determine and implement initial protective actions for emergency
responders and the public in the vicinity of the incident site. d) Approve the Incident Action Plan and all requests pertaining to the procurement and release of incident resources.
e) Establish a specific division of responsibilities between the incident command operation and the GCCC, if activated. f) During an Incident of National Significance, make a situation
assessment and coordinate resource needs, as required, with the NRF, ESF #4. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F18 5) Law Enforcement will: a) Upon request of the IC, initiate evacuation actions and provide perimeter access control around
incident sites. 6) The Public Works and Transportation Departments will: a) Upon request of the IC, provide support for fire control operations. 7) The DNRC will: a) Process requests
for state firefighting assistance. b) Within capabilities, provide personnel and equipment to assist local governments and industry in conducting fire suppression operations. c) Conduct
wildland fire training academies for state and local personnel. IX. COORDINATION A. GENERAL 1) For most emergency situations, an IC will establish an ICP to direct and control fire protection
operations at the scene. The individual present, who is most qualified to deal with the specific situation, should serve as the Incident Command. This will typically be the senior fire
protection officer present. All fire protection teams will carry out mission tasks assigned by the IC. A staff, determined by the anticipated needs of the situation, will assist the
IC. 2) In some situations, the GCCC may be activated without an incident command operation. This organizational arrangement is most likely when: (a) a hazard threatens but has not yet
impacted the local area (such as a wildfire), or (b) when a generalized threat exists and there is no identifiable incident site (as may be the case for a terrorist threat). During these
situations, a senior fire protection officer will normally report to the GCCC to coordinate fire protection actions. 3) External response agencies are expected to conform to the general
guidance provided by our senior decision-makers and carry out mission assignments directed by the IC or the GCCC. However, organized response units will normally work under the immediate
control of their own supervisors. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F19 ANNEX F (FIREFIGHTING) B. INCIDENT COMMAND SYSTEM – GCCC INTERFACE When both the GCCC and an ICP are activated, it is
essential to establish a division of responsibilities between the IC and the GCCC. A general division of responsibilities is outlined in Annex N (Coordination). C. LINE OF SUCCESSION
The line of succession for the Chief Fire Officer is in accordance with the policies of the Fire Protection Agencies. X. ADMINISTRATION & SUPPORT A. REPORTING In addition to reports
that may be required by their parent organization, fire protection departments participating in emergency operations should provide appropriate situation reports to the IC. The IC will
forward periodic reports to the GCCC. Pertinent information will be incorporated into the periodic situation reports. The essential elements of information for the Initial Emergency
Report and the Situation Report are outlined in Attachments B and C to Annex N (Coordination). B. RECORDS Activity Logs The IC and if activated, the GCCC, shall maintain accurate logs
recording significant operational activities, the commitment of resources, and other information relating to emergency response and recovery operations. See Annex N (Coordination), for
more information on the types of information that should be recorded in activity logs. Documentation of Costs 1) Expenses incurred in carrying out emergency response operations for certain
incidents may be recoverable. Hence, all Fire Protection Agencies will maintain records of personnel and equipment used and supplies consumed during large-scale emergency operations.
2) Fire Protection Agencies are encouraged to utilize standard rates for their incident record keeping and for cost recuperation, when available. Fire Protection Agencies are encouraged
to utilize the established rates in the Northern Rockies Coordinating Group Interagency Incident Business Management Handbook for the year in which the incident occurs. For equipment,
Chapter 20 should be be utilized. Personnel, who have set pay Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F20 rates, can be billed at those rates. Chapter 10 should be utilized for personnel with no set pay rate. In situations where
a rate is not available in the Interagency Incident Business Management Handbook, the Federal Emergency Management Agency rates may be utilized as an alternate. C. PRESERVATION OF RECORDS
Vital records should be protected from the effects of a disaster to the maximum extent feasible. Should records be damaged during an emergency situation, professional assistance in preserving
and restoring those records should be obtained as soon as possible. D. RESOURCES A listing of local fire department resources is found in Annex M (Resource Management). E. COMMUNICATIONS
See Annex B (Communications). F. POST-INCIDENT REVIEW For large-scale emergency operations, an after action critique of emergency operations will be performed in accordance with the
guidance provided in Section VIII.G of the Basic Plan. The After Action Report will serve as the basis for an improvement plan. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE
1) The Gallatin County Fire Council members are responsible for developing and maintaining this annex. 2) This annex will be reviewed annually and updated in accordance with the schedule
outlined in Section IX of the Basic Plan. 3) Departments and agencies assigned responsibilities in this annex are responsible for developing and maintaining SOP covering those responsibilities.
Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F21 ANNEX F (FIREFIGHTING) ATTACHMENT A MUTUAL AID ASSISTANCE Mutual Aid is available through a variety of statutes and agreements.
Each process is slightly different and has access to different resources. It is the responsibility of the Agency Having Jurisdiction to know what is available and how to access it. Activation
Criteria Typically, when all of an agency’s or county’s resources have been expended. Authorization Varies, but typically the Chief of the Fire Protection Agency, or their designee.
Activation Procedure Varies depending on the program being utilized. Available Mutual Aid Mutual Aid Process Access Via Gallatin County Fire Protection Mutual Aid Agreement Automatic
through Gallatin County Dispatch Gallatin County Fire Control Agreement Fire Warden or DNRC Line Officer South Central Zone Operation Plan Fire Warden Montana Mutual Aid Lewis & Clark
Fire Coordinator Intrastate Mutual Aid System Emergency Management Duty Officer Emergency Emergency Management Assistance Compact Emergency Management Duty Officer Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F22 ATTACHMENT B COUNTY ASSIST PROGRAM Assistance from DNRC is available in several different forms and levels, with the most
basic being mutual aid. At a certain internal fiscal point, DNRC will classify their support as a County Assist. When this is enacted, the DNRC Line Officer will require a formal letter
of request from the county within 72 hours of the incident start. At this point, local resources are often being hired by DRNC for suppression of the fire, as well as incident logistical
and management support. Activation Criteria A County Assist is determined by the DNRC Line Officer upon a certain level of support to the local incident. Authorization A County Assist
is authorized by the Local DNRC Line Officer (Bozeman Unit Manager, or other authorized individual). Activation Procedure 1) Assistance has been requested by the County Fire Warden.
2) DNRC resources have been committed to the incident and have reached a certain level of financial commitment. 3) The DNRC Line Officer will identify that the incident has reached its
threshold, and classify their support as a County Assist. 4) The DNRC Line Officer will request a formal request letter from the Gallatin County Commission. This should be completed
within 72 hours of the incident start. 5) The County Fire Warden, or Emergency Management Duty Officer, will facilitate the creation and signing of the request letter with the County
Commission. They will then provide the signed request letter to the DNRC Line Officer. Contact Information Name Work Cell Home Pager Craig Campbell Dave Hamilton Greg Archie Redacted
Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F23 SAMPLE COUNTY ASSIST REQUEST ANNEX F (FIREFIGHTING) Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F24 ATTACHMENT C NATIONAL GUARD ASSISTANCE Montana National Guard (NG) resources may be utilized to assist upon request of
the county and approval from the state. The exact procedure for approving deployment of NG resources may vary depending on the severity of the incident. The key issue to remember is
that there must not be a local resource capable of performing the same mission (public or private) for which the NG is being tasked. You should also expect the resources to be self-sufficient.
The NG will bring their own overhead to support the resources requested for the mission. Activation Criteria Two real criteria exist for NG Resources. In an “Immediate Life Safety” response,
the deployment of resources can be expedited and authorized by the local NG Commander in Belgrade or The Adjutant General (TAG). This may or may not require a state declaration and is
often referred to as the 72 Hour Rule. The second criteria is that for anything that does does not fall into the above category, a local declaration will be necessary, as will a state
declaration requiring the approval of the Governor. Authorization Requests for NG resources must be approved by the Principal Executive Officer for the affected jurisdiction. Activation
Procedure 1) Approval must be given by the PEO for the affected jurisdiction. 2) Either an Emergency or Disaster Declaration must be declared. Even if it is not formally needed at the
time of request, a declaration will be expected at some point. 3) The Emergency Management Duty Officer ( via dispatch) will consolidate the request. The following information will be
needed: a) Signed declaration, or anticipated time of a declaration. b) Description of NG tasking (a description of what it is you want them to do). c) Description of what type of resources
and quantity that you require (people, trucks, etc..). d) When and where do they report. e) Who do they report to and what is his/her contact information. 4) The EMDO will contact the
MT DES Duty Officer ( ) with the request. 5) The MT DES Duty Officer will coordinate with the NG Joint Operations Center ) to fill the request and receive authorization. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F25 ANNEX F (FIREFIGHTING) 6) The local Point of Contact given should expect to receive a call from the National Guard to
confirm the mission tasking. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F26 ATTACHMENT D DOD MILITARY ASSISTANCE DoD active duty resources may be available to local agencies in a large scale incident.
This document does not address DoD resources operating under the direction of the National Interagency Fire Center or the Northern Rockies Coordination Center, nor does it address Search
& Rescue resources activated through the Air Force Rescue Coordination Center. DoD resources will typically require a presidential declaration for activation. However, if there is a
specialized military resource that is the only resource capable of meeting your need, it never hurts to ask. Activation Criteria Large scale incident resulting in Disaster Declarations
at the local, state, and federal levels. Authorization Requires authorization of the Principal Executive Officer on the local level. Expect to need approval from the Governor and President.
Activation Procedure 1) Approval must be given by the PEO for the affected jurisdiction. 2) Either an Emergency or Disaster Declaration must be declared (even if not formally needed
at the time of request, will be expected to be declared at some point). 3) The Emergency Management Duty Officer be needed: a) Signed declaration, or anticipated time of a declaration.
b) Description of NG tasking (what do you want them to do)? c) What type of resources and quantity do you need (people, trucks, etc…)? d) When and where do they report? e) Who do they
report to and what is their contact information? 4) The EMDO will contact the MT DES Duty Officer (4 with the request. 5) The MT DES Duty Officer will coordinate with the NG Joint Operations
Center ( ) and the Montana Emergency Preparedness Liaison Officers (EPLO). Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F27 ANNEX F (FIREFIGHTING) ATTACHMENT E GALLATIN COUNTY FIRE INVESTIGATION TASKFORCE The Gallatin County Fire Investigation
Taskforce is composed of investigators from the Gallatin County Sheriff’s Office, Bozeman Police Department, and local Fire Departments. Activation of the taskforce does not relieve
the Fire Protection Agency Having Jurisdiction from the responsibility for the investigation, but rather the taskforce supports their investigation. Activation Criteria Upon request
Authorization Law Enforcement or Fire Protection Agency Having Jurisdiction Activation Procedure 1) Agency having jurisdiction contacts Gallatin County Dispatch ( and requests the fire
investigation taskforce be activated. 2) Gallatin County Dispatch will go through the call out list until contact is made with a taskforce member. 3) The taskforce will contact the agency
having jurisdiction to identify what is needed. Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F28 ATTACHMENT F MONTANA FIRE MARSHAL ASSISTANCE The Montana Fire Marshal’s Office has fire investigators throughout Montana.
They are available upon request to provide investigators to local agencies to assist with investigations. The Montana Fire Marshal’s Office is a mandatory notification for fatal fires.
Activation Criteria Upon Request Authorization Law Enforcement or Fire Protection Agency Having Jurisdiction Activation Procedure 1) Agency Having Jurisdiction contacts the Montana Fire
Marshal’s Office at (MHP Dispatch after hours at 4 ). Redacted Version
Gallatin County EMP, Annex F (Firefighting), 05/18/11, Page F29 ANNEX F (FIREFIGHTING) ATTACHMENT G ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES (ATF) ASSISTANCE The ATF has special agents
throughout Montana and a special agent in Billings dedicated to fire investigation. ATF resources are available to assist local agencies in their investigation. Depending upon the level
of assistance necessary, the local ATF agents can bring in additional tools and specialized resources from the ATF National Response Team. The ATF is a mandatory notification for fires
involving churches, state or federal buildings, and firearm robberies. Activation Criteria Local investigative capacity is exceeded. Authorization Lead law enforcement or taskforce investigator.
Activation Procedure 1) Lead investigator contacts the Billings ATF Office a or the ATF Joint Special Operations Center at . 2) An ATF Special Agent will then coordinate with the lead
investigator. Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex G : Law Enforcement Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Law Enforcement Mitigation Preparedness Response Recovery ReadyGallatin.com The Law Enforcement Annex describes how law
enforcement activities function in Gallatin County. Local law enforcement agencies are the primary agencies for this function. There are 7 local law enforcement agencies in Gallatin
County. In addition, there are four state and three federal law enforcement agencies with offices in Gallatin County. This annex outlines functions such as coordination among agencies,
evacuations, access control, and site security. Many of the specialized services offered by law enforcement are detailed on other annexes such as the Terrorism and Search and Rescue
Annexes. Redacted Version
Gallatin County EMP, Annex G (La2w Enforcement), 05/18/11, Page G2 APPROVAL & IMPLEMENTATION ANNEX G: LAW ENFORCEMENT This annex is hereby approved. This annex is effective immediately
and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G3 ANNEX G (LAW ENFORCEMENT) RECORD OF CHANGES ANNEX G: LAW ENFORCEMENT Date of Change Date Entered Change Entered By 1
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex G (La4w Enforcement), 05/18/11, Page G4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… G6 II. SUPPORTING AGENCIES………………………………………………….. G6 III.
AUTHORITY A. Federal……………………………….………………………………… G6 B. State……………………………….…………………………………… G6 C. Local……………………………………………………………………. G6 IV. PURPOSE…………………………………………………………………….. G7 V. EXPLANATION
OF TERMS A. Acronyms……………………………………………………………….G7 B. Definitions……………………………………………………………… G7 VI. SITUATIONS & ASSUMPTIONS A. Situation……………………………………………………………….. G9 B. Assumptions……………………………………………………………
G9 VII. CONCEPT OF OPERATIONS A. General………………………………………………………………… G10 B. Implementation of NIMS/ICS……………………..…………………. G11 C. Law Enforcement…………………….…………………….……….... G11 D. Evacuation
Operations…………………….…………………………. G11 E. Warning…………………….……………….………..……………….. G13 F. Area Security and Incident Scene Control……….………………… G13 G. Security of Key Facilities……………………….…………………….
G15 H. Terrorist Incident Response………………………………………… G15 I. Disaster Reconnaissance…………………………………………..….. G16 J. External Assistance…………………………………………………….. G16 K. Phases of Management……………………………………………...
... G16 VIII. Organization & Assignment of Responsibilities A. Organization…………………………………………………………… G17 B. Assignment of Responsibilities…..………………………………….. G18 Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G5 ANNEX G (LAW ENFORCEMENT) IX. Coordination A. General…………………………………………………………...….… G19 B. Incident Command System-GCCC
Interface…..……………....….. G19 C. Line of Succession…………………………………………………… X. Administration and Support A. Reporting………….…………………………………………………… G20 B. Records…………….………………………………………………….. G20
C. Post Incident Review….……………………………………………… G20 D. Communications……….……………………………………………... G20 E. Resources…………….……………………………………………….. G21 XI. Annex Development & Maintenance………………………………………
G21 ATTACHMENTS A. Interstate Compact Activation Procedures…….….……………...... G22 B . Project Star Activation Procedures……….………….………..…..... G23 Redacted Version
Gallatin County EMP, Annex G (La6w Enforcement), 05/18/11, Page G6 ANNEX G: LAW ENFORCEMENT I. PRIMARY AGENCY Law Enforcement Agency Having Primary Jurisdiction II. SUPPORTING AGENCY
City/County Attorney, City/County Public Works, Emergency Management Agencies, State and Federal Law Enforcement Agencies III. AUTHORITY A. FEDERAL Name Description Legal TBD B. STATE
Name Description Legal Mutual Assistance Rights of Assisting Officers Interstate Law Enforcement Mutual Aid Act MCA 33-11-3 C. LOCAL Name Description Legal TBD Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G7 ANNEX G (LAW ENFORCEMENT) IV. PURPOSE The purpose of this annex is to define the organization, operational concepts,
responsibilities, and procedures to accomplish emergency law enforcement requirements. This annex is applicable to all agencies, organizations and personnel assigned law enforcement
functional responsibilities. V. EXPLANATION OF TERMS A. ACRONYMS DPS Department of Public Safety FBI Federal Bureau of Investigation GCCC Gallatin County Coordination Center IC Incident
Commander ICP Incident Command Post ICS Incident Command System JFO Joint Field Office JIC Joint Information Center JOC Joint Operations Center NIMS National Incident Management System
NRF National Response Framework PEO Principle Executive Officer PIO Public Information Officer SOC State Operations Center SOP Standard Operating Procedures UC Unified Command B. DEFINITIONS
Anti-terrorism Activities Use of defensive methods, including intelligence collection, investigation, passive protection of facilities, implementation of physical and personnel security
programs, and emergency planning, to combat terrorism. Consequence Management Measures taken to protect public health and safety, restore essential government services, and provide emergency
relief to governments, businesses, and individuals affected by the consequences of terrorism. Emergency management agencies normally have the lead role in consequence management. Redacted
Version
Gallatin County EMP, Annex G (La8w Enforcement), 05/18/11, Page G8 Counter-terrorism Activities Use of offensive measures to combat terrorism, such as use of law enforcement and military
resources to neutralize terrorist operations. Crisis Management Measures taken to define the threat and identify terrorists, prevent terrorist acts, resolve terrorist
incidents, investigate such incidents, and apprehend those responsible. Law Enforcement Agencies will normally take the lead role in crisis management. Evacuation Order An order given
by a law enforcement officer in Gallatin County, most likely in person or by posting, to a property and the individuals on it that they are to leave immediately. Conditions in the area
no longer make it safe for individuals to remain there. This is the last notice and no further contact will be made. Evacuation Warning A warning given by a law enforcement officer in
Gallatin County, most likely in person or by posting, to a property and the individuals on it advising that they are in danger due to a current incident. Individuals under an Evacuation
Warning are told that they need to be capable of leaving immediately, that it’s possible officials will not be able to come back to tell them to leave if conditions worsen. If the individuals
will not be capable of leaving immediately due to physical conditions, location, animals, etc..., then they should consider leaving now. Hazmat Hazardous materials. The National Response
Framework (NRF) defines Hazmat as a substance or material, including a hazardous substance, that has been determined by the Secretary of Transportation to be capable of posing an unreasonable
risk to health, safety, and property when transported in commerce, and which has been so designated (see 49 CFR 171.8). The term is also intended to mean hazardous substances, pollutants,
and contaminants as defined by the National Oil and Hazardous Substances Pollution Contingency Plan. Incident Action Plan An oral or written plan containing general objectives reflecting
the overall strategy for managing an incident. It may include the identification of operational resources and assignments. It may also include attachments that provide direction and
important information for management of the incident during one or more operational periods. National Incident Management System (NIMS) The NIMS provides a consistent nationwide approach
for Federal, State, territorial, tribal, and local governments to work effectively and efficiently together to prepare for, prevent, respond to, and recover from domestic incidents,
Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G9 ANNEX G (LAW ENFORCEMENT) regardless of cause, size, or complexity. National Response Framework (NRF) An all-discipline,
all-hazards plan that establishes a single comprehensive framework for the management of domestic incidents. It provides the structure and mechanisms for the coordination of Federal
support to State and local and tribal incident managers and for exercising direct Federal authorities and responsibilities. Terrorist Incident According to the National Response Framework
(NRF), a terrorist incident is any activity that (1) involves an act that (a) is dangerous to human life or potentially destructive of critical infrastructure or key resources; and (b)
is a violation of the criminal laws of the United State or of any State or other subdivision of the United States; and (2) appears to be intended (a) to intimidate or coerce a civilian
population; (b) to influence the policy of a government by intimidation or coercion; or (c) to affect the conduct of a government by mass destruction, assassination, or kidnapping. VI.
SITUATIONS & ASSUMPTIONS A. SITUATIONS 1) Law Enforcement Agencies are expected to continue their efforts to protect lives and property during emergency situations. 2) During large-scale
emergencies and major disasters, Law Enforcement Agencies may be required to expand their operations and undertake certain tasks that are not performed on a day-to-day basis. 3) Large-scale
emergencies and acts of terrorism may adversely impact law enforcement personnel, equipment, and facilities. B. ASSUMPTIONS 1) During large-scale emergency situations, some normal law
enforcement activities may be temporarily reduced in order to provide resources to respond to the emergency situation. 2) During large-scale evacuations, law enforcement support may
be needed to manage traffic. In the aftermath of an evacuation, security must be provided for areas that have been evacuated to protect property and deter theft. 3) In the aftermath
of a disaster, it may be necessary to control access to damaged areas to protect public health and safety and deter theft. Redacted Version
Gallatin County EMP, Annex G (La1w0 Enforcement), 05/18/11, Page G10 4) If there is a threat of terrorism or civil disturbance, key local facilities that house government operations
or provide essential services to the public may require protection. VII. CONCEPT OF OPERATIONS A. GENERAL 1) Local Law Enforcement Agencies have the primary responsibility for enforcing
laws and protecting lives and property during emergencies. Our law enforcement resources located in Gallatin County include: a) The Sheriff’s Office. b) The Belgrade, Bozeman, Manhattan,
Three Forks and West Yellowstone Police Departments, and the Gallatin Airport Authority. c) Montana Highway Patrol, MT Division of Criminal Investigation, Montana Fish, Wildlife, and
Parks, MT Department of Livestock d) USDA Forest Service, National Park Service, Federal Bureau of Investigation 2) Our law enforcement emergency response operations are in accordance
with National Incident Management System (NIMS), which employs two levels of incident management structures. a) The Incident Command System (ICS) includes a core set of concepts, principles,
and terminology applicable to single or multiple incidents regardless of their scope. b) Multi-agency Coordination Systems integrate a combination of facilities, equipment, personnel,
procedures, and communications into a common framework, which allows for the coordination and support of incident management. 3) Many of the tasks required of law enforcement during
emergency operations are simply an expansion of normal daily responsibilities. These responsibilities include enforcing laws, maintaining order, traffic control, and crowd control. 4)
During emergency situations, law enforcement may be called on to undertake a number of tasks not typically performed on a daily basis, including protecting key facilities, enforcing
curfews and restrictions on the Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G11 ANNEX G (LAW ENFORCEMENT) sales of certain products, and controlling access to damaged areas. B. IMPLEMENTATION OF
NIMS/ICS 1) The first official responder on the scene of an emergency situation will follow their agency SOP for incident management, initiation of an ICS, and the establishment an ICP.
As other responders arrive, the individual most qualified to deal with the specific situation present should serve as the IC. The IC will direct and control responding resources and
designate emergency operating areas. The GCCC will generally not be activated. 2) During major emergencies, disasters, or catastrophic incidents, it may be necessary to transition from
the normal ICS structure to a Multiagency Coordination System. The GCCC is central to this System, and functions as a conduit for coordinating information and resources. The IC will
manage and direct the on-scene response from the ICP. The GCCC will mobilize and deploy resources for use use by the IC, coordinate external resource and technical support, research
problems, provide information to senior managers, disseminate emergency public information, and perform other tasks to support on-scene operations. C. LAW ENFORCEMENT 1) Law enforcement
personnel are expected to enforce the laws and regulations during emergency situations in the same way that they do on a daily basis. 2) During emergency situations, particularly major
disasters, some disasterrelated laws and regulations may be put into effect for a limited period; these must also be enforced by Local Law Enforcement Agencies. When a disaster threatens
or has occurred, the PEO may issue a disaster declaration. The County Commission/City Council may enact an emergency order/ordinance suspending other orders/ordinances and/or putting
into effect temporary emergency regulations. See Annex U (Legal) for additional information. D. EVACUATION OPERATIONS 1) Law enforcement has the authority to order the evacuation of
all or part of the population from a stricken or threatened area within their respective jurisdictions. The PEO may also take action to control re-entry, curtail movement, and deny building
occupancy within a disaster area. Law Enforcement Agencies have the lead role in planning and conducting evacuations. See Annex E (Evacuation) for more detailed information on this emergency
function. 2) Evacuation may be expedient or preplanned. Evacuation preplanning should Redacted Version
Gallatin County EMP, Annex G (La1w2 Enforcement), 05/18/11, Page G12 be performed for those geographic areas known to be at risk from specific hazards. Such risk areas include areas
subject to recurrent flooding, areas downstream from unsafe dams, and areas at risk from a release of hazardous materials from facilities that make, use, or store such materials. a)
Expedient Evacuation Expedient evacuations are evacuations that must be conducted with little notice, frequently in response to a request from the Incident Commander at the scene. b)
Preplanned Evacuation For known risk areas, evacuation preplanning will be conducted and primary and alternate evacuation routes identified as part of this plan. Such evacuation preplanning
should involve the emergency management staff and other emergency services. The PEO will normally initiate preplanned evacuations. c) During evacuations, law enforcement will: i. Evacuate
the affected area. ii. Determine preferred evacuation routes, based on the status of preplanned primary and alternate routes and the current situation. iii. Provide information on evacuation
routes to the Public Information Officer (PIO) for dissemination to the public through the media. iv. Alert those in the affected area who have not been warned by other means. v. Deploy
units to direct and control traffic. vi. If the evacuation of correctional facilities becomes necessary, provide security support for such operations. vii. If time permits, alter traffic
signal timing and request that Public Works deploy signs and other traffic control devices to expedite the flow of traffic. viii. Notify adjacent jurisdictions that may be affected by
the evacuation, preferably before the evacuation commences. Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G13 ANNEX G (LAW ENFORCEMENT) ix. Monitor traffic flow and resolve problems; report evacuation progress to the GCCC. x.
Provide appropriate road condition information and travel recommendations to the public through the PIO. xi. For large-scale evacuations, ensure that there are provisions to remove disabled
vehicles or those that run out of fuel from evacuation routes in a timely manner. E. WARNING 1) The Gallatin County 911 Communications Center has primary responsibility for the warning
function and operates the local warning system. See Annex A (Warning) for further information on this emergency function. 2) Law Enforcement Agencies and other emergency services may
be required to disseminate emergency warnings to the public who cannot be reached by primary warning systems. In most areas, law enforcement units and other vehicles equipped with sirens
and public address systems can be used for route alerting. In some areas, such as large office office or residential buildings, door-to-door warning may be necessary. F. AREA SECURITY
& INCIDENT SCENE CONTROL 1) Incident Scene Control: In response to a request from the Incident Commander, law enforcement provides traffic control and perimeter control at incident scenes,
including hazmat spills, major fires and explosions, and other types of incidents. 2) Security for Evacuated Areas: In an evacuation, the security of evacuated areas is extremely important.
Those who have evacuated may not do so in the future if their property has been damaged or stolen during their absence. Experience has shown that Law Enforcement Agencies must provide
security in evacuated areas to minimize looting. Access to such areas will be controlled by roadblocks and, where appropriate, barricades. Access controls should be supplemented by periodic
roving patrols, particularly within areas that are readily accessible by persons on foot. 3) Access Control and Security for Damaged Areas: In areas that have suffered damage, access
must be controlled to protect health and safety, as well as to protect property. When a PEO has issued a local disaster declaration, he or she may take action to control re-entry into
a stricken area and the movement of people and occupancy of buildings within a disaster area. Law Enforcement Agencies will control access to such areas with roadblocks and, where appropriate,
barricades. Access controls should be supplemented by periodic roving patrols, particularly within areas that are Redacted Version
Gallatin County EMP, Annex G (La1w4 Enforcement), 05/18/11, Page G14 readily accessible by persons on foot. Re-entry to damaged areas will generally be conducted in the three phases
outlined below: a) Phase One – Emergency Workers: Admit police, fire, EMS, utility crews, emergency management personnel, building inspectors, limited media, state and federal response
agencies, as outlined in the AHJ’s SOP. b) Phase Two – Concerned Parties: Admit homeowners, business owners, insurance agents, media, and contractors making temporary repairs, as outlined
in the AHJ’s SOP. The following conditions should prevail before these individuals are authorized to enter the damaged area: i. The threat that caused the evacuation has been resolved.
ii. Sufficient debris has been removed to permit travel and roads and bridges are safe to use. iii. Downed power lines have been removed; ruptured gas, water, and sewer lines have been
repaired or rendered safe; and other significant safety hazards have been eliminated. iv. Structures have been checked for obvious hazards and those unsafe to enter are so marked. v.
Some means of fire protection is available. c) Phase Three – General Public. i. Guidance for Personnel Staffing Access Control Points ii. To ensure consistent treatment, personnel staffing
access control points shall be provided with clear written guidance on who may be admitted to damage areas in each phase or reentry. This guidance should be formulated by the law enforcement
staff, coordinated by the GCCC. iii. A pass or permit system may be implemented to simplify regular ingress and egress. If a pass or permit system is used, passes or permits and appropriate
written instructions for their use should be developed by the law enforcement staff and coordinated by the GCCC. Copies should be provided to all personnel staffing access control points.
Common sense suggests that identification cards issued by government, utilities, insurance companies, and the media to their employees be honored as passes or permits for those Redacted
Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G15 ANNEX G (LAW ENFORCEMENT) individuals, unless questions arise regarding their authenticity. G. SECURITY OF KEY FACILITIES
1) There are a number of public and private facilities that must remain in operation during and after an emergency situation to provide essential services to the public. These include
selected government coordination facilities, operating locations for emergency response units, utilities, medical facilities, food suppliers, and key communications services. When there
is a credible threat to these facilities that threatens to disrupt continuity of government or provision of essential services to the public, law enforcement may be requested to provide
security for these key facilities. 2) In the event there is a credible threat of terrorist action within the State of Montana, the State Operations Center may provide an alert to the
Law Enforcement Agency Having Jurisdiction requesting an increase of security personnel at the the critical infrastructure facilities and other potential targets throughout the affected
jurisdiction(s). Law enforcement personnel shall then alert the appropriate officials, who shall review the potential emergency situation, plans, and procedures. See Annex V (Terrorist
Incident). H. TERRORISM INCIDENT RESPONSE 1) Crisis Management a) Law Enforcement Agencies have the lead in terrorism crisis management activities. Pre-incident crisis management activities
include efforts to define the threat, identify terrorists, and prevent terrorist acts. Post incident crisis management activities include efforts to resolve the terrorist incident, investigate
it, and apprehend those responsible. Law Enforcement has the lead local role in terrorism crisis management and will coordinate its efforts with state and federal Law Enforcement Agencies
as appropriate. Refer to Annex V (Terrorist Incident) for more information on the response to terrorist threats and activities. The requirements of crisis management and consequence
management are combined in the National Response Framework. 2) Consequence Management a) Consequence management activities undertaken to deal with effects of a terrorist incident are
conducted in essentially the same manner as the response and recovery operations for other emergencies or disasters. Post-incident crisis management activities, such as investigation,
evidence gathering, and pursuit of suspects, may continue during consequence management. The lead agencies for Redacted Version
Gallatin County EMP, Annex G (La1w6 Enforcement), 05/18/11, Page G16 crisis management and consequence management should mutually determine when crisis management activities are complete.
The lead role in terrorism consequence management may be assigned to one of several local departments or agencies, depending on the type of incident that has occurred. Law Enforcement
Agencies will typically play a significant supporting role in the conduct of consequence management activities. The requirements of crisis management and consequence management are combined
in the National Response Framework. I. DISASTER RECONNAISSANCE In the immediate aftermath of an emergency situation, the Incident Commander or the GCCC staff may request law enforcement
units to conduct reconnaissance to identify specified areas affected and provide an initial estimate of damages. Timely initial disaster reconnaissance, also referred to as a windshield
survey, is important in deciding what assistance is needed immediately and where limited limited resources should be initially committed. J. EXTERNAL ASSISTANCE If local law enforcement
resources and those available through inter-local agreements are insufficient to deal with an emergency situation, local officials may request support from the State using the procedures
outlined in the Basic Plan. K. PHASES OF MANAGEMENT 1) Prevention a) Operate a local warning system; see Annex A (Warning). b) Carry out anti-terrorist activities; see Annex V (Terrorist
Incident). c) Avoid locating correctional facilities in known hazard areas so as to preclude the need for evacuation during emergency situations. 2) Preparedness a) Review and update
plans and procedures. b) Identify preplanned evacuation routes for known risk areas and prepare traffic control plans. c) Train primary and auxiliary law enforcement personnel to conduct
emergency operations. Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G17 ANNEX G (LAW ENFORCEMENT) d) Identify and train law enforcement personnel to staff the GCCC and ICP. e) Conduct drills
and exercises to test plans, procedures, and training. 3) Response a) Maintain law and order. b) Evacuate the affected areas. c) Carry out backup warning; see Annex A (Warning). d) Manage
traffic control for evacuations and other appropriate situations; see Annex E (Evacuation). e) Carry out crowd control where needed. f) Provide security for evacuated areas. g) Conduct
counter-terrorism operations. h) Conduct initial disaster reconnaissance. i) Support other emergency operations. 4) Recovery a) Continue security operations as needed. b) Manage traffic
control for return of evacuees, if needed. c) Provide access control for damaged areas, issuing passes/permits if required. d) Assist in damage assessment. VIII. ORGANIZATION & ASSIGNMENT
OF RESPONSIBLITIES A. ORGANIZATION Our normal emergency organization, described and depicted in Attachment C to the Basic Plan, will plan and carry out law enforcement operations. Redacted
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Gallatin County EMP, Annex G (La1w8 Enforcement), 05/18/11, Page G18 B. ASSIGNMENT OF RESPONSIBILITIES 1) Law Enforcement will: a) Prepare law enforcement inter-local agreements. b)
Maintain law and order during emergency situations. c) Plan, direct, and control evacuations; see Annex E (Evacuation). d) Protect property in evacuated areas. e) Manage access control
to damaged areas. f) Manage traffic control when and where needed. g) Manage crowd control when needed. h) Conduct counter-terrorism and anti-terrorist operations. i) Support search
and rescue operations; see Annex R (Search & Rescue). j) Assist in hazardous materials incidents; see Annex Q (Hazardous Materials). k) If necessary, evacuate prisoners from the jail
to another suitable facility. l) Provide qualified individuals to staff the GCCC and ICP when those facilities are activated. m) Support other emergency functions as necessary. 2) The
Incident Commander will: a) Establish an ICP and control and direct emergency response resources at the incident scene from that ICP to resolve the incident. b) Provide an initial incident
assessment, request additional resources if needed, and provide periodic updates to the GCCC. c) Establish a specific division of responsibilities between the incident command operation
and the GCCC, if the GCCC has been activated. d) Determine and implement initial protective actions for emergency responders and the public in the vicinity of the incident site. Redacted
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Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G19 ANNEX G (LAW ENFORCEMENT) 3) County/City Attorney will: a) Upon request, advise Law Enforcement Agencies regarding
the emergency powers of local government and their potential impact on law enforcement requirements during emergency situations. IX. COORDINATION A. GENERAL 1) Routine law enforcement
operations may continue during some emergency situations. Coordination of such operations will be by those that normally direct and control day-to-day operations. 2) For most emergency
situations, an Incident Commander will establish an ICP at the scene and direct and control emergency operations at incident site from that command post; law enforcement and other resources
committed to the incident will carry out missions assigned by the Incident Commander. The Incident Commander will be assisted by a staff with the expertise and of a size required for
the tasks to be performed. The individual most qualified to deal with the specific type of emergency situation present should serve as the Incident Commander. Hence, for incidents that
primarily involve a law enforcement matter, the senior law enforcement officer present will typically serve as the Incident Commander. 3) In some situations, the GCCC may be activated
without an incident command operation. This type of organizational arrangement is most likely when: (a) a hazard threatens, but has not yet impacted the local area (such as a predicted
flood), or (b) when a generalized threat exists and there is no identifiable incident site (as may be the case for a terrorist threat). During these situations, a senior law enforcement
officer will normally direct the combined efforts of local Law Enforcement Agencies from the GCCC, receiving general guidance from the PEO and coordinating as necessary with the Law
Enforcement Agencies concerned and other emergency functions. 4) External response agencies are expected to conform to the general guidance provided by our senior decision-makers and
carry out mission assignments directed by the Incident Commander or the GCCC. However, organized response units will normally work under the immediate control of their own supervisors.
B. INCIDENT COMMAND SYSTEM-GCCC INTERFACE If both the GCCC and an ICP are operating, the Incident Commander and the GCCC must agree upon a specific division of responsibilities for emergency
response activities to avoid duplication of effort and conflicting guidance and Redacted Version
Gallatin County EMP, Annex G (La2w0 Enforcement), 05/18/11, Page G20 direction. The GCCC and the ICP must maintain a regular two-way information flow. A general division of responsibilities
between the ICP and the GCCC that can be used as a basis for more specific agreement is provided in Annex N, (Coordination). X. ADMINISTRATION & SUPPORT A. REPORTING In addition to reports
that may be required by their parent organization, law enforcement elements participating in emergency operations should provide appropriate situation reports to the Incident Commander,
or if an incident command operation has not been established, to the GCCC. The Incident Commander will forward periodic reports to the GCCC. Pertinent information will be incorporated
into the Initial Emergency Report and the periodic Situation Report that is prepared and disseminated to key officials, other affected jurisdictions, and state agencies during major
emergency operations. The essential elements of information for the Initial Emergency Report and the Situation Report are outlined in Appendices B and C to Annex N (Coordination). B.
RECORDS Activity Logs The Incident Commander and, if activated, the GCCC, shall maintain accurate logs recording significant operational activities, the commitment of resources, and
other information relating to emergency response and recovery operations. See Annex N, (Coordination), for more information on the types of information that should be recorded in activity
logs. Documentation of Costs Expenses incurred in carrying out emergency response operations for certain hazards, such as radiological accidents or hazardous materials incidents, may
be recoverable from the responsible party. Hence, all departments and agencies will maintain records of personnel and equipment used and supplies consumed during large-scale law emergency
operations. C. POST-INCIDENT REVIEW For large-scale emergency operations, the PEO shall organize and conduct a review of emergency operations in accordance with the guidance provided
in the Basic Plan. The purpose of this review is to identify needed improvements in this annex, procedures, facilities, and equipment. Law enforcement personnel who participated in the
operations should participate in the review. D. COMMUNICATIONS Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G21 ANNEX G (LAW ENFORCEMENT) General emergency communications capabilities and connectivity are discussed and depicted
in Annex B (Communications). E. RESOURCES A listing of law enforcement resources is provided in Annex M (Resource Management). XI. ANNEX DEVELOPMENT & MAINTENANCE 1) Law Enforcement
is responsible for developing and maintaining this annex. Recommended changes to this annex should be forwarded as needs become apparent. 2) This annex will be revised annually and updated
in accordance with the schedule outlined in the Emergency Management Plan. 3) Departments and agencies assigned responsibilities in this annex are responsible for developing and maintaining
SOP covering those responsibilities. Redacted Version
Gallatin County EMP, Annex G (La2w2 Enforcement), 05/18/11, Page G22 ATTACHMENT A INTERSTATE COMPACT ACTIVATION PROCEDURES Redacted Version
Gallatin County EMP, Annex G (Law Enforcement), 05/18/11, Page G23 ANNEX G (LAW ENFORCEMENT) ATTACHMENT B PROJECT STAR ACTIVATION PROCEDURES Project Star is a joint project between the
Montana Department of Natural Resources and Conservation, Montana Sheriff’s and Peace Officers Association, and the Northern Rockies Coordinating Group. The intent of the project is
to provide pre configured strike teams of law enforcement officers quickly for rapidly developing incidents. Activation Criteria A county will have an incident, or several incidents
when they have an emerging fire which will require a number of evacuations and/or quick securing of an area evacuated. The local agency is already stretched beyond taking that on, their
officers are already exhausted, the number of incidents, staffing shortage, or for whatever reason the Sheriff of that jurisdiction, the Incident Commander/Incident Management Team,
and the wildland resource agency (DNRC or federal agency) will meet and all agree that the help is needed needed and on who will pay the bill. Activation Procedure 1) Once payment is
decided and agreed on, then the host agency, IMT, or IC will generate a resource order to the covering wildland fire dispatch office. 2) They’ll use the closest force concept. The dispatch
will call the contact (who will have met with and worked out the details prior between the SO and dispatch). The “Star Evacuation Leader” will make his contacts of his own department
and other surrounding departments who are part of this and put together his team which will be 4 or 5. He’ll notify dispatch back with the normal information and they’ll respond as a
module. The teams are called “Star Evacuation Teams” and the leader known as “Star Evacuation Team Leader”. 3) When they arrive (as per the resource order guidelines) he’ll check in
with the local Sheriff and IMT/IC for briefing and directions. Typically, the team will be working for the Sheriff, but will be in the IAP as to assignments, frequencies, maps, etc,
etc. That means the Sheriff will have to be connected to the fire management folks. 4) This is NOT to replace the road guards and security folks we hire as normal part of business, this
is for short term emergency help to the local Sheriff and they should make sure everyone knows that so they don’t get stuck guarding a back road for three weeks. 5) Do the assignment,
with support from the team or however has been decided by the SO and IMT. The team leader has to make sure that they do crew and equipment time sheets for every person and unit. Those
will end up going back with them and end up with MSPOA in Helena, who will submit the bill to whomever agreed to pay. If the receiving county is paying the bill, then the bill will go
to the receiving county. Redacted Version
Gallatin County EMP, Annex G (La2w4 Enforcement), 05/18/11, Page G24 Project Star Participating Agencies COUNTY SHERIFF TEAM LEADER Beaverhead Jay T. Hansen Jay T. Hansen Cascade David
L. Castle Blue Corneliusen Chouteau Vern L. Burdick Fernando Venegas Custer Tony Harbaugh David Power Dawson Craig J. Anderson Craig J. Anderson Fergus Thomas L. Killham Thomas L. Killham
Gallatin James R. Cashell Jason Jarrett Glacier Wayne Dusterhoff Jeff Fauque Golden Valley Floyd R. Fisher Floyd R. Fisher Golden Valley " " AND Bob Pallas Granite Stephen Immenschuh
Stephen Immenschuh Hill Greg Szudera Pete Seymore Lewis & Clark Cheryl Liedle George Cruickshank Lincoln Daryl R. Anderson Jason Place Madison David Schenk David Schenk Madison " " AND
Roger Thompson Missoula Mike McMeekin Lt. Michael Pfau Park Marshal Lutes Sgt. Tom Totland Phillips Tom Miller Scott Moran Pondera Thomas A. Kuka Thomas A. Kuka Powder River John Blain
John Blain Ravalli Chris Hoffman Sgt. Zae Hudson Sanders Gene Arnold Mark Denke Stillwater Clifford Brophy Clifford Brophy Sweet Grass Dan Tronrud Alan Roneberg Teton Keith Van Setten
Keith Van Setten Valley Glen Meier Terry Synan Wheatland James Rosenberg James Rosenberg Yellowstone Chuck Maxwell Captain Bill Michaelis Redacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex H : Heal th & Medical Services
Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Health & Medical Services Mitigation Preparedness Response Recovery ReadyGallatin.com The Health and Medical Services Annex
describes the health and medical needs of the community during an incident. The Gallatin City-County Health Department is the primary agency for this function with support from the health
care providers in the community. This annex addresses primarily the handling of injured and deceased individuals. Much of this information is contained in operational plans such as the
Multiple Patient Incident Plan and the Surge Capacity Plan. A large portion of this annex is composed of attachments explaining the variety of federal resources available through the
National Disaster Medical System. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H2 APPROVAL & IMPLEMENTATION ANNEX H: HEALTH & MEDICAL SERVICES This annex is hereby approved. This annex is
effective immediately and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H3 ANNEX H (HEALTH & MEDICAL SERIVES) RECORD OF CHANGES ANNEX H: HEALTH & MEDICAL SERVICES Date of Change Date
Entered Change Entered By 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H4 TABLE OF CONTENTS I. PRIMARY AGENCIES……………………………………….………………... H6 II. SUPPORTING AGENCIES…………………………………………………..
H6 III. AUTHORITY A. Federal……………………………………………………………….... H6 B. State……………………………………………………………………. H6 C. Local……………………………………………………………….…… H6 IV. PURPOSE………………………………………………………………..…… H6 V.
EXPLANATION OF TERMS A. Acronyms……………………………………………………………… H7 B. Definitions……………………………………………………………… H7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………...H8 B. Assumptions………………………………
……………………………H8 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… H9 B. Mental Health Services….…………………………………………… H10 C. Medical Services……………………………………………..……..… H11 D. Mortuary
Services…………..………………………………...……… H11 E. Medical & Mortuary Services………………….………….…………. H11 F. Damage Assessment………………………………………………… H12 G. Requesting External Assistance…………………………………....
H12 H. Phases of Management……………………………………………... H13 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………… H14 B. Assignment of Responsibilities……..………………………………..
H14 Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H5 ANNEX H (HEALTH & MEDICAL SERIVES) IX. COORDINATION A. General………………………………………………………………… H18 B. Incident Command
System-EOC Interface……………………….. H19 C. Disaster Medical Coordination……………………………………… H19 X. ADMINISTRATION & SUPPORT A. Reporting………………………………………………………………. H19 B. Maintenance & Preservation
of Records…………………………… H20 C. Post-Incident Review………………………………………………….H20 D. Exercises……………………………………………………………… H20 XI. ANNEX DEVELOPMENT & MAINTENANCE……………….……………. H20 ATTACHMENTS A.
National Disaster Medical System(NDMS)…….……………………H22 B. Disaster Medical Assistance Team (DMAT)….…………………… H24 C. Disaster Mortuary Operations Response Team (DMORT)…….... H26 D. National
Medical Response Team…………………………………. H28 E. Veterinary Medical Assistance Team (VMAT)…………………….. H30 F. National Nurse Response Team (NNRT)…………………………. H32 G. National Pharmacy Response
Team (NPRT)…………………….. H33 H. Gallatin County Medical Volunteer System (GCMVS)…………… H35 Redacted Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H6 ANNEX H: HEALTH & MEDICAL SERVICES I. PRIMARY AGENCIES Gallatin City-County Health Department, Coroner II.
SUPPORTING AGENCIES Emergency Management, Health Care Providers III. AUTHORITY A. FEDERAL Name Description Legal P. H. Statute B. STATE Name Description Legal Duties of County Coroner
Coroner MCA 7-4-2911 Powers and duties of local health officers Health Officer MCA 50-2-118 Local Boards of Health Health Department MCA 50-2 C. LOCAL Name Description Legal City County
Health Dept Created dept GCC 1993-158 IV. PURPOSE The purpose of this annex is to outline the organization, operational concepts, responsibilities, and procedures to provide emergency
public health and medical services to Gallatin County. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H7 ANNEX H (HEALTH & MEDICAL SERIVES) V. EXPLANATION OF TERMS A. ACRONYMS DHS Department of Homeland Security
DMAT Disaster Medical Assistance Team DMORT Disaster Mortuary Services Team DPHHS Department of Public Health & Human Services EMS Emergency Medical Services EMT Emergency Medical Technician
GCCC Gallatin County Coordination Center ICP Incident Command Post ICS Incident Command System JIC Joint Information Center NDMS National Disaster Medical System NIMS National Incident
Management System PIO Public Information Officer SOP Standard Operating Procedures B. DEFINITIONS Disaster Medical Assistance Team A team of medical professionals and support personnel
equipped with deployable equipment and supplies that can move quickly to a disaster area and provide medical care. Disaster Mortuary Services Team A team of mortuary service and medical
personnel that provide mortuary and victim identification services following major or catastrophic disasters. Joint Information Center A facility established to coordinate all incident-related
public information activities, authorized to release general medical and public health response information delivered by a recognized spokesperson from the public health and medical
community. National Disaster Medical System A coordinated partnership between Department of Homeland Security (DHS), Department of Health and Human Services Commission, Department of
Defense, and the Department of Veterans Affairs for the purpose of responding to the needs of victims of a public health emergency. Non-federal participants include major pharmaceutical
companies and hospital suppliers, the national Foundation for Mortuary Care, and certain international disaster response and health organizations. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H8 Special Needs Individuals/Groups Includes elderly, children, those who are medically fragile, as well as mentally
and/or physically challenged. These groups may need to have specially trained health care providers to care for them, special facilities equipped to meet their needs, and may require
specialized vehicles and equipment for transport. This population requires specialized assistance in meeting daily needs and may need special assistance during emergency situations.
VI. SITUATION & ASSUMPTIONS A. SITUATION 1) Emergency situations could result in the loss of water supply and wastewater/solid waste disposal services creating potential health hazards.
2) Hospitals, nursing homes, ambulatory care centers, pharmacies, and other facilities for medical/health care and special needs populations may be damaged or destroyed in major emergency
situations. 3) Health and medical facilities that survive emergency situations with little or or no damage may be unable to operate normally because of a lack of utilities or because
staff are unable to report for duty as a result of personal injuries or damage to communications and transportation systems. 4) Medical and health care facilities that remain in operation
could be overwhelmed by the “walking wounded” and seriously injured victims transported to facilities in the aftermath of a disaster. 5) Uninjured persons who require frequent medications,
such as insulin and antihypertensive drugs, or regular medical treatment, such as dialysis, may have difficulty in obtaining these medications and treatments in the aftermath of an emergency
situation. 6) Use of nuclear, chemical, or biological weapons of mass destruction could produce a large number of injuries requiring specialized treatment that could overwhelm local
and state health and medical systems. 7) Emergency responders, victims, and others who are affected by emergency situations may experience stress, anxiety, and display other physical
and psychological symptoms that may adversely impinge on their daily lives. In some cases, disaster mental health services may be needed during response operations. B. ASSUMPTIONS Redacted
Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H9 ANNEX H (HEALTH & MEDICAL SERIVES) 1) Although many health-related problems are associated with disasters,
there is an adequate local capability to meet most emergency situations. 2) Public and private medical, health, and mortuary resources located in Gallatin County will be available for
use during emergency situations. However, these resources may be adversely impacted by the emergency. 3) If hospitals and nursing homes are damaged, it may be necessary to relocate significant
numbers of patients to other comparable facilities. 4) Disruption of sanitation services and facilities, loss of power, and the concentration of people in shelters may increase the potential
for disease and injury. 5) Damage to chemical plants, sewer lines, water distribution systems, and secondary hazards, such as fires, could result in toxic hazards that pose a threat
to response personnel and the general public. This includes exposure to hazardous chemicals, biological and/or radiological substances, contaminated water supplies, crops, livestock,
and food products. 6) The public will require guidance on how to avoid health hazards caused by the disaster or arising from its effects. 7) Some types of emergency situations may affect
a large proportion of Gallatin County making it difficult to obtain mutual aid from the usual sources. 8) Appropriate local, state, and possibly federal, tribal medical, public health
officials, and organizations will coordinate to determine current medical and public assistance requirements. VII. CONCEPT OF OPERATIONS A. GENERAL 1) This government will provide a
consistent approach to the effective management of public health and medical situations to ensure the health and welfare of its citizens operating under the principles and protocols
outlined in the National Incident Management System (NIMS). 2) Gallatin City-County Health Department is the local agency primarily responsible for the day-to-day provision of many health
and medical services for our community. This department also serves as the Health Authority for Gallatin County. 3) This annex is based on the concept that emergency functions of the
public Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H10 health, medical, and mortuary services will generally parallel their normal day-to-day functions. To the
extent possible, the same personnel and material resources will be employed in both cases. Some day-to-day functions that do not contribute directly to the emergency operation may be
suspended for the duration of the emergency, and the resources that would normally be committed to those functions will be redirected to the accomplishment of emergency tasks. 4) Provisions
must be made for the following: a) Establishment of a command post at the disaster site b) Coordinating health & medical response team efforts c) Triage of the injured, if appropriate
d) Medical care and transport for the injured e) Identification, transportation, and disposition of the deceased f) Holding and treatment areas for the injured g) Isolating, decontaminating,
and treating victims of hazardous materials or infectious diseases, as needed h) Identifying Identifying hazardous materials or infectious diseases, controlling their spread, and reporting
their presence to the appropriate state or federal authorities i) Issuing health and medical advisories to the public on such issues as drinking water precautions, waste disposal, the
need for immunizations, and food protection techniques j) Conducting health inspections of congregate care and emergency feeding facilities B. MENTAL HEALTH SERVICES Appropriate disaster
mental health services need to be made available for disaster victims, survivors, bystanders, responders and their families, and other community caregivers during response and recovery
operations. Services may include crisis counseling, critical incident stress management, information and referral to other services, and education about normal, predictable reactions
to a disaster experience and how to cope with them. Information on disaster mental health services procedures can be found in Annex O (Human Services). Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H11 ANNEX H (HEALTH & MEDICAL SERIVES) C. MEDICAL SERVICES See Gallatin County Multiple Patient Incident Plan.
D. MORTUARY SERVICES 1) Law enforcement is responsible for investigating deaths that are not due to natural causes or that do not occur in the presence of an attending physician. The
Coroner is responsible for determining cause of death, authorization of autopsies to determine the cause of death, forensic investigations to identify unidentified bodies, and removal
of bodies from incident sites. 2) When it appears an incident involves fatalities, the Incident Commander shall request Gallatin County 911 Communications make notifications to the Coroner
and Law Enforcement requesting a response to the scene. 3) Law Enforcement or the Coroner shall arrange for the transportation of bodies requiring autopsy or identification to morgues
or suitable examination facilities. When mass fatalities have occurred, it may be necessary to establish a temporary morgue and holding facilities. Additional mortuary assistance may
be required. 4) Funeral homes will collect bodies of victims from the scene and from hospitals, morgues, and other locations and arrange with next of kin for the disposition of remains.
E. MEDICAL & MORTUARY ASSISTANCE 1) In a large incident with a large amount of injured subjects, the Gallatin County medical system will likely be overwhelmed. It is important that the
coordination of patients is carried out utilizing the Unified Health Committee. This committee will utilize the Gallatin County Multiple Patient Incident Plan for pre hospital services
and the Gallatin County Surge Capacity Plan for the expansion of the health care system. 2) In an incident with large numbers of fatalities the storage capacity in the county will quickly
be overwhelmed. The Coroner will have to obtain refrigerated storage from private vendors to supplement the established morgues. 3) Gallatin County Health Department maintains a list
of medically licensed volunteers known as the Medical Volunteer System (See Attachment H) 4) Disaster Medical Assistance Team (DMAT). As noted previously, DMAT is a group of volunteer
medical professionals and support personnel equipped with supplies and equipment that can be moved quickly to a disaster area and provide medical care. DMATs are a part of the National
Disaster Medical System (NDMS). The DMAT concept involves using volunteer medical professionals to provide emergency services to victims of disasters. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H12 Each DMAT is an independent self-sufficient team that can be deployed within a matter of hours and can set
up and continue operations at the disaster site for up to 72 hours with no additional supplies or personnel. The 72-hour period allows federal support, including medical supplies, food,
water, and any other commodity required by the DMAT to arrive. See attachment B. 5) Disaster Mortuary Services Team (DMORT). DMORT provides mortuary and victim identification services
following major or catastrophic disasters. The team is comprised of volunteer professionals from the mortuary and funeral industries. See attachment C. F. DAMAGE ASSESSMENT 1) Water
Supply Systems. In cooperation with Gallatin County Public Works, DPHHS has responsibility for evaluating damage to water treatment facilities following disaster occurrences. Because
of system vulnerability to numerous forms of contamination and the impact which prolonged shutdown of water treatment facilities could have on public health and welfare, it is essential
that a rapid and accurate assessment of damage is completed. Accurate timely estimates for required repairs will permit the DPHHS and Gallatin City-County Health Department to identify
appropriate interim measures such as rationing, expedient water treatment, or construction of temporary water delivery systems. 2) Wastewater Systems. Wastewater treatment facilities
are vulnerable to disaster-related interruptions and their unavailability can have a major impact on the community’s health. The Department of Environmental Quality (DEQ), in cooperation
with Public Works, has a responsibility for evaluating damage to those facilities, as well as advising local officials concerning expedient sanitation practices that may be required
in the affected areas. 3) Medical Facilities. The Health Authority has primary responsibility for evaluating damage sustained by medical facilities in a disaster area. The hospitals
and nursing homes in Gallatin County will provide support in this activity. The facility administrator or his designee will gather initial damage reports and identify which patients
must be removed pending repairs. This data will be provided to the lead facility to compile for the Health Authority’s use. G. REQUESTING EXTERNAL ASSISTANCE If health and medical problems
resulting from an emergency situation cannot be resolved with local resources, those obtained pursuant to inter-local agreements, or resources obtained by the staff in the EMDO, local
government may request medical or mortuary assistance from the state. The PEO should make requests Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H13 ANNEX H (HEALTH & MEDICAL SERIVES) for such assistance to Montana DES. H. PHASES OF MANAGEMENT 1) Prevention
a) Give immunizations. b) Conduct continuous health inspections. c) Promote and encourage the use of the blood donation program. d) Conduct specialized training (e.g. hazmat, decontamination,
etc.). e) Conduct epidemic intelligence, evaluation, presentation, and detection of communicable diseases. f) Conduct normal public health awareness programs. 2) Preparedness a) Maintain
adequate medical supplies. b) Coordinate with Gallatin County officials to ensure water quality. c) Coordinate with Gallatin County officials to provide safe waste disposal. d) Review
emergency plans for laboratory activities regarding examination of food and water, diagnostic tests, and identification, registration and disposal of the deceased. e) Train and exercise
personnel. 3) Response a) Conduct public information programs dealing with personal health and hygiene. b) Conduct disease control operations. c) Monitor sanitation activities. d) Ensure
that supplies of potable water are available. e) Conduct environmental health activities regarding waste disposal, refuse, food and water control, and vector control. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H14 f) Begin the collection of vital statistics. 4) Recovery a) Compile health reports for state and federal
officials. b) Identify potential and/or continuing hazards affecting public health. c) Distribute appropriate guidance for the prevention of the harmful effects of the hazard. d) Continue
to collect vital statistics. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Our normal emergency organization as described in the Basic Plan will plan and carry
out health and medical operations during emergency situations. 2) The Gallatin City-County Health Department functions as the local Health Authority. The Health Authority has primary
responsibility for the health and medical services function and shall designate a Health Officer to plan and coordinate public health and medical services during emergency situations.
The Health Officer, or a designee, shall serve as a member of the GCCC staff. Health and medical service response activities at an incident scene will be coordinated through the Incident
Commander. Large-scale health and medical efforts shall be coordinated from the GCCC. 3) Upon receipt of official notification of an actual or potential emergency condition, it is the
responsibility of the Health Authority to receive and evaluate all requests for health and medical assistance and to disseminate such notification to all appropriate public health, medical,
and mortuary services. B. ASSIGNMENT OF RESPONSIBILITIES 1) All agencies/organizations assigned to provide health and medical services supports are responsible for the following: a)
Designating and training representatives of their agency, including NIMS and ICS training. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H15 ANNEX H (HEALTH & MEDICAL SERIVES) b) Ensuring that appropriate SOP are developed and maintained. c) Maintaining
current notification procedures to insure trained personnel are available for extended emergency duty in the GCCC. 2) The Health Authority will: a) Provide essential medical, surgical,
and hospital care and treatment for persons whose illnesses or injuries are a result of a disaster or where care and treatment are complicated by a disaster. b) Provide public health
protection for the affected population. c) Provide mortuary and vital records services. d) Provide damage assessment for public health & medical facilities and systems. e) Designate
a Health Officer to perform pre-emergency planning for emergency health and medical services and to coordinate such activities during major emergencies and disasters. f) Provide qualified
staff to support health and medical operations at the ICP and the GCCC. 3) The Health Officer and the Health Authority will coordinate: a) Emergency health and medical activities from
the GCCC when activated. b) Rapid assessments of health and medical needs. c) Efforts of local health and medical organizations activated for an emergency by assessing needs, obtaining
additional resources, and ensuring that necessary services are provided. d) Emergency medical teams responding to a disaster to ensure the establishment of medical command posts. e)
Neighboring community health and medical organizations on matters related to assistance from other jurisdictions. f) State and federal officials regarding state and federal assistance.
g) Response units, such as DMAT. h) Screen individual health and medical volunteers obtaining positive Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H16 identification and proof of licensure of volunteers. i) Location, procurement, screening, and allocation
of health and medical supplies and resources, including human resources, required to support health and medical operations. j) Information to the news media on casualties and instructions
to the public on dealing with public health problems through the PIO. k) The provision of laboratory services required in support of emergency health and medical services. l) Immunization
campaigns or quarantines, if required. m) Inspections of foodstuffs, water, drugs, and other consumables that were exposed to the hazard. n) Inspections of damaged buildings for health
hazards. o) Disposal of dead animals with the Gallatin County animal control agency. p) Implementation of measures to prevent or control disease vectors such as flies, mosquitoes, and
rodents. q) Preventive health services, including the control of communicable diseases such as influenza, particularly in shelters. r) Food handling and sanitation monitoring in emergency
facilities. 4) Emergency Medical Services will: a) Respond to the scene with appropriate emergency medical personnel and equipment. b) Triage, stabilize, treat, and transport the injured.
c) Coordinate with local and regional hospitals to ensure casualties are transported to the appropriate facilities. d) Establish and maintain field communications and coordination with
other responding emergency teams (medical, fire, police, public works, etc.). Continue radio and/or telephone communications with hospitals. e) Evacuate patients from affected hospitals
and nursing homes, if necessary. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H17 ANNEX H (HEALTH & MEDICAL SERIVES) 5) Hospitals will: a) Implement internal and/or external disaster plans.
b) Advise health and medical services staff in the GCCC of conditions at the facility and the number and type of available beds. c) Establish and maintain field and inter-facility medical
communications. d) Provide medical guidance to EMS, as needed. e) Coordinate with EMS, other facilities, and any medical response personnel at the scene to ensure the following is accomplished:
i. Casualties are transported to the
appropriate medical facility. ii. Patients are distributed to hospitals both inside and outside the area based on severity and types of injuries, time, and mode of transport, treatment
capabilities, and bed capacity. iii. Take into account special designations such as trauma centers and burn centers iv. Consider the use of clinics to treat less acute illnesses and
injuries. f) Coordinate with local emergency responders to isolate and decontaminate incoming patients, if needed, to avoid the spread of chemical or bacterial agents to other patients
and staff. g) Coordinate with other hospitals and with EMS on the evacuation of affected hospitals, if necessary. Evacuation provisions should specify where patients are to be taken.
h) Depending on the situation, deploy medical personnel, supplies, and equipment to the disaster site(s) or retain them at the hospital for incoming patients. i) Establish and staff
a reception and support center at each hospital for relatives and friends of disaster victims searching for their loved ones. 6) The Coroner will: Ensure appropriate mental health services
are available for disaster victims, survivors, bystanders, responders and their families, and other community caregivers during response and recovery operations. Information on disaster
Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H18 mental health services procedures can be found in Annex O (Human Services). 7) The Medical Examiner will:
a) Conduct inquests for the deceased and prepare death certificates. b) Order or conduct autopsies to determine cause of death. c) Order or conduct forensic investigations to identify
unidentified bodies. d) Authorize removal of bodies from incident sites to the morgue or mortuary facilities. e) Provide information through the PIO to the news media for the dissemination
of public advisories, as needed. 8) Law Enforcement will: a) Provide security for medical facilities, if necessary. b) Conduct investigations of deaths not due to natural causes. c)
Locate and notify next of kin. 9) Mortuary Services will: a) Provide for the collection and care of human remains. b) Establish temporary holding facilities and morgue sites, if required.
c) Coordinate with emergency health and medical services. IX. COORDINATION A. GENERAL 1) The Health Officer, supported by an appropriate network, shall coordinate the efforts of local
health and medical services agencies and organizations during major emergencies requiring an integrated response. 2) Routine health and medical services operations may continue during
less severe emergency situations. Coordination of such operations will be by those that normally coordinate day-to-day health and medical activities. 3) External agencies providing health
and medical support during emergencies Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H19 ANNEX H (HEALTH & MEDICAL SERIVES) are expected to conform to the general guidance provided by our senior
decision-makers and carry out mission assignments directed by the Incident Commander or the GCCC. However, organized response units will normally work under the immediate control of
their own supervisors. B. INCIDENT COMMAND SYSTEM-EOC INTERFACE If both the GCCC and an ICP are operating, the Incident Commander and the GCCC must agree upon a specific division of
responsibilities for emergency response activities to avoid duplication of effort as well as conflicting guidance and direction. The GCCC and the ICP must maintain a regular two-way
information flow. A general division of responsibilities between the ICP and the GCCC that can be used as a basis for more specific agreement is provided in Annex N (Coordination). C.
DISASTER AREA MEDICAL COORDINATION 1) In emergency situations involving significant damage to Gallatin County County medical facilities, each facility shall be responsible for determining
its overall status and compiling a consolidated list of resources or services needed to restore vital functions. Each operating unit will report its status and needs to a single contact
point designated by the facility. This facility contact should consolidate the data provided and report it to the health and medical staff in the GCCC. 2) The Health Officer must be
prepared to receive the consolidated requests and channel various elements of those requests to departments, agencies, and organizations that can best respond. Requests for resources
that cannot be obtained through normal sources of supply or through mutual aid should be identified to the resource management staff in the GCCC for action. X. ADMINISTRATION & SUPPORT
A. REPORTING 1) In addition to reports that may be required by their parent organizations, health & medical organizations participating in emergency operations should provide appropriate
situation reports to the Incident Commander or to the Health Officer in the GCCC. The Incident Commander will forward periodic reports to the GCCC. 2) Pertinent information from all
sources will be incorporated into the Situation Report that is prepared and disseminated to key officials, other affected jurisdictions, and state agencies during major emergency operations.
The essential elements of information for the Situation Report is outlined in Annex Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H20 N (Coordination). B. MAINTENANCE & PRESERVATION OF RECORDS 1) Maintenance of Records. Health and medical
operational records generated during an emergency will be collected and filed in an orderly manner. A record of events must be preserved for use in determining the possible recovery
of emergency operations expenses; response costs, settling claims, assessing the effectiveness of operations, and updating emergency plans and procedures. 2) Documentation of Costs.
Expenses incurred in carrying out health and medical services for certain hazards, such as radiological accidents or hazardous materials incidents, may be recoverable from the responsible
party. Hence, all departments and agencies will maintain records of personnel and equipment used and supplies consumed during large-scale health and medical operations. 3) Preservation
of Records. Vital health & medical records should be protected from the effects of a disaster to the maximum extent possible. Should records be damaged during an emergency situation,
professional assistance for preserving and restoring those records should be obtained as soon as possible. C. POST-INCIDENT REVIEW For large-scale emergencies and disasters, the PEO
shall organize and conduct a review of emergency operations by those tasked in this annex in accordance with the guidance provided in the Basic Plan. The purpose of this review is to
identify needed improvements in this annex, procedures, facilities, and equipment. Health and medical services that participated in the emergency operations being reviewed should participate
in the post-incident review. D. EXERCISES Local drills, tabletop exercises, functional exercises, and full-scale exercises based on the hazards faced by Gallatin County will periodically
include health and medical services operations. Additional drills and exercises may be conducted by various agencies and services for the purpose of developing and testing abilities
to make effective health and medical response to various types of emergencies. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H21 ANNEX H (HEALTH & MEDICAL SERIVES) 1) The Health Authority is responsible for developing and maintaining
this annex. Recommended changes to this annex should be forwarded as needs become apparent. 2) This annex will be revised annually and updated in accordance with the schedule outlined
in the Basic Plan. 3) Departments and agencies assigned responsibilities in this annex are responsible for developing and maintaining SOP covering those responsibilities. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H22 ATTACHMENT A National Disaster Medical System (NDMS) The National Disaster Medical System (NDMS) is a federal
and private sector program that augments local medical care when an emergency exceeds the scope of a community’s hospital and healthcare resources. NDMS was previously part of the Department
of Health and Human Services and became part of DHS when the new department was created in 2003. The Department of Veterans Affairs and the Department of Defense also participate in
NDMS. These emergency resources of the Medical Response Component of NDMS include 104 teams comprised of over 9,000 medical and support personnel coming from federal, state and local
governments, the private sector, and civilian volunteers. The Medical Response Components of NDMS includes DMATs, DMORTs, IMSURTs, and VMATs. • The Federal Emergency Management Agency
coordinates the Medical Response Component of NDMS. This component includes the Disaster Medical Assistance Teams (DMAT) and specialty teams in burn, pediatrics, crush medicine, mental
health, and weapons of mass destruction. The DMATs are comprised of professional and paraprofessional medical personnel (supported by a cadre of logistical and administrative staff)
designed to provide medical care in response to a disaster or other incident. • The NDMS also includes Disaster Mortuary Operational Response Teams (DMORT), one of which is qualified
in weapons of mass destruction. DMORTs are composed of private citizens, each with a particular field of expertise. DMORT members are required to maintain appropriate certifications
and licensures within their discipline. When deployed to an emergency, the teams work under the guidance of local authorities and provide technical assistance and personnel to recover,
identify, and process deceased victims. • Other specialty teams consist of International Medical /Surgical Response Teams (IMSURT). In addition, teams providing Nursing (NNRT) and Pharmaceutical
(NPRT) NPRT) assistance are also components of NDMS. • Veterinary Medical Assistance Teams (VMAT) are deployed to provide veterinary care to injured animals, and veterinary oversight
concerning animal and public health issues when the local veterinary community is overwhelmed following a major disaster or emergency. These teams include clinical veterinarians, pathologists,
animal health technicians, microbiologists, and others who assist animal disaster victims and provide care to search dogs. Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H23 Deployment and Activation: • Ground and air transportation routes are available to move NDMS assets. • 24-hour
post activation (day plus one (D+1)) teams will be in place, setup, and providing care within their region (East, Central, and West). • If an incident occurs in one region (East or West),
only one third (1/3) of assets will be on site and providing care at D+1. All other activated teams could arrive and initiate care at D+2 to D+3. • In the event of a catastrophic incident,
the ―standard of care will be minimal life support and patient holding for two (2) to three (3) days. • The NDMS timeline of care is based on the following teams: o 12 DMATs o 3 NMRTs
ANNEX H (HEALTH & MEDICAL SERIVES) o 1 IMSURT o 3 Base Support Teams Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H24 ATTACHMENT B Disaster Medical Assistance Team (DMAT) Capabilities: • Sustain 24-hour operation for 72 hours
without external support • Provide initial resuscitative care to victims. • For a 24-hour mission, provide out-of-hospital, acute care to 250 patients (including geriatric and pediatric
patients). • Provide sustained hospital ward care for 30 medical/surgical (non-critical) inpatients. • Provide primary response to a mass casualty incident resulting from a non-chemical,
biological, radiological, nuclear, or high-yield explosive (CBRNE) event. • Triage and prepare 200 patients at a casualty collection point for evacuation or transport in a mass casualty
incident. • Provide sustained 24/7 care to 125 patients per day, including: o Limited laboratory and pharmaceutical services o Immediate referral, transfer, or evacuation for 25 patients
o Stabilizing/holding a maximum of six patients for up to 10 hours o Supporting two (2) critical patients for up to 24 hours • Provide patient staging for up to 100 patients at a Federal
Coordinating Center (FCC) reception site. • Augment or assist at a mass drug distribution, immunization, or packaging center. • Staff or augment alternate care facilities. 35 Person
Team: • 9 non-health care positions o 1 Team Leader (1 Deputy Team Leader) o 1 Safety Officer o 1 Administrative/Finance Chief o 1 Administrative Assistant o 1 Logistics Chief o 1 Equipment
Specialist o 2 Communications Officers • 21 health care positions o 3 Medical Officers o 1 Pharmacist o 1 Pharmacy Assistant o 1 Supervisory Nurse Specialists o 4 Registered Staff Nurses
Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H25 o 2 Advanced Practice Nurses or Physician Assistant o 4 Paramedics o 4 Nurse, Sup/Staff, Paramedic/EMT o
1 Mental Health Specialist/Social Worker • 5 positions determined by DMAT Activation Criteria Local Disaster Authorization NDMS Emergency Operations Center Activation Procedure 1) Contact
Gallatin County Emergency Management Duty Officer ( ). ANNEX H (HEALTH & MEDICAL SERIVES) 2) EMDO will contact MT DES Duty Officer ). 3) MT DES Duty Officer will contact RRCC ( ) or
the NDMS Emergency Operations Center ( ) Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H26 ATTACHMENT C Disaster Mortuary Operational Response Teams (DMORT) • Technical assistance and personnel to
recover, identify, and process deceased victims. • Process 60 – 75 bodies in a 12-hour day under optimum operating conditions. • DMORT-WMD: Capable of addressing mortuary concerns, including
deaths from chemical, biological, or radiological intervention, and decontaminating human remains for the ultimate purpose of returning remains to family members, if possible. • During
activation DMORT-WMD National Team adds 3 NRMT-• WMDs. • The DMORT program maintains two (2) Disaster Portable Morgue Units (DPMUs) at FEMA Logistics Centers (one in Rockville, MD, one
in Sacramento, CA). o The DPMU is a cache of equipment and supplies for deployment to an accident site. o The cache contains a complete morgue, including workstations for each processing
element and prepackaged equipment and supplies. Team Members: (50 person team) • Medical examiners • Coroners • Funeral Directors • Mortuary Officers • Photographers • Medical records
technicians/transcribers • Forensic specialists (anthropologists, odontologists, pathologists) • Latent fingerprint experts • Logistics specialists • Security specialists • Computer
specialists • HAZMAT technicians Activation Criteria Local Disaster Authorization NDMS Operations Center Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H27 Activation Criteria 1) Contact Gallatin County Emergency Management Duty Officer ( 2) EMDO will contact MT
DES Duty Officer ( ). 3) MT DES Duty Officer will contact RRCC ( ) or the NDMS Emergency Operations Center ( ) ANNEX H (HEALTH & MEDICAL SERIVES) Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H28 ATTACHMENT D National Medical Response Team (NMRT) • The four 50-person NMRTs are equipped to perform the
functions of a DMAT, but possess additional capabilities to respond to a CBRNE event, to include operating in Level ―A protective equipment. • Specialized unit whose members all have
WMD medical decontamination training and whose responsibility it is to provide human decontamination and/or physician supervised advanced medical care for mass casualty events. • Teams
provide agent identification, limited "Hot Zone" extraction, medical triage, treatment, and mass decontamination (up to 300 ambulatory patients per hour). • Team is equipped with Level
A, B, and C personal protective, medical and supply equipment for mass decontamination and communications. • Each team carries medical supplies and medications, including sufficient
antidotes to manage 5,000 victims of a chemical incident. • Each NMRT is equipped with its own chemical and biological monitors and detectors, used primarily for personnel and victim
safety. • Provide small size patient holding and treatment facilities. • Based in Los Angeles, CA; Denver, CO; Winston-Salem, NC; Washington, DC o (NMRT-West; NMRT-Central; NMRT-East;
NMRT-NCR) • A NMRT can perform the following specific functions: o Provide mass or standard decontamination o Collect samples for laboratory analysis o Provide medical care to contaminated
victims o Provide technical assistance to local Emergency Medical Services (EMS) o Assist in CBRNE triage and treatment before and after decontamination o Provide technical assistance,
decontamination, and medical care o Provide medical care to Federal responders on-site Team Members • Medical Staff (14-19 personnel) • Non-Ambulatory Medical Staff (6-8 personnel) •
Medical Staging (8 personnel) • Ambulatory Staff (6 personnel) • Team Medical/Rehab (2 personnel) • Forward Response (5-10 personnel) Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H29 • Command Staff (5-6 personnel) • Logistics (7 personnel) • Non-Ambulatory Staff (6-8 personnel) Activation
Criteria Local Disaster Authorization NDMS Operations Center Activation Criteria 1) Contact Gallatin County Emergency Management Duty Officer . 2) EMDO will contact MT DES Duty Officer
( . ANNEX H (HEALTH & MEDICAL SERIVES) 3) MT DES Duty Officer will contact RRCC ( ) or the NDMS Emergency Operations Center ( ) Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H30 ATTACHMENT E Veterinary Medical Assistance Teams (VMAT) The VMAT mission is to provide veterinary care to
injured animals and veterinary oversight following a major disaster or emergency. Teams are composed of clinical veterinarians, veterinary pathologists, animal health technicians (veterinary
technicians), microbiologists /virologists, epidemiologists, toxicologists, and various scientific and support personnel. Capability: • Assessing the medical needs of animals. • Treating
and stabilizing animal patients. • Providing animal disease surveillance. • Collecting samples for animal disease diagnosis. • Providing zoonotic disease surveillance and public health
assessment. • Advising on animal carcass disposal. • Helping to maintain food and water safety. • Mitigating hazards. • Assisting in providing biological and chemical terrorism surveillance.
• Decontaminating animals. Activation Criteria Local Disaster Authorization NDMS Operations Center Activation Criteria 1) Contact Gallatin County Emergency Management Duty Officer ).
2) EMDO will contact MT DES Duty Officer ( ). 3) MT DES Duty Officer will contact RRCC ( or the NDMS Emergency Operations Center ( ). Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H31 ANNEX H (HEALTH & MEDICAL SERIVES) Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H32 ATTACHMENT F National Nurse Response Team The National Nurse Response Team is a specialty DMAT that is used
in any scenario requiring hundreds of nurses to assist in chemoprophylaxis, a mass vaccination program, or a scenario that overwhelms the nation’s supply of nurses, to include responding
to weapons of mass destruction events. The NNRTs are directed by the NDMS in conjunction with a Regional Team Leader in each of the NDMS regions. The NNRTs are composed of approximately
200 civilian nurses. Capability: • Maintain appropriate certifications and licensure within their discipline. • Stay current in treatment recommendations for illnesses related to WMD,
complete web based training courses in subjects such as disaster response, humanitarian relief, bioterrorism, and other relevant training. • Participate in a yearly training exercise.
• Be available to deploy when needed in the event of a disaster or emergency. Activation Criteria Local Disaster Authorization NDMS Operations Center Activation Criteria 1) Contact Gallatin
County Emergency Management Duty Officer ( ). 2) EMDO will contact MT DES Duty Officer ( ). 3) MT DES Duty Officer will contact RRCC ( ) or the NDMS Emergency Operations Center ). Redacted
Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H33 ANNEX H (HEALTH & MEDICAL SERIVES) ATTACHMENT G National Pharmacy Response Team (NPRT) The National Pharmacy
Response Team is a specialty DMAT that is used in any scenario that overwhelms the nation’s pharmaceutical community. Such scenarios include chemoprophylaxis, a mass vaccination program,
or responding to WMD events. The NPRTs are directed by the NDMS in conjunction with a Regional Team Leader in each of the NDMS Regions (East, Central, and West). The NPRTs will be composed
of approximately 200 civilian pharmacists. Capabilities: • Maintain appropriate certifications and licensure within their discipline. • Participate in a yearly training exercise. • Be
available to deploy when needed in the event of a disaster or emergency. • Stay current in treatment recommendations for illnesses related to WMD, complete web based training courses
in subjects such as disaster response, humanitarian relief, bioterrorism, and other relevant training. Activation Criteria Local Disaster Authorization NDMS Operations Center Activation
Criteria 1) Contact Gallatin County Emergency Management Duty Officer . 2) EMDO will contact MT DES Duty Officer ( ). 3) MT DES Duty Officer will contact RRCC ( ) or the NDMS Emergency
Operations Center ( . Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H34 Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H35 ANNEX H (HEALTH & MEDICAL SERIVES) ATTACHMENT H GALLATIN COUNTY MEDICAL VOLUNTEER SYSTEM Gallatin County
has developed this Medical Volunteer System (MVS) Framework to guide the process of identifying, recruiting, and managing medically-trained volunteers. Medical volunteers may be needed
in many capacities in the future, and planning for such allows for less confusion and more efficiency during times of disaster. Enabling those in the community with the appropriate skills
to assist when and where needed enhances the capabilities of the local health care organizations and allows them to care for more people. The situations in which the volunteers are activated
are somewhat extreme, but the hope is that this framework will make that process smoother. This framework outlines a system for finding, establishing, and managing volunteers. The system
is the Gallatin County version of a Medical Reserve Corps (MRC). In most cases, this system will be used during the first 12-72 hours of a disaster or emergency in Gallatin County. Activation
Criteria When an entity cannot meet the needs of an incident with their own internal personnel. Authorization No authorization is required. Activation Procedure 1) Contact the Gallatin
City-County Health Department on call staff through Gallatin County Dispatch ). 2) Requesting agency will then provide the following to the Health Dept. a) Type of volunteer needed (nurse,
doctor, specialties, etc.) b) Date and time needed c) Expected length of shift (6 hours, 8 hours, 12 hours, etc.) d) Estimated duration of need (1-2 days, weeks, only during day, 24-hours,
etc.) e) Where the volunteer should report f) The name and contact information of the supervisor the volunteer should report to g) Expected duties Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H36 h) What to bring (photo ID, water, food, gloves, scrubs, etc.) 3) The Health Dept., or an MVS administrator,
will then solicit the requested volunteers either by email or telephone. Please note that the deployment time for MVS may be considerable. 4) Once the resources have been filled, the
requesting agency will be contacted with the names of the individuals requested. 5) Volunteers provided through this system had current licenses at the time of application, however it
is encouraged that this is verified during the deployment process. Background checks have also not been performed (See section 5.1 of MVS Framework). Redacted Version
Gallatin County EMP, Annex H (Health & Medical Services), 05/18/11, Page H37 ANNEX H (HEALTH & MEDICAL SERIVES) Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex I : Publ ic Information Redacted
Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Public Information Mitigation Preparedness Response Recovery ReadyGallatin.com The Public Information Annex describes how
information in coordinated and distributed to the community. Gallatin County Emergency Management is the primary agency for maintaining the tools with the Authority Having Jurisdiction
responsible for utilizing the tools during an incident. This annex describes the approval and dissemination process for public information taking into account special populations and
individual tool limitations. All incidents in Gallatin County will have an identified public information officer. On smaller incidents this individual may be performing several jobs
while on larger incidents may be dedicated to public information. The attachments in this annex provide detailed guides on what type of information to disseminate and tips for working
with the media. Information on available tools is outlined as well as escalation guides. When this plan is in effect, media access is not granted without media credentials meeting the
Gallatin County Specifications. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I2 APPROVAL & IMPLEMENTATION ANNEX I: PUBLIC INFORMATION This annex is hereby approved. This annex is effective immediately
and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I3 ANNEX I (PUBLIC INFO) RECORD OF CHANGES ANNEX I: PUBLIC INFORMATION Date of Change Date Entered Change Entered By
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I4 TABLE OF CONTENTS I. PRIMARY AGENCIES……………………………………………………….... I6 II. SUPPORTING AGENCIES………………………………………………….. I6
III. AUTHORITY A. Federal……………………………………………………………….... I6 B. State……………………………………………………………………. I6 C. Local……………………………………………………………………. I6 IV. PURPOSE…………………………………………………………………….. I6 V. EXPLANATION
OF TERMS A. Acronyms………………………………………………………………. I7 B. Definitions……………………………………………………………… I7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... I8 B. Assumptions…………………………………………………………
… I8 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… I9 B. Information Dissemination……………………………………………I9 C. Providing Emergency Information to Special Populations……..…
I10 D. Resources……………………………………………………...……… I11 E. Phases of Management………….…………………………………… I11 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization……………………………………………………………
I12 B. Assignment of Responsibilities……..……………………………….. I12 IX. COORDINATION A. A. General………………………………………………………………… I14 X. ADMINISTRATION & SUPPORT A. Media Contact Roster…………………………………………………
I15 B. Records………………………………………………………………… I15 C. Training………………………………………………………………… I15 Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I5 ANNEX I (PUBLIC INFO) XI. ANNEX DEVELOPMENT & MAITENANCE…………………….………… I15 ATTACHMENTS A. Media Roster………………………………….………………………
I17 B. Public Information Needs……………………………………………. I18 C. Working With the Media……………………………………………... I22 D. Media Access & Identification……………..………………………... I24 E. Gallatin Media Center
Public Information System………………... I25 F. Joint Information System………………………………………...….. I26 Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I6 ANNEX I: PUBLIC INFORMATION I. PRIMARY AGENCIES Gallatin County Emergency Management, Agencies Having Jurisdiction
II. SUPPORTING AGENCIES Local Elected Officials, Media III. AUTHORITY A. FEDERAL Name Description Legal Not applicable B. STATE Name Description Legal Montana Emergency Alert System
C. LOCAL Name Description Legal Not applicable IV. PURPOSE The purpose of this annex is to outline the means, organization, and process by which we will provide appropriate information
and instructions to the public during emergency situations. This annex also provides for public education to be conducted in advance of emergency situations to reduce the likelihood
that citizens will place themselves in hazardous situations that may require an emergency response. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I7 ANNEX I (PUBLIC INFO) V. EXPLANATION OF TERMS A. ACRONYMS AHJ Authority Having Jurisdiction ARC American Red Cross
DHS Department of Homeland Security EAS Emergency Alert System ECC Emergency Communications Center EMDO Emergency Management Duty Officer EPI Emergency Preparation Information FEMA Federal
Emergency Management Agency GCCC Gallatin County Coordination Center (aka EOC) GCEM Gallatin County Emergency Management HSOC Homeland Security Operations Center IC Incident Commander
ICP Incident Command Post ICS Incident Command System JFO Joint Field Office JIC Joint Information Center JIS Joint Information System LWP Local Warning Point NIMS National Incident
Management System PEO Principal Executive Officer PIO Public Information Officer PNG Public Notification Guide SECC State Emergency Coordination Center SWP State Warning Point B. DEFINITIONS
Public Information Information provided to citizens before, during, and after emergency situations/incidents specifically including instructions on how to protect personal health, safety,
and property, or how to obtain assistance. Rumor Control Process of monitoring media, social networking, and citizen inquiries to identify potential misinformation so that it may be
addressed and corrected. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I8 VI. SITUATION & ASSUMPTIONS A. SITUATION 1) The county faces a number of hazards which may cause emergency situations;
see section VI. Situation & Assumptions of the Basic Plan for a summary of those hazards. 2) During emergencies, the public and the media need timely, accurate information on the emergency
situation and appropriate instructions regarding the situation and protective actions that should be taken to minimize injuries, loss of life, and damage to property. 3) For some slowly
developing emergency situations (such as river flooding), local government and the media will provide detailed information about the hazard and what citizens should do for several days.
4) For other emergency situations, there may be no warning, leaving the public information system unable to react rapidly enough to properly inform the public about the hazard and what
to do. For this reason, it is important that the public be advised of likely hazards and and what protective measures should be taken to lessen the effect of an emergency and/or disaster.
B. ASSUMPTIONS 1) An effective program combining both education and emergency information can significantly reduce loss of life and property. However, many people are unconcerned about
hazards until they may be affected and will not participate in or retain pre-emergency education. Therefore, special emphasis must be placed on the delivery of emergency information
during emergencies and disasters. 2) Local media will cooperate in disseminating warning and emergency public information during emergency situations and may participate in pre-disaster
awareness programs and other disaster education activities. 3) Some emergency situations may generate substantial media interest and draw both local media and media from outside the
local area, overwhelming the available emergency public information staff. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I9 ANNEX I (PUBLIC INFO) VII. CONCEPT OF OPERATIONS A. GENERAL 1) Pursuant to the National Incident Management System
(NIMS) operating principles and protocols, public information efforts should generally focus on specific event-related information. This information will generally be of an instructional
nature focusing on such things as warning, evacuation, and shelter. Attachment B describes some basic emergency information needs. 2) A special effort should be made to keep the public
informed of the general progress of events. Reporting positive information regarding emergency response will help to reassure the community that the situation is under control. Rumor
control must be a major aspect of the informational program. 3) Education efforts are to be directed toward increasing public awareness about potential hazards and how people should
prepare for them. All information and education efforts will rely heavily on the cooperation of every every type of media organization. B. INFORMATION DISSEMINSATION 1) In the initial
stages of an emergency situation, the Local Warning Point (LWP) may have to take action on time-sensitive hazards. The LWP is operated by Gallatin County 911 Communications and is located
in the Emergency Communications Center. Within the limits of the authority delegated to it, the LWP will determine if a warning needs to be issued, formulate a warning if necessary,
and disseminate it. Pre-scripted emergency messages have been prepared for likely hazards and are included in Annex A (Warning). These pre-scripted messages may be used as written or
tailored as needed for specific circumstances. 2) As Emergency Alert System (EAS) messages are limited to two minutes, EAS warning messages may have to be supplemented with Special News
Advisories prepared by the PIO staff that contain amplifying emergency information. Special News Advisories are generally disseminated to media outlets by electronic means. Copies of
the pre-scripted messages, which include warning messages and Special News Advisories, are maintained on computers at the LWP and in the GCCC so that they can be modified quickly. See
Annex A (Warning), Attachment D for more information and pre-scripted messages. a) Broadcasters and cable companies must carry national security warnings and messages initiated by the
President; they may broadcast alerts and messages initiated by state and local Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I10 governments. The Federal Communications Commission encourages licensees to broadcast local warning and instruction
messages, but the final decision on broadcasting such messages rests with the broadcasters. b) See Annex A (Warning) for more information on warning systems. 4) When the Incident Command
System (ICS) is activated for an emergency situation, the Incident Commander (IC) will normally warn the public in and around the incident site. A designated PIO at the Incident Command
Post (ICP), assisted by the PIO if necessary, will normally provide information on the emergency situation to the media. All information, relayed to the media by the PIO, will be approved
by the Authority Having Jurisdiction regardless of a single or unified command structure. 5) Once the GCCC has been activated for an emergency situation, the GCCC will normally coordinate
the need for additional warning and instructions. The PIO will formulate additional warning messages and public instructions, using the sample messages contained in Annex A (Warning),
Attachment D where appropriate. The LWP will normally execute such warnings by activating the warning system, including transmitting EAS messages to broadcasters. The PIO will disseminate
public information materials to the media directly utilizing established procedures. 6) In the case of large-scale emergencies or disasters where there are substantial external responders
from other jurisdictions and/or state or federal agencies and in which the response and recovery effort may continue for an extended period, a Joint Information Center (JIC) should be
established. The JIC, a physical element of the Joint Information System (JIS) developed to provide information to the public during an emergency, is a working facility where the emergency
public efforts of all participating jurisdictions, agencies, volunteer organizations, and other responders can be coordinated to ensure consistency and accuracy. In federally declared
incidents, a JIC will typically be set up as part of the Joint Field Office (JFO). See Attachment F for more information. C. PROVIDING EMERGENCY INFORMATION TO SPECIAL POPULATIONS Special
populations will be provided information on emergency situations and appropriate instructions by the following methods: Hearing-Impaired Captioned EAS messages and news advisories on
television and in print media. Information will also be provided by website and email. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I11 ANNEX I (PUBLIC INFO) Special Facilities EAS messages on radio, television, NOAA Weather Radio, and EPNS. Visually-impaired
EAS messages and news advisories on radio, NOAA Weather Radio and by door-to-door notification. D. RESOURCES The PIO shall maintain a current Media Roster that contains the names, telephone
and fax numbers, and e-mail addresses of each of the media resources. See Attachment A. Information on available tools are contained in this annex as well as Annex A. E. PHASES OF MANAGEMENT
1) Mitigation a) Conduct hazard awareness programs b) Develop systems to enhance information dissemination during emergency situations 2) Preparedness a) Develop and distribute educational
materials; conduct public education programs b) In coordination with the EMDO, prepare pre-scripted warning and public instruction messages for known hazards. See Annex A (Warning),
Attachment D for a list of those messages. c) Brief local media on local warning systems and coordinate procedures for transmitting emergency information to media d) Conduct public education
on warning systems and the actions that should be taken for various types of warnings e) Train public information staff f) Brief local officials and emergency responders on working with
the media. See Attachment C g) Maintain this annex Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I12 h) Identify suitable facilities for a Joint Information Center 3) Response a) Develop, obtain authorization, and
release public information on the emergency situation. b) Conduct media monitoring to determine the need to clarify issues and distribute updated public instructions. c) Manage rumor
control. d) Conduct news conferences and arrange interviews as needed. 4) Recovery a) Provide public information relating to recovery process and programs. b) Compile record of events.
c) Assess effectiveness of public information and education program. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) The overall responsibility for providing emergency
information and instructions to the public rests with the Authority Having Jurisdiction. 2) The Authority Having Jurisdiction shall appoint a Public Information Officer (PIO) and provide
general guidance. 3) The PIO will manage and coordinate all public information related activities and direct such staff as may be assigned or recruited to assist in those activities.
4) Qualified Public Information Officers will staff PIO positions at the Incident Command Post and in the GCCC. B. ASSIGNMENT OF RESPONSIBILITIES 1) Authority Having Jurisdiction will:
a) Appoint a Public Information Officer (PIO). Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I13 ANNEX I (PUBLIC INFO) b) Ensure that the jurisdiction has implemented and institutionalized processes and procedures
to coordinate and integrate public information functions including the development of a public education program for emergency situations. c) Authorize release of all approved incident
information to the media. d) Ensure that a Joint Information Center (JIC) is activated when warranted by the incident. 2) The Public Information Officer (PIO) will: a) Represent and
advise the Authority Having Jurisdiction on all public information matters relating to the management of the incident. b) Ensure Authority Having Jurisdiction approve the release of
all incident-related information. c) Coordinate and integrate public information functions across jurisdictions and functional agencies as required. d) Develop accurate and complete
information on the incident for both internal and external consumption. e) Coordinate overall public information efforts of local government. f) Serve as the official representative
in the JIC. g) Conduct ongoing public education programs. h) Monitor media coverage of emergency operations for accuracy of reports, and issue corrections where necessary. i) Take action
to control rumors. j) Brief potential Incident Commanders, department heads and key staff, and the GCCC staff on basic public information needs, working with the media, and media access
during emergency operations. See Attachments B, C and D for further information on these subjects. k) Maintain a media briefing area in a designated area. l) Maintain a current Media
Contact Roster. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I14 m) Compile printed and photographic documentation of the emergency/disaster. n) Anticipate and be prepared to handle
unscheduled inquiries from the media and the public. 3) The EMDO will: a) Advise the Authority Having Jurisdiction on when to disseminate emergency instructions to the public. b) Coordinate
with the PIO in the development of pre-scripted emergency messages. c) Identify concerns raised by the public, rumors, and other issues involving citizens to the PIO so they may be addressed
in public information activities. 4) All local government departments and agencies will: a) Refer media inquiries during emergency situations to the PIO. b) Assist the PIO in responding
to requests for information from the public or the media. 5) Media companies are encouraged to: a) Disseminate warning messages and Special News Advisories provided by local government
to the public as rapidly as possible. b) Participate in periodic tests of the EAS and other warning systems. c) Provide coverage of emergency management activities. d) Work with PIO
and EMDO on public education programs relating to emergencies. e) Check accuracy of information on emergency operations with the PIO or EMDO prior to dissemination. IX. COORDINATION
A. GENERAL 1) The Authority Having Jurisdiction has overall responsibility for public information, shall provide general guidance for emergency-related public Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I15 ANNEX I (PUBLIC INFO) education and information activities, shall appoint a PIO, and in conjunction with the IC,
approve all information released to the news media. 2) Each Public Information Officer shall direct all emergency public information activities, coordinating as necessary with other
individuals, departments, and agencies performing other emergency functions. 3) To the extent possible, the PIO shall release, upon approval, all information to the public and the media
during emergency operations. During emergency operations, departments and agencies shall refer media inquiries to the PIO. X. ADMINISTRATION & SUPPORT A. MEDIA CONTACT ROSTER GCEM shall
maintain a current contact roster for media organizations that are involved in local emergency management programs. See Attachment A. B. RECORDS 1) The PIO shall maintain a file of all
news advisories and press releases issued during emergency operations. 2) The PIO shall also compile compile and maintain copies of newspaper articles, videotapes of emergency operations
and news broadcasts relating to an emergency, and other media materials distributed for use in post-incident analysis and future training activities. C. TRAINING Members of the public
information staff for whom public information is not their primary daily work should attend public information training, preferably training focusing on emergency public information
activities. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE 1) GCEM is responsible for working with other agencies in the development, maintenance, and improvement of
this annex. Each agency tasked will develop standard operating procedures that address assigned tasks. 2) This annex will be reviewed annually and updated in accordance with the schedule
outlined in the Emergency Management Plan in section IX.D. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I16 Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I17 ANNEX I (PUBLIC INFO) ATTACHMENT A MEDIA ROSTER Name Phone Fax E-Mail Bozeman Daily Chronicle Belgrade News Billings
Gazette Three Forks Herald KBOZ GapWest Yellowstone Public Radio KGVW KGLT AP KTVM KBZK KUSM Max Montana West Yellowstone News Lone Peak Lookout KWYS Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I18 ATTACHMENT B PUBLIC INFORMATION NEEDS A. BACKGROUND During emergency situations, it is important to provide the
general public with adequate information on the situation as rapidly as possible to alleviate concerns and reduce the likelihood of panic or inappropriate actions. The news media is
the primary means of disseminating such information by providing up-to-date information quickly to a large audience. The information they provide reduces the time and manpower that local
government would have to divert from response and recovery tasks. Every effort should be made to cooperate with the news media in providing information and in recognition of the rights
of the news media to perform their proper function. B. INFORMATION NEEDS The following types of information shall be provided to the public as soon as possible in as much detail as possible.
Do not speculate. 1) What Happened a) Nature of incident or emergency. b) Location. c) Time of occurrence. d) Situation resolved or response on going. e) Cause (until an investigation
has determined the cause with reasonable certainty, DO NOT speculate.) 2) Current Response Actions What actions have been or are being taken to protect public health and safety and public
and private property. 3) Known Damages a) Homes. b) Businesses. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I19 ANNEX I (PUBLIC INFO) c) Government buildings. d) Infrastructure (e.g. roads, bridges, parks, etc.). 4) Casualties
a) Number dead and apparent cause (DO NOT speculate). b) Number injured, nature/severity of injuries, and where being treated. c) Number missing and circumstances. d) General identification
of casualties (age, sex, situation, employee, homeowner, responder, etc.) Again, DO NOT speculate. e) Names of casualties (only released after next of kin have been notified). 5) Evacuations
a) Areas and facilities evacuated. b) Approximate number of evacuees. 6) Shelter & Mass Care a) Shelters open (name and location). b) Approximate number of persons being housed in shelters.
c) Mass feeding site or other mass care facilities in operation (name, location, and number of persons being served). 7) Status of Utilities a) Electric service. b) Telephone system.
c) Water system. d) Sewer system. e) Natural gas distribution. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I20 8) Road and Facility Closures 9) Schools a) Status b) Standard Picking Instruction 10) Organizations Responding
a) Local government. b) State agencies. c) Federal agencies. d) Volunteer groups. 11) Means of Contacting Evacuees 12) Areas of Restriction & Reasons 13) Planned Response Activities
14) In the Recovery Phase a) Disaster assistance programs available. b) How to apply for disaster assistance. C. COLLECTION & DISSEMINATION INFORMATION 1) Information shall be collected
and disseminated as soon as possible by the appropriate personnel. The IC, prior to dissemination, must approve all incident-related information. 2) Where an Incident Command Post has
been established and a qualified public information staff member is at the scene, that individual may provide information directly to the media if the GCCC is not activated. If no qualified
public information staff member is present at the scene, the Incident Commander or a member of his his staff should pass situation information to the Public Information Officer for release
to the media. 3) Where an Incident Command Post has been established and the EOC has been activated, information from the incident scene will normally be passed Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I21 ANNEX I (PUBLIC INFO) to the Public Information Officer at the EOC. The Public Information Officer will utilize
reports from the scene and other available pertinent information to brief the media and prepare news advisories for release to the media. 4) The Shelter and Mass Care representative
is responsible for collecting information on shelter and mass care activities and providing that information to the PIO. 5) The Energy and Utilities representative in the GCCC is responsible
for obtaining information on the status of utilities and providing it to the PIO. 6) Law Enforcement and Public Works/Engineering are responsible for obtaining information on road closures
and facility closures and providing it to the PIO. 7) The PIO is responsible for collection of information from the Incident Commander, the GCCC staff, and other sources and agencies.
The PIO staff is responsible for preparation of news releases, for the dissemination of information directly to the news media, and, where appropriate, for making arrangements for announcements
directly to the public via radio and/or television hookups. 8) Hospitals are responsible for dissemination of information concerning casualties and deaths. They generally have policies
restricting the release of detailed information without permission of patients or their families. The information that they choose to release will normally be disseminated directly to
the news media. The PIO should request that the GCCC be provided copies of any information released to the media. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I22 ATTACHMENT C WORKING WITH THE MEDIA A. WHAT TO DO WHEN WORKING WITH THE MEDIA 1) Identify your spokesperson beforehand.
2) Have a number the media know to call when they need information. 3) Make certain the person answering the phones knows to whom to direct media calls. 4) Get all the information you
can from those in charge before you talk with the media. 5) Write out the answers to these questions for your use: a) What happened? b) When did it happen? c) Where did it happen? d)
Why did this happen? e) Who's responsible, involved, injured? f) How many were hurt or killed? What are their names/ages/addresses? g) Can I shoot video/take photos? How close can I
get? h) Who can I talk to? i) What is your agency doing about it? B. WHEN YOU TALK WITH THE MEDIA a) Tell the truth, and if related to the incident, ensure the IC has approved the information.
b) Be courteous and don't play favorites. c) Avoid "off the record" remarks. Redacted Versi
onGallatin County EMP, Annex I (Public Information), 05/11/11, Page I23 ANNEX I (PUBLIC INFO) d) Never say anything you would not want to see printed or broadcast. e) Stay on top of
the interview by listening to the reporter's questions. f) Don't accept the reporter's definitions of what happened. g) Pause, think; ask for more time if you need it. h) Respond only
to the question you've been asked. Don't speculate. i) Stick to the core message. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I24 ATTACHMENT D MEDIA ACCESS & IDENTIFICATION A. MEDIA ACCESS 1) In recognition of the public’s right to know as much
information as possible about a disaster, local response agencies will cooperate with legitimate news media representatives and provide equal access to information and, within the limits
of safety and other response needs, access to incident scene to various news organizations. News media representatives are required to cooperate with response personnel as directed for
safety and efficient operation. 2) The Incident Commander, or his/her designee, will allow media such access to the incident scene as is consistent with safety and does not disrupt critical
operations. 3) The EMDO, in coordination with the PIO, shall establish rules for media access to the GCCC. When the GCCC is activated, representatives of news media may be provided access
to those areas of the GCCC designated by the EMDO. As a general rule, press briefings will not be conducted in the GCCC because they can disrupt on-going GCCC operations; briefings will
normally be conducted in a designated area. Photo shoots and interviews may be conducted, but these should be scheduled so as to minimize disruption. 4) Hospitals establish their own
rules of access for news media representatives and these may vary for individual circumstances. For emergency situations where there have been substantial casualties, it may be desirable
for hospitals to provide a pressroom or other designated area with access to telephones for the use of news media representatives. 5) When incident scenes are on private property, the
property owner may establish and enforce policies with regard to access by the media and other persons who are not emergency responders. B. MEDIA IDENTIFICATION All media representatives
operating in Gallatin County are required to have photo identification on them. Representatives of news media will be considered to have satisfactory identification if they have an identification
card containing the following: photograph, full name, station name, network affiliate, station phone number, or unexpired expiration date. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I25 ATTACHMENT E GALLATIN MEDIA CENTER PUBLIC INFORMATION SYSTEM The Gallatin Media Center (www.gallatinmedia.org) serves
two primary functions through a common location for information that is non-agency specific. Users can either send media releases directly to the media with the mailing list, or post
information directly to the website, which also distributes via email automatically. Activation Criteria GallatinMedia.org is online and active 24/7. No activation is required. Authorization
No authorization is required outside of agency specific protocols. User accounts must be obtained from Gallatin County Emergency Management. ANNEX I (PUBLIC INFO) Activation Procedure
1) Go to a) Enter Username b) Enter Password 2) Select “Posts” from the Menu on the left side. 3) Select “Add New” from the sub menu below Posts on the left side. 4) Enter the Title
of your Media Release 5) Enter the Body of your Media Release with any attached images. 6) Select a Category for the message from the list on the Right Side in the Middle. a) Media Release
– Regular Media Release Information b) Emergency Information – Time sensitive emergency content 7) Select “Preview” on the Right Side at the top a) A window will open up and show a preview.
If there is an error, close the window and make changes followed by repeating Step 7. If everything is correct, close the window and proceed to Step 8. 8) If everything is correct, select
“Publish” on the Right Side. a) This release is now available on the internet b) This release has now been emailed to the media Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I26 ATTACHMENT F JOINT INFORMATION SYSTEM The JIS integrates incident information and public affairs into a cohesive
organization designed to provide consistent, coordinated, accurate, accessible, timely, and complete information during crisis or incident operations. The mission of the JIS is to provide
a structure and system for developing and delivering coordinated interagency messages; developing, recommending, and executing public information plans and strategies on behalf of the
IC; advising the IC concerning public affairs issues that could affect a response effort; and controlling rumors and inaccurate information that could undermine public confidence in
the incident response effort. The JIC is a central location that facilitates operation of
the JIS. It is a location where personnel with public information responsibilities perform critical emergency information functions and crisis communications. If possible, it is advised
to have location(s) identified that could be used as a JIC before an incident occurs; ideally, in close proximity to the EOC. It is important that these locations meet the working needs
of the PIO function and allow easy access for the media. Once a JIC has been identified, it is recommended to have appropriate equipment and other resources available and operational.
The PIO should develop standard operating procedures on the actual use of the JIC and the equipment and staff that may be needed. The JIS provides the mechanism to organize, integrate,
and coordinate information to ensure timely, accurate, accessible, and consistent messaging across multiple jurisdictions and/or disciplines, including the private sector and NGOs. It
includes the plans, protocols, procedures, and structures used to provide information to: • General public; • Disaster victims; • Affected jurisdictions; • Elected officials; • Community
leaders; • Private sector; • Media; • NGOs (e.g., American Red Cross); • Response and recovery organizations (e.g., urban search and rescue, utilities); • Volunteer groups (e.g., CERT,
VOAD); • International interests (e.g., international media and donations); and Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/11/11, Page I27 ANNEX I (PUBLIC INFO) • Other impacted groups. Federal, State, tribal, local, and voluntary agencies, private sector
PIOs, and established JICs are critical supporting elements of the JIS. Key elements include the following: • Gathering, verifying, coordinating, and disseminating consistent messages;
• Interagency coordination and integration; • Support for decision-makers; and • Flexibility, modularity, and adaptability. Agencies issue their own releases related to their policies,
procedures, programs, and capabilities; however, messages need to be coordinated utilizing the JIS to ensure message consistency. JOINT INFORMATION CENTER (JIC) To ensure coordination
of public information during incidents that involve multiple agencies and/or jurisdictions, the IC/UC may use a JIC to support the gathering, verification, coordination, and dissemination
of accurate, accessible, and timely information. The JIC is a central location that facilitates operation of the JIS. In the early stages of response to an incident, the PIO shall consult
with the IC/UC regarding the opening of a JIC. The IC/UC shall retain authority to order the opening of a JIC, although the lead PIO may recommend when it is appropriate. JICs are established:
• At the direction of the IC/UC at various levels of government; • At pre-determined or incident-specific sites; and • As components of Federal, State, tribal, or local Multiagency Coordination
Systems (MACS). JICs may be staffed: • By representatives from all agencies and jurisdictions involved in the response and recovery operation. The JIC should be located close to the
best sources of information, such as an EOC or ICP, without compromising safety or security of the personnel staffing the facility. A single JIC location is preferable, but the system
is flexible and adaptable enough to accommodate virtual or multiple locations, as required. Redacted Version
Gallatin County EMP, Annex I (Public Information), 05/18/11, Page I28 Redacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex J : Recovery Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Recovery Mitigation Preparedness Response Recovery ReadyGallatin.com The Recovery Annex addresses how we get life back to
normal after an event occurs. Emergency Management is the primary agency for this function, however successful completion of this function requires cooperation from everyone from the
beginning of an event. This annex is primarily focused on the two federal program provided through the Stafford Act for recovery activities after an event has occurred. The Individual
Assistance Program provides assistance for individuals primary residences and businesses. The Public Assistance Program provides support for the rebuilding of public infrastructure and
response costs. While this function occurs at the end of an incident, specific actions must be taken from the beginning of an event to be effective in these programs. This annex outlines
the specific criteria and items which must be documented with these programs. It is very difficult to produce the necessary documentation after an incident if it has not been produced
and recorded throughout the incident. When an incident first appears that it may become eligible for federal assistance, a meeting with the emergency manager, financial officers, and
elected officials should take place to identify what needs to be documented and how that will take place. The lack of this taking place at the onset of an incident is the number 1 reason
local jurisdictions lose out on available funding. Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J2 APPROVAL & IMPLEMENTATION ANNEX J: RECOVERY This annex is hereby approved. This annex is effective immediately and supersedes
all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J3 ANNEX J (RECOVERY) RECORD OF CHANGES ANNEX J: RECOVERY Date of Change Date Entered Change Entered By 1 2 3 4 5 6 7 8 9 10 11
12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J4 TABLE OF CONTENTS I. PRIMARY AGENCIES……………………………………………………….... J6 II. SUPPORTING AGENCIES………………………………………………….. J6 III. AUTHORITY
A. Federal……………………………………………………………….... J6 B. State……………………………………………………………………. J6 C. Local……………………………………………………………………. J6 IV. PURPOSE……………………………………………………………………..J6 V. EXPLANATION OF TERMS
A. Acronyms………………………………………………………………. J7 B. Definitions……………………………………………………………… J7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... J8 B. Assumptions……………………………………………………………
J8 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… J9 B. Damage Assessment………………………………………………….J10 C. Requesting Assistance..…………………………………….……..… J11 D. Post-Declination
Emergency Programs.…………….…...……… J12 E. Phases of Management……………………………...……….………. J13 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………… J14
B. Assignment of Responsibilities……..……………………………….. J15 IX. COORDINATION……..……………………………………………………… J20 Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J5 ANNEX J (RECOVERY) X. ADMINISTRATION & SUPPORT A. Reports………………………………………………………………… J20 B. Records…………………………………………………………………
J20 C. Contracts.……………………………………………………………… J21 D. Training……………………………………………………………….. J22 E. Release of Information………………………………………………. J22 XI. ANNEX DEVELOPMENT & MAINTENANCE……………………………..
J22 Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J6 ANNEX J: RECOVERY I. PRIMARY AGENCIES Emergency Management, FEMA Recovery Representative, State Recovery Representative II.
SUPPORTING AGENCIES Auditor, Financial Advisors, Elected Officials III. AUTHORITY A. FEDERAL Name Description Legal B. STATE Name Description Legal C. LOCAL Name Description Legal IV.
PURPOSE The purpose of this annex is to define the operational concepts, organizational arrangements, responsibilities, and procedures to accomplish the tasks required to recover from
a major emergency or disaster. Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J7 ANNEX J (RECOVERY) V. EXPLANATION OF TERMS A. ACRONYMS CFR Code of Federal Regulations DRC Disaster Recovery Center DSO Disaster
Summary Outline EMC Emergency Management Coordinator EMDO Emergency Management Duty Officer FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center IA Individual
Assistance JFO Joint Field Office JIC Joint Information Center PA Public Assistance PDA Preliminary Damage Assessment PEO Principal Executive Officer PIO Public Information Officer PW
Project Worksheet SBA Small Business Administration SOP Standard Operating Procedures B. DEFINITIONS Individual Assistance (IA) Programs providing financial assistance to individuals,
families, and business owners in declared disaster areas whose property has been damaged or destroyed and whose losses are not covered by insurance. Public Assistance (PA) Financial
assistance to repair facilities and infrastructure provided to governments, public institutions, institutions, and certain private non-profit agencies that provide essential services
of a governmental nature. Stafford Act The Robert T. Stafford Disaster Relief and Emergency Assistance Act. Primary and Secondary Agents The individuals who will be representing the
jurisdiction in the grant process. Project Worksheet A FEMA document that lists the specifications of an approved PA project. Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J8 VI. SITUATION & ASSUMPTIONS A. SITUATION 1) As identified in the Gallatin County Hazard Analysis summarized in the Basic Plan,
this jurisdiction is at risk from a number of hazards that have the potential for causing extensive property damage. In the event that such damage occurs, planned damage assessment and
recovery procedures are essential for returning the community to normal after a major emergency or disaster. 2) The Stafford Act authorizes federal disaster assistance to individuals
and to governmental entities in the aftermath of a major emergency or disaster and outlines the types of assistance that may be made available. The majority of federal disaster assistance
programs are administered by state agencies. 3) The State of Montana does not have a specific disaster assistance program for individuals similar to the Stafford Act. 4) Federal assistance
is governed by the Stafford Act and 44 CFR, part 206. B. ASSUMPTIONS 1) Adopting and enforcing land use regulations can reduce much of the structural damage that would otherwise result
from a disaster. 2) We must be prepared to deal with a major emergency or disaster until outside help arrives. 3) Timely and accurate damage assessment to private and public property
is the basis for requesting state and federal assistance for citizens, for repairs to infrastructure, and should be a vital concern to local officials following a disaster. 4) State
and federal assistance may be requested to assist citizens or government entities. State assistance is typically in the form of operational support such as equipment, manpower, or technical
assistance. Federal assistance, if approved, will generally be in the form of financial reimbursement and will require considerable paperwork and take some time to deliver. 5) Volunteer
organizations will be available to assist citizens in meeting some basic needs, but they may not provide all needed assistance. Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J9 ANNEX J (RECOVERY) 6) Damage assessment and recovery operations may commence while some emergency response activities are still
underway. VII. CONCEPT OF OPERATIONS A. GENERAL 1) Our disaster recovery program will be conducted in five steps: a) Pre-Emergency Preparedness. Prior to an emergency, this annex shall
be developed and maintained, and key recovery staff members identified. These individuals shall obtain training and develop operating procedures for recovery activities. Requirements
for personnel to staff damage assessment teams and assist in recovery programs shall be determined and basic training provided. b) Initial Damage Assessment. An initial damage assessment
is required to support requests for state and federal assistance. This assessment will be conducted as soon as possible; often while some emergency response activities are still underway.
During this phase, the PEO should declare a local state of disaster, which allows local officials to invoke emergency powers to deal with the disaster and is required to obtain state
and federal disaster recovery assistance. Guidance on issuing a local disaster declaration is provided in Annex U (Legal). c) Requesting Assistance. State and federal disaster assistance
must be requested in a letter to the Governor, which must be accompanied by a Disaster Summary Outline (DSO) reporting the results of the initial damage assessment and the local disaster
declaration. Based on the information contained in the DSO and other information, the Governor may issue a state disaster declaration for the affected area and may request that the President
issue a federal disaster declaration. d) Short Term Recovery Activities. Prior to a federal disaster or major emergency declaration, state disaster response and recovery assistance,
which typically consists of equipment, personnel, and technical assistance, may be deployed as soon as it is requested. During the initial stages of recovery, state agencies and volunteer
groups may assist disaster victims with basic needs, such as temporary shelter, food, and clothing. A local donations management program may be activated to distribute donated goods
and funds to disaster victims and assign volunteer workers to assist victims and local government. See Annex O (Human Services) and Annex T (Resource and Donations Management) for more
information. Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J10 e) Post-Declaration Recovery Programs. Recovery programs authorized by the Stafford Act and other statutes begin when the
President issues a disaster declaration. B. DAMAGE ASSESSMENT 1) An extensive and detailed damage assessment is the basis of most recovery programs at state and federal levels. The county
is responsible for compiling the necessary information regarding loss of life, injuries, and property damage. 2) The Damage Assessment Officer will manage the damage assessment function
by organizing, training, and employing a Damage Assessment Team composed of local personnel. 3) Damage Assessment Teams: There will be two types of damage assessment teams. Public Assistance
(PA) teams will survey damage to government property and private non-profit organizations. Individual Assistance (IA) teams will assess impact on citizens and businesses. Each team will
have a designated team leader who will compile and report team findings to the Damage Assessment Officer. a) PA Team: This team will assess damage to publicly owned property. Damage
will be reported in terms of dollars and impacts in the following categories: i. Emergency services ii. Debris removal and disposal iii. Roadways and bridges iv. Water control facilities
v. Buildings, equipment, and vehicles vi. Publicly owned utilities vii. Parks and recreational facilities b) IA Team: This team will survey damage to homes and businesses. 4) Homes.
The 1-PR form provides a matrix used to report damage to homes, which will be categorized by: Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J11 ANNEX J (RECOVERY) a) Type of housing unit: single family, mobile homes, and multi-family units. b) Type of damage: destroyed,
major damage, minor damage, affected c) For each type of housing unit, an estimate of average percent of units covered by insurance must be provided. 5) Businesses: The 2-BU form should
be used to report business damages to the state officials. This information will be needed should our jurisdiction not qualify for FEMA assistance. a) Business name and address b) Owner’s
name and phone number c) Type of business d) Estimated dollar loss e) Amount of anticipated insurance f) Value of business g) Fair replacement value of Contents h) Structure i) Land
j) Number of employees k) Number of employees for which unemployment insurance is carried l) Estimated number of days out of operation m) Percent of uninsured loss C. REQUESTING ASSISTANCE
1) Requests for assistance should be forwarded to MT DES within 10 days of the disaster to to allow state officials adequate time to prepare the necessary documentation required for
a declaration. 2) If the PEO determines that a disaster is of such severity as to be beyond the local capability to recover and that state or federal assistance is needed for Redacted
Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J12 long-term recovery, s/he should prepare a letter requesting disaster assistance, with the following attachments. A complete
local disaster declaration, with data from all cities and unincorporated areas that suffered damage, should be included. 3) MT DES will review the information submitted, coordinate with
the Governor’s Office regarding the request, and maintain contact with the PEO as the request is processed. 4) If local damages appear to exceed the state and local capability to recover,
MT DES will contact the FEMA regional office and arrange for federal, state, and local personnel to conduct a preliminary damage assessment. If the results of that assessment confirm
that the severity of the disaster is beyond state and local capabilities, the Governor may forward a request for assistance to the President through FEMA. D. POST-DECLARATIONAL EMERGENCY
PROGRAMS 1) Presidential Disaster Declaration. When a federal disaster declaration is issued, federal recovery programs are initiated, state and federal recovery staffs are deployed
and recovery facilities are established. A Joint Field Office (JFO), staffed by state and federal personnel, will normally be established in the vicinity of the disaster area to administer
recovery programs. One or more Disaster Recovery Centers (DRC), staffed by state and federal agency personnel, may be established to assist disaster victims in obtaining assistance;
mobile DRCs may also be employed. 2) Individual Assistance a) The FEMA Tele-registration System is activated so that disaster victims may register by phone for federal disaster assistance.
a. 800-621-3362 b. http://www.fema.gov/assistance b) Federal, state, and local personnel conduct follow-up damage assessments. c) State and federal outreach programs for disaster victims
are initiated. d) Individual assistance activities for citizens and businesses may continue for months. 3) Public Assistance a) Public assistance is provided to repair or rebuild public
facilities affected by a disaster, including buildings, state or local roads and Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J13 ANNEX J (RECOVERY) bridges, water supplies, sewage treatment, flood control systems, airports, and publicly-owned electric
utilities. Public assistance is also available to repair or rebuild schools and public recreation facilities. b) As reconstructing infrastructure may require demolition and site cleanup,
design and engineering work, the letting of bids, and a lengthy construction period, public assistance programs typically continue over a period of years. c) Nearly all federal public-assistance
programs are on a cost share basis. The federal government picks up a large percentage of the costs, but local government must cover the remainder. Hence, it is particularly important
to maintain complete and accurate records of local response and recovery expenses. 4) Small Business Administration (SBA) Disaster Declarations. If the emergency situation does not meet
the criteria for a Presidential disaster declaration, assistance in the form of loans may be available from the SBA. 5) Agricultural Disaster Declarations. The Secretary of Agriculture
is authorized to make agricultural disaster declarations for weather-related crop losses. When such declarations are made, farmers and ranchers become eligible for an emergency loan
program. 6) Other State Programs. Limited assistance may be available through the Montana Disaster Fund for costs above the 2 mill emergency assessment and below the Montana public assistance
Threshold. E. PHASES OF MANAGEMENT 1) Mitigation a) Develop and enforce adequate building codes b) Develop and enforce adequate land use regulations c) Develop hazard analysis d) Develop
potential mitigation measure to address the hazards identified in the analysis 2) Preparedness a) Assess disaster risk to government facilities from likely hazards and take measures
to reduce the vulnerability of facilities b) Identify damage assessment team members Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J14 c) Train personnel in damage assessment techniques d) Maintain pre-disaster maps, photos, and other documents for damage assessment
purposes e) Identify critical facilities requiring priority repairs if damaged f) Ensure that key local officials are familiar with jurisdiction’s insurance coverage g) Conduct public
education on disaster preparedness h) Conduct exercises 3) Response a) Gather damage reports b) Compile damage assessment reports c) Keep complete records of all expenses 4) Recovery
a) Identify unsafe structures and recommend condemnation b) Monitor restoration activities c) Review building codes and land use regulations for possible improvements d) Communicate
effectively with disaster victims VII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) The county organization for disaster recovery includes the general emergency structure
described in the Basic Plan and the additional recovery positions described in this annex. annex. Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J15 ANNEX J (RECOVERY) 2) The EMDO shall coordinate recovery efforts. The EMDO will serve as the Damage Assessment Officer or
designate an individual to serve in that capacity. 3) All departments and agencies may be called on to provide staff support for damage assessment and recovery activities. B. ASSIGNMENT
OF RESPONSIBILITIES 1) The PEO will: a) Oversee the local disaster recovery program, including pre-disaster planning and post-disaster implementation. b) Appoint an Individual Assistance
Officer, Public Assistance Officer, and Recovery Fiscal Officer, who will carry out specific recovery program activities and report to the EMC. c) In the aftermath of a disaster: i.
Review damage assessments and request state and federal disaster assistance if recovery from the disaster requires assistance beyond that which local government can provide. ii. Participate
in recovery program briefings and periodic reviews. iii. Monitor and provide general guidance for the operation of the local recovery program when implemented. 2) The EMDO will: a) Serve
as the Damage Assessment Officer or designate an individual to fill that position b) Participate in recovery program briefings, meetings, and work groups c) Supervise local recovery
operations; coordinating as needed with state and federal agencies and maintaining required records d) Provide guidance to and supervise recovery activities of the Individual Assistance
Officer, Public Assistance Officer, and Recovery Fiscal Officer e) Coordinate training for damage assessment team members and other individuals with disaster recovery responsibilities
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Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J16 f) Assist the PEO in preparing documents to request state and federal recovery assistance g) Develop appropriate public information
relating to recovery programs, in coordination with the PIO 3) The Damage Assessment Officer will: a) Develop a damage assessment program. b) Organize and coordinate training for damage
assessment teams. c) In the aftermath of a disaster: i. Collect damage assessments from all departments, agencies, other governmental entities, and private non-profit facilities that
may be eligible for disaster assistance ii. Compile damage assessment information iii. Participate with state and FEMA representatives in the PDA process iv. Coordinate with the Incident
Commander to ensure that response activities have either terminated or are in a phase of transitioning to recovery, before deploying damage assessment teams 4) The PA Officer will: a)
Attend the following PA program meetings: i. Applicant’s Briefing ii. Kick-off Meeting iii. Other program meetings, as needed b) Obtain maps showing damage areas from PDA team leaders
c) Prepare or assist state and federal teams in preparing recovery Project Worksheets (PW) for the local area d) Monitor all PA program activities and: i. Ensure deadlines are complied
with or time extensions requested in a timely manner Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J17 ANNEX J (RECOVERY) ii. Ensure the work performed complies with the description and intent of the PW iii. Ensure all environmental
protection and historical preservation regulations are complied e) Request alternate or improved projects, when appropriate f) Request progress payments on large projects, if appropriate
g) Request final inspections and audit when projects are completed h) Prepare and submit Project Completion and Certification Report (P.4) as appropriate i) Provide insurance information
when needed j) Ensure costs are properly documented k) Assist with final inspections and audits l) Monitor contract for de-barred contractors m) The duties of the PA Officer are further
explained in the Disaster Recovery Manual 5) The IA Officer will: a) Act as our liaison with state and federal Outreach and Public Relations programs b) Assist in locating a local facility
for use as DRC, if needed c) Act as the local government representative at the DRC, DRC, when needed d) Coordinate with the state and federal Outreach staff to arrange community meetings
e) Act as an advocate for disaster victims who need assistance in dealing with state, federal, and volunteer agencies 6) The PIO will establish a media site, sometimes referred to as
a JIC, to ensure that accurate and current information is disseminated to the public. 7) The Chief Financial Officer will: Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J18 a) Administer fiscal aspects of the recovery program b) Ensure that the financial results of each project are accurate and
fully disclosed c) Monitor the source and application of all funds d) Ensure that outlays do not exceed approved amounts for each award e) Maintain information establishing the local
cost share f) Ensure that all laws, regulations, and grant requirements are complied with g) Coordinate between the grant managers (also known as Primary and Secondary Agents) and the
accounting staff h) These duties are further explained in the Disaster Recovery Manual 8) Public Works will: a) Survey roads, bridges, traffic control devices, and other facilities and
determine extent of damage and estimate cost of restoration b) Determine extent of damage to government-owned water and wastewater systems and other utilities and estimate the cost of
restoration c) Coordinate with local public non-profit utility providers to obtain estimates of damage to their facilities and equipment and estimates of the cost of restoration 9) The
School District will: a) Assess and report damage to its facilities and equipment and the estimated cost of repairs b) Estimate the effects of the disaster on the school district tax
base 10) The City Finance Director will: a) Estimate dollar losses to local government due to disaster b) Estimate the effects of the disaster on the local tax base and economy Redacted
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Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J19 ANNEX J (RECOVERY) 11) All departments and agencies will: a) Pre-emergency: i. Identify personnel to perform damage assessment
tasks ii. Identify private sector organizations and individual with appropriate skills and knowledge that may be able to assist in damage assessment iii. Participate in periodic damage
assessment training iv. Participate in using geographic information systems (GIS) that may be used in damage assessment v. Periodically review forms and procedures for reporting damage
with designated damage assessment team members b) Emergency: i. Make tentative staff assignments for damage assessment operations ii. Review damage assessment procedures and forms with
team members iii. Prepare maps and take photos and videos to document damage c) Post-emergency: i. Identify and prioritize areas to survey ii. Refresh damage assessment team members
on assessment procedures iii. Deploy damage assessment teams iv. Complete damage survey forms and forward to the Damage Assessment Officer v. Catalog and maintain
copies of maps, photos, and videotapes documenting damage for further reference vi. Provide technical assistance for preparation of recovery project plans Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J20 vii. Maintain disaster-related records IX. COORDINATION A. GENERAL 1) The PEO may establish local rules and regulations for
the disaster recovery program and may approve those recovery programs and projects that require approval by the local governing body. 2) The PEO shall provide general guidance for and
oversee the operation of the local disaster recovery program and may authorize those programs and projects that require approval by the chief elected official or chief operating officer
of the jurisdiction. 3) The EMDO shall direct day-to-day disaster recovery activities and shall serve as the Damage Assessment Officer or designate an individual to fill that position.
4) The PEO shall appoint local officials to fill the positions of IA Officer, PA Officer, and Recovery Fiscal Officer. These individuals shall report to the EMDO in matters relating
to the recovery program. X. ADMINISTRATION & SUPPORT A. REPORTS Each damage survey team will collect data using the Site Assessment forms (see Attachment B) that can be found in the
Disaster Recovery Manual. Once completed, these forms should be utilized to determine priorities for beginning repairs and evaluating the need for requesting state and federal assistance.
B. RECORDS Each department or agency will keep detailed records on disaster related expenses, including: 1) Labor a) Paid (regular and overtime) b) Volunteer 2) Equipment Used Redacted
Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J21 ANNEX J (RECOVERY) a) Owned b) Rented /leased c) Volunteered 3) Materials a) Purchased b) Taken from inventory c) Donated
4) Contracts a) Services b) Repairs C. CONTRACTS 1) The Recovery Fiscal Officer should monitor all contracts relating to the recovery process. Contracts that will be paid from federal
funds must meet the following criteria: a) Meet or exceed federal and state procurement standards and must follow local procurement standards if they exceed the federal and state criteria
b) Be reasonable c) Contain right to audit and retention of records clauses d) Contain standards of performance and monitoring provisions e) Fall within the scope of work of each FEMA
project f) Use line items to identify each FEMA project, for multiple project contracts 2) The following contract-related documents must be kept: a) Copy of contract b) Copy of PWs Redacted
Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J22 c) Copies of requests for bids d) Bid documents e) Bid advertisement f) List of bidders g) Contract let out h) Invoices, cancelled
checks, and inspection records D. TRAINING 1) The individual assigned primary responsibility for the recovery function shall attend disaster recovery training. 2) Those individuals assigned
duties, as the IA Officer and PA Officer should also attend training appropriate to their duties. 3) The Damage Assessment Officer is responsible for coordinating appropriate training
for local damage assessment teams. E. RELEASE OF INFORMATION 1) Personal information, such as marital status, income, and Social Security numbers gathered during the damage assessment
and recovery process is protected by state and federal privacy laws. Due care must be taken by all individuals having access to such information to protect it from inadvertent release.
2) General information, such as the numbers of homes damaged and their general locations, may be provided to private appraisers, insurance adjusters, etc. XI. ANNEX DEVELOPMENT & MAINTENANCE
A. DEVELOPMENT & MAINTENANCE 1) Development The EMDO is responsible for developing and maintaining this annex. Redacted Version
Gallatin County EMP, Annex J (Recovery), 05/18/11, Page J23 ANNEX J (RECOVERY) 2) This annex will be reviewed annually and updated in accordance with the schedule outlined in the Basic
Plan. 3) Those individuals charged with responsibilities for managing various recovery activities are also responsible for developing standard operating procedures for those activities.
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BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex K : Communi ty Infrastructure Redacted
Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Community Infrastructure Mitigation Preparedness Response Recovery ReadyGallatin.com The Community Infrastructure Annex
covers how Gallatin County manages public infrastructure issues during an emergency. The public works, engineering, and utility agencies in the county have the primary responsibility
for this function. Community infrastructure is a blended annex in which we have combined several similar and interrelated functions. This annex consists of what many communities may
have as their Public Works, Engineering, and Utility Services Annexes. In this annex we discuss a variety of situations and the steps we take to address them. Planned actions our outlines
for a variety of utility outages such as water or communications. Damage assessment, repairs, and restoration are outlined. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K2 APPROVAL & IMPLEMENTATION ANNEX K: COMMUNITY INFRASTRUCTURE This annex is hereby approved. This annex is effective
immediately and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K3 ANNEX K (COMMUNITY INFRASTRUCTURE) RECORD OF CHANGES ANNEX K: COMMUNITY INFRASTRUCTURE Date of Change Date
Entered Change Entered By 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K4 TABLE OF CONTENTS I. PRIMARY AGENCIES…………………………………………………….…... K6 II. SUPPORTING AGENCIES…………………………………………………..
K6 III. AUTHORITY A. Federal……………………………………………………………….... K6 B. State……………………………………………………………………. K6 C. Local…………………………………………………………………… K6 IV. PURPOSE………………………………………………………………..…… K6 V.
EXPLANATION OF TERMS A. Acronyms…………………………………………………………….… K7 B. Definitions……………………………………………………………… K8 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... K8 B. Assumptions…………………………
………………………………… K9 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… K11 B. Protecting Resources & Preserving Capabilities……..…………… K12 C. Search & Rescue…………………………………….……….............
K13 D. Local Government Response to a Utility Outage…………………. K13 E. Damage Assessment………………………….……………………… K15 F. Facilitating Utility Response……….…………………………………... K15 G. Protecting Resources
& Preserving Capabilities…….……………… K16 H. Temporary Repairs & Restoration……………………….……….…… K17 I. Utility Support for Emergency Response Operations……………….. K17 J. Utility Support for
Disaster Recovery Operations…………………… K18 K. Public Information……………………………………………………… K18 L. Requesting External Assistance……………………………………… K19 M. Phases of Management………………………………………………..
K19 Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K5 ANNEX K (COMMUNITY INFRASTRUCTURE) VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………
…K24 B. Assignment of Responsibilities……..……………………………….. K24 IX. COORDINATION…………………………………………………………….. K30 X. ADMINISTRATION & SUPPORT A. Resource Support…………………………………………………….. K31 B.
Key Facilities………………………………………………………….. K33 C. Reporting & Records……………………………….………………… K33 D. Post-Incident Review…..…………………………………………….. K34 XI. ANNEX DEVELOPMENT & MAINTENANCE…………………….………
K34 ATTACHMENTS A. MTWARN………………………………….…………………………… K35 B. Local Utility Information……………………..……...………………… K36 C. Landfill Sites……………..…………………………………………….. K37 D. IMAS…………………………………………………….………………
K38 E. Utility Conservation Measures..………………...…………………… K41 Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K6 ANNEX K: COMMUNITY INFRASTRUCTURE I. PRIMARY AGENCIES Public Works, Utilities II. SUPPORTING AGENCIES Communication
Providers, Private Water & Sewer Providers, Gallatin County Emergency Management III. AUTHORITY A. FEDERAL Name Description Legal TBD B. STATE Name Description Legal TBD C. LOCAL Name
Description Legal TBD IV. PURPOSE 1) The purpose of this annex is to outline the local organization, operational concepts, responsibilities, and procedures to accomplish coordinated
public works, engineering activities, and to prevent, protect from, respond to, and Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K7 ANNEX K (COMMUNITY INFRASTRUCTURE) recover from temporary disruptions in utility services that threaten public
health or safety in the local area. 2) This annex is not intended to deal with persistent shortages of water due to drought or prolonged statewide or regional shortages of electricity
or natural gas. Measures to deal with protracted water shortages are addressed in the drought plans that must be maintained by each public water supply utility. Resolving protracted
water shortages normally requires long-term efforts to improve supplies. Measures to deal with widespread energy shortages are normally promulgated by state and federal regulatory agencies.
Local governments may support utility efforts to deal with long-term water and energy supply problems by enacting and enforcing conservation measures and providing the public information
pertinent to the local situation. V. EXPLANATION OF TERMS A. ACRONYMS AHJ Authority Having Jurisdiction CO-OP Cooperative COOP Continuity of Operations Plan EMC Emergency Management
Coordinator FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center IC Incident Commander ICP Incident Command Post ICS Incident Command System NIMS National
Incident Management System NRF National Response Framework PEO Principal Executive Officer PSC Public Service Commission SAR Search & Rescue SOP Standard Operating Procedures TDSR Temporary
Debris Storage and Reduction B. DEFINITIONS Debris Clearance Clearing roads of debris by pushing it to the roadside. Debris Disposal Placing mixed debris and/or the residue of debris
volume-reduction operations into an approved landfill. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K8 Debris Removal Debris collection and transport to a temporary storage or permanent disposal site for sorting
and/or volume reduction. Debris removal also includes damaged structure demolition and removal. Electric Cooperatives Member-owned non-profit electric utilities. VI. SITUATION & ASSUMPTIONS
A. SITUATION 1) See the general situation statement and hazard summary in the Basic Plan. 2) This county anticipates emergency situations may occur which threaten public health, safety,
and property. An emergency situation of this nature may require emergency public works and engineering services. 3) As noted in the general situation statement and hazard summary, our
area is vulnerable to a number of hazards. These hazards could result in the disruption of electrical power, telephone service, water, and wastewater services as well as natural gas
service. 4) Public utilities are defined as those companies and organizations authorized to provide utility services, including electricity, water, sewer service, natural gas, and telecommunications
to the general public in a specified geographic area. Utilities may be owned and/or operated by a municipality, a regional utility authority, investors, or by a private non-profit organization
such as a member cooperative (CO-OP). 5) The loss of utility services, particularly extended utility outages, could adversely affect the capability of local personnel to respond to and
recover from the emergency situation that caused the disruption of utility service and create additional health and safety risks for the general public. 6) The utilities serving our
community include: a) Electric. b) Water/Wastewater. c) Telephone. d) Natural Gas. e) Cable. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K9 ANNEX K (COMMUNITY INFRASTRUCTURE) 7) Additional information on these utilities is provided in Attachment B
to this annex. 8) The state and/or federal government regulate most utility providers. State regulators include: a) Public Service Commission. b) Department of Environmental Quality.
c) Department of Public Health & Human Services. 9) Virtually all utilities are required by state regulations to have emergency operations plans for restoring disrupted service. Many
utilities maintain emergency operation centers. Those that do not normally have procedures to establish temporary facilities when they need them. 10) Extended electrical outages can
directly impact other utility systems, particularly water and wastewater systems. In areas where telephone service is provided by above-ground lines that share poles with electrical
lines, telecommunications providers may not be able to make repairs to the telephone system until electric utilities restore power lines to a safe condition. 11) Municipal utilities
and private non-profit utilities, such as electric cooperatives, may be eligible for reimbursement of a portion of the costs for repair and restoration of damaged infrastructure in the
event the emergency situation is approved for a Presidential Disaster Declaration that includes public assistance. B. ASSUMPTIONS 1) Employing public works and engineering personnel
and equipment during predisaster operations should minimize disaster damage. Advance preparation of personnel and equipment may also hasten restoration efforts. 2) Public works and engineering
may have insufficient resources to remove the debris created by a major emergency or disaster and accomplish other recovery tasks. 3) Public works & engineering are expected to accomplish
expedient repair and restoration of essential services and vital facilities. Depending on the scale of the operation(s), major reconstruction initiatives will likely require contract
assistance. 4) Public works and engineering will be able to organize and carry out debris Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K10 clearance in the aftermath of an emergency. Large-scale debris and/or hazardous material operations, however,
will likely require external assistance. 5) Private construction companies, engineering firms, and equipment rental contractors have staff and equipment that may be contracted to carry
out public works and engineering activities during emergency situations. However, local government may have to compete with businesses and individuals seeking those resources for repairs
or rebuilding. 6) Assistance may be available from other jurisdictions through inter-local agreements and from commercial firms through contingency contracts. Some types of emergency
situations, including earthquakes and floods, may affect large areas and make it difficult to obtain assistance from the usual sources. 7) Damage to chemical plants, power lines, sewer
and water distribution systems, and secondary hazards, such as fires, may result in health and safety hazards. These hazards could pose a threat to public works and engineering personnel
and impede operational capabilities. 8) Alternate disposal methods and facilities may be needed as local landfills and waste disposal facilities may prove inadequate to deal with large
amounts of debris. Special considerations must be made if the debris has been contaminated with chemicals or petroleum products. 9) If local capabilities prove inadequate to deal with
a major emergency or disaster, state and/or federal resources will be available to assist in debris removal and restoration of essential services. 10) In the event of damage to or destruction
of utility systems, utility operators will restore service to their customers as quickly as possible. 11) A major disaster, or one affecting a wide area, may require extensive repairs
and reconstruction of utility systems that may take considerable time to complete. 12) Damage to electrical distribution systems and sewer and water systems may create secondary hazards
such as increased risk of fire and public health hazards. 13) Each utility will use its own resources and plan to carryout its own response operations, coordinating as necessary with
local government and with other utilities. 14) Individual utility operators, particularly small companies, may not have sufficient physical or monetary resources to restore utility systems
affected by a major disaster or one having widespread effects. Utilities typically Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K11 ANNEX K (COMMUNITY INFRASTRUCTURE) obtain supplementary repair and restoration assistance from other utilities
pursuant to mutual aid agreements and by using contractors hired by the utility. 15) Equipment and personnel from other city departments and agencies may be employed to assist a municipal
utility in repairing its systems and restoring service to the public. VII. CONCEPT OF OPERATIONS A. GENERAL 1) The tasks to be performed during emergency situations include: a) For slow
developing situations, take actions to protect government facilities, equipment, and supplies prior to the onset of hazardous conditions. b) Provide heavy equipment support for search
and rescue operations. c) Conduct damage-assessment surveys of public facilities, roads, bridges, and other infrastructure. d) Inspect damaged structures. e) Clear debris from roadways
and make repairs to re-open transportation arteries. f) Make expedient repairs to essential public facilities to restore operations or protect them from further damage. g) Remove debris
from public property and manage debris disposal operations for public and private property. h) Assist in controlling public access to hazardous areas. 2) Incident activities for the
utilities function will include work in an Incident Command System (ICS) environment with an Incident Commander (IC), maintaining communications with the IC, the GCCC, and implementing
local and regional mutual aid agreements as required. 3) In the event of a loss of utility service, local government is expected to 1) rapidly assess the possible impact on public health,
safety, and property, and 2) take appropriate actions to prevent a critical situation from occurring or to minimize the impact in accordance with the Continuity of Operations Plan. Where
utility service cannot be quickly restored, city and county governments Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K12 will have to take timely action to protect people, property and the environment from the effects of a loss
of service. 4) Local governments are not expected to direct utility companies to repair utility problems. Utilities have a franchise that requires them to provide service to their customers,
and they have the ultimate responsibility for dealing with utility service outages. Virtually all utilities are required by state regulations to make all reasonable efforts to prevent
interruptions of service and, if interruptions do occur, to reestablish service in the shortest possible time. Utilities are required to inform state officials of significant service
outages and expected to keep customers and local officials informed of the extent of utility outages and, if possible, provide estimates of when service will be restored. 5) Local governments
that own or operate utilities are responsible for restoring service to local customers and may commit both their utility and non-utility resources to accomplish the task. 6) For utilities
that are not government-owned, local government is expected to coordinate with those utilities to facilitate their efforts to restore service to the local area. 7) The county should
identify critical local facilities and establish general priorities for restoration of utility service. This list of priorities must be communicated to the utilities serving those facilities.
Examples of critical facilities are included in Annex P (Hazard Mitigation). 8) Attachment D provides a sample of initial utility restoration priorities for critical facilities. These
priorities are based on general planning considerations; they should be reviewed and, if necessary, updated based on the needs of a specific situation. 9) Utility companies may not be
able to restore service to all critical facilities in a timely manner, particularly if damage has been catastrophic, a substantial amount of equipment must be replaced, or if repairs
repairs require specialized equipment or materials that are not readily available. In large-scale emergencies, utility companies may have to compete with individuals, businesses, industry,
government, and other utility companies for manpower, equipment and supplies. B. PROTECTING RESOURCES & PRESERVING CAPABILITIES 1) Public works and engineering may be employed during
slow developing emergency situations to protect and limit damage to government facilities, equipment and essential utilities. Protective actions may include sandbagging, building protective
levees, ditching, installing protective window coverings, or removing vital equipment. Public works and engineering are expected to Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K13 ANNEX K (COMMUNITY INFRASTRUCTURE) identify buildings and other infrastructure that will benefit from protective
measures and, in coordination with the departments or agencies that occupy those facilities, carry out necessary protective actions. 2) If time permits, public works and engineering
are also expected to take action in advance of an emergency situation to preserve response and recovery capabilities by protecting vital equipment and supplies. It is desirable for agencies
to enter into advanced agreements with other agencies or jurisdictions to ensure the safety and security of vital equipment and resources. C. SEARCH & RESCUE Public works and engineering
may be required to provide heavy equipment support for search and rescue operations, particularly support for search operations in collapsed buildings. See Annex R (Search & Rescue)
for more information. D. LOCAL GOVERNMENT RESPONSE TO A UTILITY OUTAGE 1) It is essential for elected officials to obtain an initial estimate of the likely duration of a major utility
outage from the utility as soon as possible for response actions to begin. Once that estimate is obtained, local officials should make a determination of the anticipated impact and determine
the actions required to protect public health, safety and property. 2) Extended utilities outages may require action to protect public health, safety and property. Such actions may include:
Water or Sewer Outage a) Curtail general water service to residents to retain water in tanks for firefighting and for controlled distribution to local residents in containers. b) Arrange
for supplies of emergency drinking water for the general public and for bulk water for those critical facilities that require it to continue operations. c) If sewer service is disrupted,
arrange for portable toilets and handwashing facilities to meet sanitary needs. Electrical or Natural Gas Outage a) Obtain emergency generators to power water pumping stations, stations,
water treatment facilities, sewage lift stations, sewage treatment facilities, fueling facilities, and other critical sites. See Attachment B to this annex for more information. Redacted
Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K14 b) During periods of cold weather, establish public shelters for residents who lack heat in their homes. c)
During periods of extreme heat, establish “cooling sites” for residents who do not have air conditioning in their homes. d) Request that volunteer groups set-up mass feeding facilities
for those without electrical or gas service who cannot prepare meals. e) Coordinate with ice distributors to ensure ice is available locally to help citizens preserve food and medicines.
f) Arrange for fuel deliveries to keep emergency generators running at critical facilities. Telecommunications Outage a) Request telecommunications providers implement priority service
restoration plans. b) Activate amateur radio support. c) Request external assistance in obtaining additional radios and repeaters or satellite telephones. General a) Isolate damaged
portions of utility systems to restore service quickly to those areas where systems are substantially undamaged. b) In cooperation with utilities, institute utility conservation measures.
See Attachment D to this annex for more information. c) Disseminate emergency public information requesting conservation of utilities. d) Assist in relocating patients of medical facilities,
residential schools, and similar institutions that cannot maintain the required level of service for their clients. e) Provide law enforcement personnel to manage traffic at key intersections,
if traffic control devices are inoperative. f) Consider staging fire equipment in areas without electrical or water service. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K15 ANNEX K (COMMUNITY INFRASTRUCTURE) g) Consider increased security patrols in areas that have been evacuated
due to the lack of utility service. h) See Annex M (Resource Management) for planning factors for emergency drinking water, ice, portable toilets, and food. E. DAMAGE ASSESSMENT 1) The
Authority Having Jurisdiction for building inspections will lead damage assessments of public buildings, homes, and businesses. The AHJ for public works will lead damage assessments
of roads, bridges, and utilities. 2) The AHJ for building inspections should inspect damaged structures. Inspections are conducted to identify unsafe structures and, if necessary, take
actions to restrict entry and occupancy until the structures can be made safe. 3) Damaged buildings posing an immediate threat to public health and safety should be appropriately posted
to restrict public access pending repairs or demolition. Local ordinance or regulation provides for expedited demolition of structures that pose a threat to public health during emergency
situations. F. FACILITATING UTILITY RESPONSE 1) Local officials may facilitate utility response by: a) Identifying utility outage areas reported to local government. Although many utility
systems have equipment that reports system faults and customer service numbers for people to report problems, outage information reported to local government can also be helpful. b)
Asking citizens to minimize use of utilities that have been degraded by emergency situations. See Attachment D for utility conservation measures. c) Identifying local facilities for
priority restoration of utilities. d) Coordinating with the utility on priorities for clearing debris from roads, which also provides access to damaged utility equipment. e) Providing
access and traffic control in utility repair areas where appropriate. 2) Large-Scale Emergency Situations a) In large-scale emergency situations, which produce catastrophic Redacted
Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K16 damage in a limited area (such as a tornado) or severe damage over a wide area (such as an ice storm), utilities
are typically faced with a massive repair and rebuilding effort that cannot be completed in a reasonable time without external support. In such circumstances, utilities typically bring
in equipment and crews from other utilities and from specialized contractors. In these situations, utilities may request assistance from the county in: i. Identifying lodging for repair
crews – hotels, motels, school dormitories, camp cabins, and other facilities. ii. Identifying restaurants to feed crews or caterers who can prepare crew meals. iii. Identifying or providing
a staging area or areas for utility equipment coming from other locations and providing security for such areas. iv. Obtaining water for repair crews. v. Identifying operational sources
of fuel in the local area. G. PROTECTING RESOURCES & PRESERVING CAPABILITIES 1) In the event of a slowly developing emergency, it is possible that utilities may be able to mitigate some
of the effects of a major emergency
or disaster by protecting key facilities and equipment. The critical facilities/key resources within our community are identified in Attachment B. 2) In the event of a flooding threat,
facilities such as sewage or water-treatment constructing dikes, sandbagging, or using pumps to prevent water from entering the facility may protect facilities or electrical substations.
In some cases, in an effort to preserve pumps, electrical control panels, and other vital equipment, it may also be prudent to remove that equipment from facilities to prevent damage
due to rising water. 3) In the event of hazardous materials spills in rivers or lakes used for water supplies, contamination of water distribution systems may be avoided by temporarily
shutting down water intakes. 4) Loss of power could severely affect critical functions such as communications, water pumping, purification, distribution, sewage disposal, traffic control,
and operation of critical medical equipment. Critical facilities that require back-up electrical power should have appropriate generation equipment on site if possible. If this is not
feasible, emergency generator requirements should be determined in advance to facilitate timely Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K17 ANNEX K (COMMUNITY INFRASTRUCTURE) arrangements for such equipment during emergency situations. Attachment
F provides forms to record information on existing backup generators and to identify requirements for additional emergency generators. The Utility Coordinator will provide such forms
to facility operators to complete and maintain a file of completed forms for both existing generators and potential generator requirements. H. TEMPORARY REPAIRS & RESTORATION 1) Public
works and engineering is expected to make timely temporary repairs to government-owned buildings and other infrastructure essential to emergency response and recovery operations. Building
contents should be removed or restricted until the restoration process is complete. Personnel should coordinate with building occupants to determine which areas and equipment have the
highest priority for protection. 2) Hazardous situations may result in damage to computers storing vital government records and/or hard copy records, such as building plans, legal documents,
and tax records. When computers or paper records are damaged, it is essential to obtain professional technical assistance for restoration as soon as possible. 3) It is generally impractical
to restore buildings sustaining major damage during the emergency response phase. Major repairs will normally be postponed until recovery operations commence and will typically be performed
by contract personnel. I. UTILITY SUPPORT FOR EMERGENCY RESPONSE OPERATIONS The assistance of utility providers may be needed to support other emergency response and recovery operations.
Such assistance may include: 1) Rendering downed or damaged electric lines safe to facilitate debris removal from roadways. 2) Cutting off utilities to facilitate the emergency response
to fires, explosions, building collapses, and other emergency situations. 3) Facilitating search and rescue operations by cutting off electrical power, gas, and water to areas to to
be searched. 4) Establishing temporary utility hookups to facilitate response activities. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K18 J. UTILITY SUPPORT FOR DISASTER RECOVERY OPERATIONS 1) Utilities play a primary role in the recovery process
and must coordinate closely with local government to: a) Render electrical lines and gas distribution lines safe before local officials authorize re-entry of property owners into affected
areas to salvage belongings and repair damage to their homes and businesses. b) Participate in inspections of affected structures to identify hazards created by damaged utilities and
eliminate those hazards. c) Determine the extent of damage to publicly owned utility infrastructure and equipment. d) Restore utility systems to their pre-disaster condition. K. PUBLIC
INFORMATION 1) It is essential to provide the public current information on utility status, the anticipated time to restore service, recommendations on dealing with the consequences
of a utility outage, conservation measures, and information on sources of essential life support items such as water. Locally developed emergency public information relating to utility
outages should be developed in coordination with the utilities concerned to ensure that messages are accurate and consistent. 2) In some emergency situations, many of the normal means
of disseminating emergency public information may be unavailable and alternative methods of getting information out to the public may have to be used. 3) Utilities are complex systems
and service may be restored on a patchwork basis as damaged components are repaired or replaced. Some neighborhoods may have utility service restored while adjacent neighborhoods are
still without power or water. In some cases, one side of a street may have power and the opposite side may not. In these circumstances, the quality of life for local residents can often
be significantly improved by using public information messages to encourage those who have working utilities to take in their neighbors who do not. This approach can also significantly
reduce the number of people occupying public shelters and using mass feeding facilities. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K19 ANNEX K (COMMUNITY INFRASTRUCTURE) L. REQUESTING EXTERNAL ASSISTANCE 1) The Montana Water/Wastewater Agency
Response Network (MTWARN) provides a mechanism for water utilities to share resources. See Attachment A for information on MTWARN. 2) Any agency can request assistance through the Montana
Intrastate Mutual Aid System (IMAS). See Attachment D for information on IMAS. M. PHASES OF MANAGEMENT 1) Prevention a) Identify vulnerabilities of existing public buildings, roads,
bridges, water systems, and sewer systems to known hazards and take steps to lessen vulnerabilities. b) Reduce vulnerability of new public facilities to known hazards through proper
design and site selection. c) Develop plans to protect facilities and equipment at risk from known hazards. d) Install emergency generators in key facilities and have portable generators
available to meet unexpected needs. Ensure procedures are in place to maintain and periodically test back-up sources of power, such as generators and fuel, in the event of an emergency
power loss. e) Have emergency management personnel, who are familiar with the local hazard assessment, review proposed utility construction or renovation activities to determine if existing
hazards will be increased by such activities. f) Assess the vulnerability of existing municipal electrical, gas, water, and sewer systems to known hazards and take actions to avoid or
lessen such vulnerabilities. g) Maintain portable generators and pumps to meet unexpected needs and/or identify rental sources for such equipment that can respond rapidly during an emergency
to avoid and/or reduce the effects of other incidents. 2) Preparedness a) Ensure government buildings, roads and bridges, and public works equipment are in good repair. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K20 b) Ensure an adequate number of personnel are trained to operate heavy equipment and other specialized equipment.
c) Stockpile materials needed to protect and repair structures, roads, bridges, and other infrastructure. d) Develop general priorities for clearing debris from roads, and maintain an
adequate quantity of barricades and temporary fencing. e) Maintain current maps and plans of government facilities, roads, bridges, and utilities. f) Review plans, evaluate emergency
staffing needs in light of potential requirements, and make tentative emergency task assignments. g) Execute contingency contracts for emergency equipment and services with local contractors
and execute agreements with individuals and businesses to borrow equipment. h) Develop procedures to support or accomplish the tasks outlined in this annex. i) Ensure government-owned
vehicles and other equipment can be fueled during an electrical outage. j) Contact local utilities to determine the type of damage assessment information that they can normally provide
in an emergency. Provide utilities with the names and contact information of key officials that utilities can use to provide information to local government during an emergency. k) Reduce
vulnerability of new utility infrastructure to known hazards through proper site selection and facility design. l) Coordinate with the emergency management staff to develop plans to
protect public utility facilities and equipment at risk from known hazards and to maintain supplies and equipment to carry out such plans. m) Develop plans to install emergency generators
in key facilities and identify emergency generator requirements for facilities where it is not possible to permanently install backup generators. See Attachment F for more information.
n) Ensure the Utility Coordinator and the local SOC have emergency Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K21 ANNEX K (COMMUNITY INFRASTRUCTURE) contact numbers for utilities serving the local area other than published
customer service numbers. o) Coordinate with the occupants of critical governmental and nongovernment facilities to establish a tentative utility restoration priority list for such facilities;
see Attachment D for utility restoration priorities for critical facilities. Provide the restoration priority list to appropriate utilities. p) Cooperate with social service agencies
and volunteer groups to identify local residents with potential health or safety problems that could be immediately affected by utility outages and provide such information to utilities
for action. q) Request that utilities periodically brief local officials and members of the GCCC staff on their emergency service restoration plans. r) Encourage utilities to participate
in local emergency drills and exercises. s) Train workers, especially supervisors, to be be familiar with ICS incident site procedures. t) Ensure mutual aid agreements are completed.
u) Train and exercise personnel in emergency response operations. v) Plan for adequate staffing during and after emergencies. w) Ensure emergency plans are kept up-to-date. x) Ensure
emergency equipment is in good repair and secured against damage from likely hazards. y) Stockpile adequate repair supplies for likely emergency situations. z) Conclude utility mutual
aid agreements and establish procedures for requesting assistance from other utilities. 3) Response a) If warning is available, take actions to protect government facilities and equipment.
b) Survey areas affected by a hazard, assess damage, and determine the need and priority for expedient repair or protection to prevent further Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K22 damage. Report damage assessments to the GCCC. c) Upon request, provide heavy equipment support for search
and rescue operations. See Annex R (Search and Rescue) for more information. d) Clear roads of debris. See Attachment A to this annex for more information. e) Inspect damaged buildings
to determine if they are safe for occupancy. f) Remove debris from public property and manage proper debris disposal. See Attachment C to this annex for more information. g) Make repairs
to damaged government facilities and equipment, as needed. h) Coordinate with the energy & utilities staff to arrange for emergency electrical service, if required, to support emergency
operations. i) Assist water, sewer and utility departments in making emergency repairs to government-owned utility systems, as necessary. j) Restrict access to hazardous areas, using
barricades and temporary fencing, upon request. k) Request that each utility that serves a local area which has suffered system damage regularly report its operational status, the number
of customers affected by service outages, and areas affected. l) Provide expedient substitutes for inoperable utilities at critical facilities to the extent possible or relocate those
facilities if necessary. Update utility restoration priorities for critical facilities as necessary. m) If an extended utility outage is anticipated, take those actions necessary to
protect public health, safety and property, and implement utility conservation measures. See Attachment G to this annex for more information. n) Facilitate utility emergency response
to the extent possible. o) Include utility status information in the Initial Emergency Report and period Situation Reports produced during major emergencies and disasters. See Annex
N (Coordination) for more information. p) For slowly developing emergency situations, take appropriate action to protect utility infrastructure from the likely effects of the situation.
Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K23 ANNEX K (COMMUNITY INFRASTRUCTURE) q) Make emergency utility repairs as necessary. If a large number of utility
customers or a wide area is affected, use the critical facility utility restoration priorities in Attachment D to this annex, as modified by the GCCC, as a basis for initial actions.
r) Request mutual aid assistance or contractor support, if needed. s) If possible, provide trained utility crews to assist emergency services during emergency response operations. 4)
Recovery a) Repair or contract repairs to government-owned buildings, roads, bridges, and other infrastructure. b) Support community clean up efforts, as necessary. c) Participate in
compiling estimates of damage and response and recovery costs. d) Participate in post-incident review of emergency operations and make necessary changes to improve emergency plans and
procedures. e) Continue to request regular reports from each utility serving the local area concerning its operational status, the number of customers affected by service outages, and
areas affected. f) For major emergencies and disasters, obtain estimates of damages from municipal utilities or member-owned non-profit utilities for inclusion in local requests for
disaster assistance. See Annex J, (Recovery). g) Update utility restoration priorities for critical facilities as appropriate. See Attachment D to this annex h) Request utilities that
participate in major emergency operations to participate in any local post-incident review of such operations. i) Provide regular updates to the GCCC on utility damages incurred, the
number of customers affected, and areas affected. j) Participate in utility damage assessment surveys with state and federal emergency management personnel. k) In coordination with the
GCCC staff, request mutual aid resources. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K24 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) The function of public works and engineering
during emergency situations shall be carried out in the framework of our normal emergency organization described in the Basic Plan, and in accordance with National Incident Management
System (NIMS)/National Response Framework (NRF) protocols. Preplanning for emergency public works and engineering tasks shall be conducted to ensure staff and procedures needed to manage
resources in an emergency situation are in place. 2) During an Incident of National Significance or Disaster Declaration under the Stafford Act Public Assistance Program, Public Works
and Engineering may integrate, as required, with NRF Emergency Support Function (ESF) #3 activities. The Federal ESF #3 will develop work priorities in cooperation with state, local,
and/or tribal governments and in coordination with the Federal Coordinating Officer and/or the Federal Resource Coordinator. See Attachment C. 3) The operations of utilities owned or
operated by local government will be directed by those individuals who manage the utility on a daily basis. 4) These individuals are expected to continue to manage the operations of
those utilities during emergency situations. 5) Individuals designated by the owners or operators of utilities that are not owned or operated by local government will manage the operation
of those utilities. 6) The PEO shall appoint a Utility Coordinator to coordinate emergency preparedness activities with utilities, maintain this annex and related utility data that may
be needed during emergency, and act as a liaison with utilities during emergency operations. B. ASSIGNMENT OF RESPONSIBILITIES 1) The Director of the AHJ of Public Works will: a) Coordinate
certain pre-emergency programs to reduce the vulnerability of local facilities and other infrastructure to known hazards. See Annex P (Hazard Mitigation). b) Manage the public works
and engineering function during emergency Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K25 ANNEX K (COMMUNITY INFRASTRUCTURE) situations in accordance with the NIMS. c) Oversee the restoration of key
facilities and systems and debris removal following a disaster. d) Develop and implement procedures to ensure a coordinated effort between the various local departments and agencies
that perform the public works and engineering functions. Ensure appropriate emergency response training for assigned personnel. e) Identify contractors who can provide heavy and specialized
equipment support during emergencies and individuals and businesses that may be willing to lend equipment to local government during emergencies. f) Assist the Resource Manager in maintaining
a current list of public works and engineering resources. See Annex M (Resource Management). g) Maintain this annex. 2) The AHJ for Public Works will: a) Carry out pre-disaster protective
actions for impending hazards, including identifying possible facilities for debris storage and reduction. b) Conduct damage assessments in the aftermath of disaster. c) Repair and protect
damaged government facilities. d) Provide heavy and specialized equipment support for SAR operations. e) Carry out debris clearance and removal. See Attachment A. f) With the assistance
of the Legal Officer, negotiate inter-local agreements for public works and engineering support. g) Maintain stockpiles of disaster supplies such as sandbags, plastic sheeting, and plywood.
3) The AHJ for engineering and building inspection will: a) Develop damage assessment procedures and provide training for damage survey teams. b) Provide engineering services and advice
to the Incident Commander and EOC staff. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K26 c) Assist in conducting damage assessments in the aftermath of an emergency. See Annex J (Recovery). d) Safeguard
vital engineering records. e) Support damage assessment operations. f) Determine if access to damaged structures should be restricted or if they should be condemned and demolished. g)
Inspect expedient shelter and mass care facilities for safety. 4) The AHJ for Transportation will: a) Maintain paving materials. b) Make emergency repairs to roads, bridges, culverts,
and drainage systems. c) Supervise debris clearance from the public right-of-way and support debris removal operations. d) Emplace barricades where needed for safety. e) Provide personnel
and equipment to aid in SAR operations as needed. f) Provide heavy equipment support for protective actions taken prior to an emergency and for response and recovery operations. g) Assist
in repairs to government-owned utilities and drainage systems. 5) The Health Department will: a) Collect and properly dispose of refuse. b) Support emergency public works and engineering
operations with available resources. 6) 911 will: a) Restore damaged communications systems. b) Provide communications technical and equipment support for emergency operations. Redacted
Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K27 ANNEX K (COMMUNITY INFRASTRUCTURE) 7) The AHJ for Parks and Recreation will: a) Assess damage to parks and
recreation facilities and assist in assessing damage to other facilities. b) Provide personnel and light equipment support for public works and engineering operations. c) Upon request,
establish and staff a facility to sort and catalog property removed from damaged government-owned facilities. 8) The PEO will: a) Provide general direction for the local response to
major utility outages that may affect public health and safety or threaten public or private property and, within the limits of legal authority, implement measures to conserve utilities.
b) For government-operated utilities, the PEO may provide general guidance and recommendations regarding the utility response to emergency situations in the local area through the Utility
Coordinator or, where appropriate, through individual utility managers. 9) The Utility Coordinator will: a) Coordinate with utilities to obtain utility emergency point of contact information
and provide emergency contact information for key local officials and the SOC to utilities. b) Maintain information on the utilities serving the local area, including maps of service
areas. See Attachment B. c) Maintain the Utility Restoration Priorities for Critical Facilities (Attachment D). In coordination with the EMC, update utility restoration priorities for
critical facilities in the aftermath of an emergency situation if required. d) Maintain information on existing emergency generators and potential generator requirements. See Attachment
F. e) Coordinate regularly with utilities during an emergency situation to determine utility status, customers and areas affected, and what response, repair, and restoration actions
are being undertaken, and provide information to the EMC. f) Advise the EMC what actions should be taken to obtain services for those without utilities or to relocate those where services
cannot cannot be Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K28 restored where it appears outages will be long-term. g) Coordinate with the EMC and respond to requests from
utilities for assistance in facilitating their repair and reconstruction activities (see Section V.C of this annex) or coordinating their efforts with other emergency responders. h)
Ensure current information on utility assets is provided for inclusion in Annex M, (Resource Management). i) Request resource assistance from utilities during emergencies when requested
by the Resource Management staff. j) Develop and maintain this annex. 10) The DES Coordinator will: a) Provide guidance to the Utility Coordinator on handling utility issues and obtaining
utility status reports. b) Assign utility-related problems to the Utility Coordinator for resolution. 11) Utility Managers are expected to: a) Ensure utility emergency plans comply with
state regulations and are up-to-date. b) Respond in a timely manner during emergency situations situations to restore utility service. Advise designated local officials or the Utility
Coordinator in the SOC of utility status, number of customers affected, and areas affected so that local government may take action to assist residents that may be adversely affected
by utility outages. c) Train and equip utility personnel to conduct emergency operations. d) Have utility personnel participate in periodic local emergency exercises to determine the
adequacy of plans, training, equipment, and coordination procedures. e) Maintain adequate stocks of needed emergency supplies and identify sources of timely resupply of such supplies
during an emergency. f) Develop mutual aid agreements to obtain external response and recovery assistance and identify contractors that could assist in restoration of utilities for major
disasters. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K29 ANNEX K (COMMUNITY INFRASTRUCTURE) g) Ensure utility maps, blueprints, engineering records, and other materials
needed to conduct emergency operations are available during emergencies. h) Obtain utility restoration priorities for critical local facilities from the Utility Coordinator for consideration
in utility response and recovery planning. i) Take appropriate measures to protect and preserve utility equipment, personnel, and infrastructure, including increasing security when there
is a threat of terrorism directed against utility facilities. 12) Government owned or operated utilities will, in addition: a) Identify and train personnel to assist in damage assessment
for public facilities. b) Where possible, provide personnel with required technical skills to assist in restoring operational capabilities of other government departments and agencies
and in search and rescue activities. c) When requested, provide heavy equipment support for emergency response and recovery activities of local government. d) Draft regulations or guidelines
for the conservation of power, natural gas, or water during emergency situations. If local officials approve such rules or guidelines, assist the Public Information Officer in communicating
them to the public. e) Maintain records of expenses for personnel, equipment, and supplies incurred in restoring public utilities damaged or destroyed in a major emergency or disaster
as a basis for requesting state or federal financial assistance, if such assistance is authorized. f) The Incident Commander will coordinate utility-related response issues through the
Utility Coordinator if the SOC has been activated, or through the EMC or directly with the utility or utilities affected if that facility has not been activated. The Incident Commander
may assign missions to utility crews that have been committed to an incident. 13) The Public Information Officer will: a) Coordinate with the Utility Coordinator and utilities to provide
timely, accurate, and consistent information to the public regarding utility outages, including communicating: Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K30 b) Protective measures, such as boil water orders. c) Conservation guidance, such as that provided in Attachment
G. d) Instructions, including where to obtain water, ice, and other essentials. IX. COORDINATION A. GENERAL 1) The PEO shall, pursuant to NIMS, provide general guidance for the public
works and engineering function and, when necessary, approve requests for state or federal resources. 2) The Incident Commander (IC) will manage public works and engineering emergency
resources committed to an incident site and shall be assisted by a staff commensurate with the tasks to be performed and resources committed to the operation. If the EOC is not activated,
the IC may request additional resources from local departments and agencies. The IC may also request authorized officials to activate mutual aid agreements or emergency response contracts
to obtain additional resources. 3) The GCCC will be activated for major emergencies and disasters. When the GCCC is activated, the Public Works Officer will manage the emergency public
works and engineering function from the GCCC. The IC shall direct resources committed to the incident site and coordinate resource requests through the Public Works Officer. The Public
Works Officer shall manage resources not committed to the incident site and coordinate the provision of additional resources from external sources. 4) The Public Works Officer will respond
to mission priorities established by the IC or the EMDO, direct departments and agencies with public works and engineering resources to accomplish specific tasks, and coordinate task
assignments to achieve overall objectives. 5) The Public Works Officer will identify public and private sources from which needed resources can be obtained during an emergency and coordinate
with the Resource Manager to originate emergency procurements or to obtain such resources by lease, rental, borrowing, donation, or other means. 6) A major emergency or disaster may
produce substantial property damage and debris requiring a lengthy recovery operation. In such incidents, it may be desirable to establish a Debris Removal Task Force to manage debris
removal and disposal. The task force may continue to operate even after the GCCC deactivates. See Attachment A for the
organization and responsibilities of this element. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K31 ANNEX K (COMMUNITY INFRASTRUCTURE) 7) Normal supervisors of public works and engineering personnel participating
in emergency operations will exercise their usual supervisory responsibilities over assigned personnel, subject to NIMS span of control guidelines. Organized crews from other jurisdictions
responding pursuant to inter-local agreements will normally operate under the direct supervision of their own supervisors. Individual volunteers will work under the supervision of the
individual heading the team or crew to which they are assigned. 8) The PEO will provide general direction for the local response to major utility outages that may affect public health
and safety or threaten public or private property and may, within the limits of legal authority, direct implementation of local measures to conserve utilities. 9) The Incident Commander,
to protect lives and property, can make operational decisions affecting all incident activities and workers at the incident site. The Incident Commander normally may assign missions
to utility crews from government-owned or operated utilities that utility managers have committed to an incident or request other utilities to perform specific tasks to facilitate the
emergency response. 10) The Utility Coordinator will monitor utility response and recovery operations, receive situation reports from utilities and disseminate these to local officials
and the SOC, identify local utility restoration priorities to utility providers, coordinate utility support for the Incident Command Post, facilitate local government support for utility
response and recovery efforts, request resource support from utilities, and perform other tasks necessary to coordinate the response and recovery efforts of utilities and local government.
11) Utility managers will normally direct the emergency response and recovery activities of their organizations. Their normal supervisors will generally direct utility crews. 12) Utility
crews responding from other areas pursuant to a utility mutual aid agreement and contractors hired by utilities to undertake repairs will normally receive their work assignments from
the utility which summoned or hired them. Organized crews will normally work under the immediate control of their own supervisors. X. ADMINISTRATION & SUPPORT A. RESOURCE SUPPORT 1)
A listing of local public works and engineering equipment is provided in Annex M (Resource Management). Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K32 2) Should our local resources prove to be inadequate during an emergency, requests will be made for assistance
from other local jurisdictions, other agencies, and industry in accordance with existing mutual-aid agreements and contracts. 3) If the public works and engineering resources available
locally, from other jurisdictions, and from businesses pursuant to contracts are insufficient to deal the emergency situation, assistance may be requested from the state. The PEO should
approve requests for state aid, which should be forwarded to Montana DES. Cities must request resource support from their county before requesting assistance from the state. 4) In general,
utilities are responsible for obtaining and employing the resources needed to make repairs to or reconstruct their systems. a) Local governments may commit their non-utility resources
to assist the utilities they own or operate in responding to emergency situations. Local governments may also utilize their utility resources in responding to non-utility emergencies
unless local statutes preclude this. b) In general, local governments may not use public resources to perform work for privately owned companies, including utility companies. Privately
owned utility companies are expected to use their own resources and additional resources obtained through mutual aid. They may also contract services in response to emergency situations.
Most electric and telecommunications utilities are party to mutual aid agreements that allow them to request assistance from similar types of utilities within the region, within the
state, or from other states. Some water and gas companies may also be party to mutual aid agreements. Many privately owned utility companies have contingency contracts with private contractors
for repair and reconstruction. c) Although local government may not use its resources to perform repair work for privately owned utilities, it may take certain actions to facilitate
the response of utilities, whether public or private, to an emergency situation. 5) In the event of a utility outage, the County/City is expected to use its own resources and those that
it can obtain pursuant to mutual aid agreements or by contracting with commercial suppliers to protect public health and safety as well as public and private property. In the event that
these resources are insufficient to deal with the situation, the County/City may request state resource assistance. Requests for state assistance should be made or Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K33 ANNEX K (COMMUNITY INFRASTRUCTURE) authorized by the PEO; cities must first seek assistance from their County
before requesting state assistance. B. KEY FACILITIES 1) A listing of key local facilities, providing a general priority for damage assessment, debris clearance, and repair, is contained
in Annex G (Law Enforcement). The IC shall determine the specific priority for public works and engineering work on each of these facilities in the aftermath of an emergency. 2) The
Utility Coordinator will ensure all utilities that serve the County/City are provided copies of the restoration priorities for local critical facilities. See Attachment D. C. REPORTING
& RECORDS Reporting 1) In addition to reports that may be required by their parent organization, public works and engineering departments and agencies participating in emergency operations
should provide appropriate situation reports to the IC, or if an incident command operation has not been established, to the GCCC. Pertinent information will be incorporated into the
Initial Emergency Report and periodic Situation Reports. The essential elements of information for the Initial Emergency Report and the Situation Report are outlined in Annex N (Direction
and Control). 2) During major emergencies, the Utilities Coordinator should coordinate with utilities serving the local area to obtain information on their operational status, the number
of customers and areas affected, and the estimated time for restoration of service. If possible, a schedule of periodic reporting should be established. 3) The Utilities Coordinator
should provide utility status information to the GCCC staff and provide utility status inputs for the Initial Emergency Report and periodic Situation Reports prepared during major emergencies
and disasters. See Annex N (Direction & Control) for information regarding these reports. Records 1) Expenses incurred in carrying out emergency response and recovery operations for
certain hazards may be recoverable from the responsible party, insurers, or as a basis for requesting reimbursement for certain allowable costs from the state and/or federal government.
Hence, all public works and engineering elements will maintain detailed records of labor, materials, Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K34 equipment, contract services, and supplies consumed during large-scale emergency operations 2) Certain expenses
incurred in carrying out emergency response and recovery operations for certain hazards may be recoverable from the responsible party or, in the event of a Presidential disaster declaration,
partially reimbursed by the federal government. Therefore, all government-owned or operated utilities should keep records of labor, materials, and equipment used and goods and services
contracted for during large-scale emergency operations to provide a basis for possible reimbursement, future program planning, and settlement of claims. 3) Municipal utility districts
and electric cooperatives are also eligible for federal assistance in a Presidential declared disaster. Estimates of damage to these utilities should be included in damage reports submitted
by the County/City to support a request for federal assistance. Hence, such utilities should be advised to maintain records of repair expenses as indicated in the previous paragraph
in order to provide a basis for possible reimbursement of a portion of those expenses. D. POST-INCIDENT REVIEW 1) For large-scale emergency operations, the PEO shall organize and conduct
an after action critique of emergency operations in accordance with the guidance provided in Section X.G of the Basic Plan. The After Action Report will serve as the basis for an Improvement
Plan. 2) Our Basic Plan provides that a post-incident review be conducted in the aftermath of a significant emergency event. The purpose of this review is to identify needed improvements
in plans, procedures, facilities, and equipment. Utility managers and other key personnel who participate in major emergency operations should also participate in the post-incident review.
XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE 1) The County/City Public Works Officer is responsible for developing and maintaining this annex. 2) This annex will
be reviewed annually and updated in accordance with the schedule outlined in the Basic Plan. 3) Departments and agencies assigned responsibilities in this annex will develop and maintain
SOP covering those responsibilities. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K35 ANNEX K (COMMUNITY INFRASTRUCTURE) ATTACHMENT A MONTANA WATER/WASTEWATER AGENCY RESPONSE NETWORK (MTWARN)
Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K36 ATTACHMENT B LOCAL UTILITY INFORMATION City of Bozeman Water &Sewer City of Belgrade Public Works 91 E. Central
Ave., Belgrade, MT 59714 Town of West Yellowstone Public Works 311 Yellowstone Ave., West Yellowstone, MT 59758 (Town of Manhattan 120 W. Main, Manhattan, MT 59741 ( Supt. Big Sky Water
Sewer District 561 Little Coyote Rd., Big Sky, MT 59716 Northwestern Energy 121 E. Griffin Dr. Bozeman, MT 59771-0490 402 E. Main Ste. #3, Bozeman, MT 59715 Bresnan Communications 201
E. Front St., Butte, MT 59701 (511 W. Mendenhall, Bozeman, MT 59715 (Qwest Communications 8Three Rivers Communications PO Box 429, Big Sky, MT 59716 ( Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K37 ANNEX K (COMMUNITY INFRASTRUCTURE) ATTACHMENT C LANDFILLS & POTENTIAL TEMPORARY DEBRIS STOAGE & REDUCTION
(TDSR) SITES 1) Name: Bozeman Landfill a. Address: 2143 Story Hill Rd. b. Operated by: City of Bozeman c. Estimated capacity remaining (cubic yards): d. Estimated daily processing capacity:
e. Normal operating schedule: f. Restrictions: g. Fees: h. Other Factors: NO LONGER ACCEPTIING WASTE 2) Name: Gallatin County Landfill a. Address: P.O. Box 461 Three Forks, MT b. Operated
by: Martin c. Estimated capacity remaining (cubic yards): 236,030cy capacity left d. Estimated daily processing capacity: 2000cy per day capacity e. Normal operating schedule: Monday
– Saturday, 7:30 am to 4:30 pm f. Restrictions: 0 Hazardous waste, 0 liquids g. Fees: $27/ton household $48/Light Construction $58/Heavy Construction h. Other Factors: Prior approval
needed for asbestos Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K38 ATTACHMENT D MONTANA INTRASTATE MUTUAL AID SYSTEM (IMAS) Activation Criteria None Authorization Principal
Executive Officer Activation Procedure Resource requests will contain the following information, at a minimum: • Incident Name, Tracking Number, and Date and Time of request • Name,
title, and contact information for the person placing the resource request • Name, title, and contact information for the person authorizing the request • Resource information, as applicable:
o S – Size of resource o A – Amount/Quantity of resource o L – Location for resource to report/be delivered o T – Type of resource needed o T – Time for resource to report/be delivered
and duration of the assignment • Resource assignment details including: o Operating environment and conditions o To whom the resource will report o How it will be directed o Communications
protocols o Other mission essential information Resource requests can be made directly to other member jurisdictions, through the Montana Disaster and Emergency Services, or using a
combined approach. However, a request does not constitute a resource order. Further coordination and authorization must occur before an IMAS agreement is reached. Requests and deployment
coordination may be done verbally or in writing. If verbal requests lead to deployments under IMAS, the agreement shall be committed to writing within thirty days of the date on which
the agreement was made. However, it is recommended that the written agreement be done concurrently with the verbal request and deployment coordination or at the earliest possible time
immediately following. The IMAS Request and Deployment Form is to be utilized for this process. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K39 ANNEX K (COMMUNITY INFRASTRUCTURE) Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K40 Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K41 ANNEX K (COMMUNITY INFRASTRUCTURE) ATTACHMENT E UTILITY CONSERVATION MEASURES The utility conservation measures
outlined in this attachment are suggested measures. The specific measures to be implemented should be agreed upon by local government and the utilities concerned. 1) Conservation Measures
for Natural Gas a) Step 1 – Discontinue: i. Use of gas-fueled air conditioning systems except where necessary to maintain the operation of critical equipment. ii. All residential uses
of natural gas, except refrigeration, cooking, heating, and heating water. iii. Use of gas-fueled clothes dryers. b) Step 2 – Reduce: i. Thermostat settings for gas-heated buildings
to 65 degrees during the day and 50 degrees at night. ii. Use of hot water from gas-fueled water heaters. 2) Conservation Measures for Electric Power a) Step 1 – Discontinue: i. All
advertising, decorative, or display lighting. ii. Use of electric air conditioning systems except where necessary to maintain the operation of critical equipment. iii. Use of electric
ovens and electric clothes dryers. iv. Use of all residential electric appliances, except those needed to store or cook food and televisions and radios. b) Step 2 – Reduce: i. Reduce
thermostat setting for electrically heated buildings to a maximum of 65 degrees during the day and 50 degrees at night. Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K42 ii. Minimize use of hot water in buildings that use electric water heaters. iii. Reduce both public and private
outdoor lighting. iv. Reduce lighting by 50 percent in homes, commercial establishments, and public buildings. c) Step 3 -Cut off electricity to: i. Non-essential public facilities.
ii. Recreational facilities and places of amusement such as theaters. d) Step 4 -Cut off electricity to: i. Retail stores, offices, businesses, and warehouses, except those that distribute
food, fuel, water, ice, pharmaceuticals, and medical supplies. ii. Industrial facilities that manufacture, process, or store goods other than food, ice, fuel, pharmaceuticals, or medical
supplies or are determined to be essential to the response and recovery process. iii. Office buildings, with the exception of those that house agencies or organizations providing essential
services. 3) Water Conservation Measures a) Step 1: i. Restrict or prohibit out-door watering and washing of cars. ii. Close car washes. b) Step 2: i. Restrict or curtail water service
to large industrial users, except those that provide essential goods and services. ii. Restrict or prohibit use of public water supplies for irrigation and filling of swimming pools.
Redacted Version
Gallatin County EMP, Annex K (Community Infrastructure), 05/18/11, Page K43 ANNEX K (COMMUNITY INFRASTRUCTURE) iii. Place limits on residential water use. c) Step 3: i. Restrict or cut
off water service to industrial facilities not previously addressed, except those that provide essential goods and services. ii. Restrict or cut off water service to offices and commercial
establishments, except those that provide essential goods and services. d) Step 4: i. Restrict or curtail residential water use. Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex M : Resource & Donat ions Management
Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Resource & Donations Mgmt Mitigation Preparedness Response Recovery ReadyGallatin.com The Resource and Donations Management
Annex primarily with how we manage donated resources and spontaneous volunteers. The Gallatin County Volunteer Organizations Active in Disaster (VOAD) is the primary organization responsible
for this function. Within VOAD, the Greater Gallatin United Way and Bozeman Help Center are leading this function. This is a combined annex in which we have combined resource management
and donations management. Some jurisdictions may have annexes for each function. This annex talks about important considerations to think about during incidents that people may want
to help with. While with the best of intentions, large amounts of donated goods and spontaneous volunteers often become a large burden on incidents. The ability to collect and disseminate
these resources is often very difficult for a variety of reasons. These issues often result in a large amount of donated goods and volunteer resources being unusable. This annex covers
the methods and tools that the VOAD will utilize in Gallatin County to coordinate this activity. The goal of VOAD in this function is to educate and funnel donations so they are useful
and do not go to waste. The VOAD also coordinates spontaneous volunteers and tries to associate them with appropriate organizations fitting the volunteers skills. These issues have been,
and will continue to be, difficult functions to manage around the nation. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M2 APPROVAL & IMPLEMENTATION ANNEX M: RESOURCE & DONATIONS MANAGEMENT This annex is hereby approved. This
annex is effective immediately and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M3 ANNEX M (RESOURCE & DONATIONS) RECORD OF CHANGES ANNEX M: RESOURCE & DONATIONS MANAGEMENT Date of Change
Date Entered Change Entered By 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M4 TABLE OF CONTENTS I. PRIMARY AGENCIES…………………………………………………..….…. M6 II. SUPPORTING AGENCIES…………………………………………………..
M6 III. AUTHORITY A. Federal……………………………………………………………….... M6 B. State……………………………………………………………………. M6 C. Local………………………………………………………….………… M6 IV. PURPOSE………………………………………………………………..…… M7 V.
EXPLANATION OF TERMS A. Acronyms…………………………………………………………….…M7 B. Definitions……………………………………………………………… M7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... M8 B. Assumptions……………………………
……………………………… M10 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… M12 B. Management of Resources..………….………………………………M14 C. Management of Donated Goods………………...…………….…….
M15 D. Operations for Donated Goods……...…………….………………... M16 E. Phases of Management………………...…………….……………... M20 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. General…………………………………………………………………
M23 B. Organization…………………………...…………….………………... M23 C. Assignment of Responsibilities……………………………………… M24 IX. Coordination A. General………………………………………………………………… M30 B. Line of Succession..……………………………….…
……….……… M31 C. Coordination…………………………...…………….………………... M31 Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M5 ANNEX M (RESOURCE & DONATIONS) X. ADMINISTRATION & SUPPORT A. General……………….........................…………….………………...
M31 B. Reporting………………...………………….……….………………... M32 C. Records………………...…………….………………………………... M32 D. Resources…….………………...…………….………………............ M32 E. Post-Incident Review………….……...…………….………………...
M33 F. Exercises………………...…………….………………………….…... M33 XI. ANNEX DEVELOPMENT & MAITENANCE……………………….……… M33 ATTACHMENTS A. Planning Factors………………...…………….………………........... M34 B. Request
Form………………...…………….………………............... M37 Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M6 ANNEX M: RESOURCE & DONATIONS MANAGEMENT I. PRIMARY AGENCIES Volunteer Organizations Active in Disasters
II. SUPPORTING AGENCIES Volunteer Agencies, Finance and Auditor III. AUTHORITY A. FEDERAL Name Description Legal TBD B. STATE Name Description Legal TBD C. LOCAL Name Description Legal
TBD Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M7 ANNEX M (RESOURCE & DONATIONS) IV. PURPOSE The purpose of this annex is to provide guidance and outline
procedures for effectively obtaining, managing, allocating, and monitoring the use of resources and donations during emergency situations or when such situations appear imminent. V.
EXPLANATION OF TERMS A. ACRONYMS ARC American Red Cross CBO Community-Based Organizations DC Donations Coordinator DSG Donations Steering Group EMC Emergency Management Coordinator GCCC
Gallatin County Coordination Center IC Incident Commander ICP Incident Command Post ICS Incident Command System NIMS National Incident Management System NRP National Response Plan RSA
Resource Staging Area SOP Standard Operating Procedures TSA The Salvation Army VOAD Volunteer Organizations Active in Disasters VOLAG Volunteer Agencies B. DEFINITIONS Donations Refer
to the following: 1) Cash: Currency, checks, money orders, securities, etc. 2) Goods: Food, water, clothing, equipment, toys, furniture, pharmaceuticals, bedding, cleaning supplies,
etc. 3) Volunteers and Services: a) Individuals who are not members of any particular volunteer group (often referred to as “spontaneous,” “emergent,” or “non-affiliated” volunteers).
Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M8 b) Individuals who are members of recognized disaster relief organizations that have undergone formal
training by those organizations (i.e., “affiliated” volunteers). c) People with specialized training and expertise (e.g., doctors, nurses, medics, search and rescue, fire fighting, heavy
equipment operators, etc.), who may either be non-affiliated or members of a disaster relief organization. d) Teams that provide specialized equipment or capabilities (e.g., urban search
and rescue, dog teams, swift water rescue teams, home repair teams, etc.). Multiagency Coordination Systems Used in the support of incident management, this system combines facilities,
equipment, personnel, procedures, and communications into a common framework. A multiagency coordination system can be used to develop consensus on priorities, resource allocation, and
response strategies. Representatives from within the local government as well as external agencies and nongovernmental entities may work together to coordinate a jurisdiction’s response.
Resources Refers to personnel, facilities, equipment, and supplies maintained, purchased, and/or supplied by government. Resource & Donations Management In accordance with the NIMS,
our Resource & Donations Management program involves the application of tools, processes, and systems that allow for efficient and suitable resource allocations during an incident. Resources
include personnel and facilities as well as equipment and supplies. VI. SITUATION & ASSUMPTIONS A. SITUATION 1) Our county is exposed to many hazards; all of which have the potential
for disrupting the community, causing casualties, and damaging or destroying public or private property. 2) Resource and donations management planning during pre-disaster hazard mitigation
activities is designed to lessen the effects of known hazards by enhancing the local capability to respond to a disaster. Hence, we must have management capabilities that allow the jurisdiction
to function efficiently during emergency situations and that comply with the framework set forth by Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M9 ANNEX M (RESOURCE & DONATIONS) the National Incident Management System (NIMS), including certain reporting
and coordinating requirements contained in the National Response Plan (NRP). 3) Resources a) Effective Resource & Donations Management is required in all types of emergency situations
– from incidents handled by one or two emergency services to catastrophic incidents that require extensive resource assistance from the state and/or federal government for recovery.
b) For some emergency situations, available local emergency resources will be insufficient for the tasks that may have to be performed. Therefore, other local resources may have to be
diverted from their day-to-day usage to emergency response and others requested from other jurisdictions or the state. Additionally, it may be necessary to rent or lease additional equipment
and purchase supplies in an expedient manner. c) In responding to major emergencies and disasters, the PEO may issue a disaster declaration pursuant to Chapter 418 of the Government
Code and the Executive Order of the Governor Relating to Emergency Management and invoke certain emergency powers to protect public health and safety and preserve property. i. When a
disaster declaration has been issued, the PEO may use all available local government resources to respond to the disaster and temporarily suspend statutes and rules, including those
relating to purchasing and contracting, if compliance would hinder or delay actions necessary to cope with the disaster. See Annex U (Legal) for additional information regarding the
emergency powers of government. ii. When a disaster declaration has been issued, the PEO may commandeer public or private property subject to compensation, if necessary, to cope with
a disaster. This procedure should be used as a last resort and only after obtaining the advice of the Gallatin County Attorney. 4) Donations a) Should an emergency where there is high
level of media interest occur, individuals might want to donate money, goods, and/or services to assist victims or to participate in the recovery process. The amount of donations offered
could be sizable and may create difficulties in Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M10 managing goods and volunteer workers. b) Gallatin County does not wish to operate a system to collect,
process, and/or distribute donations to disaster victims. Such a system is best operated by Volunteer Agencies Active in Disasters (VOADs). Local government does, however, desire to
work with these organizations to coordinate the management of donations and volunteers. B. ASSUMPTIONS 1) Resources a) Much of the equipment and many of the supplies required for emergency
operations will come from inventories on hand. b) Additional emergency supplies and equipment will generally be available from the normal sources of supply. However, some established
vendors may not be able to provide needed materials on an emergency basis or may become victims of the emergency situation. Hence, standby sources should be identified in advance and
provisions should be made for arranging alternative sources of supply on an urgent-need basis. c) Some emergency equipment and supplies are not used on a day-today basis or stockpiled
locally and may have to be obtained through emergency purchases. d) Inter-local agreements will be invoked and resources made available when requested. e) Some businesses and individuals
that are not normal suppliers may be willing to rent, lease, or sell needed equipment and supplies during emergency situations. f) Some businesses may provide equipment, supplies, manpower,
or services at no cost during emergency situations. Developing agreements between local government and the businesses in advance can make it easier to obtain such support during emergencies.
g) Some community groups and individuals may provide equipment, supplies, manpower, and services during emergency situations. h) Volunteer Organizations Active in Disaster (VOAD) will
provide such emergency services as shelter management and mass feeding when requested to do so by local officials. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M11 ANNEX M (RESOURCE & DONATIONS) 2) Donations a) Donated goods and services can be a valuable source
of resources. b) Should an emergency occur, donations of goods and cash might be delivered/given to Gallatin County whether or not they are requested. In some cases, the amount of donations
received by a community may relate more to the media attention the emergency situation receives than the magnitude of the disaster or the number of victims. In large quantities, such
donations may overwhelm the capability of the local community to handle and distribute them. c) Local government, volunteer groups, and agencies may be adversely affected and may not
be able to cope with a sizable flow of donations. d) Many individuals donate goods that are not needed by disaster victims or offer services that are not needed in the recovery process.
Receiving and sorting unneeded goods or hosting volunteers, who do not have needed skills, wastes valuable resources; disposing of large quantities of unneeded goods can be a lengthy
and costly process. e) The problem of unneeded donations can be reduced but not eliminated by developing and maintaining a current list of disaster needs, screening donation offers,
and providing information to potential donors through the media. f) Most personal donations are given with little expectation of return other than an acknowledgment of thanks. However,
some donations may be unusable, have “strings attached,” or not really be donations at all. g) Donated goods may arrive in the local area without warning, day or night. Delivery drivers
will want to know where they should deliver their load and who will unload it. They typically want their cargo offloaded quickly so they can minimize downtime. h) Donations will frequently
arrive unsorted and with minimal packaging and markings. When such goods are received, they must typically be sorted, repackaged and labeled, temporarily stored, and then transported
to distribution points to be picked up by disaster victims. i) Donors may want to: i. Know what is needed in the local area --cash, goods, and/or services. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M12 ii. Know how they should transport their donation to the local area, or if there is someone who can
transport it for them. iii. Start a “drive for donations” to help disaster victims, but have no knowledge of what to do and how to do it. iv. Earmark their donation for a specific local
group or organization, such as a church, fraternal society, or social service agency, or want to know to whom, specifically, received their donation. v. Have their donation received
by a local official and/or receive a letter of appreciation or public recognition. vi. Want to be fed and provided with lodging if they are providing volunteer services. j) Disaster
victims may: i. Desire immediate access to donations before they are sorted and ready to be disseminated at appropriate distribution points. ii. Believe that the donations have not been
or are not being distributed fairly if they do not have information on the process of distributing donations. iii. May have unmet needs which can be satisfied by additional donations.
VII. CONCEPT OF OPERATIONS A. GENERAL 1) Resources a. In accordance with the NIMS, our Resource & Donations Management program involves the application of tools, processes, and systems
that allow for efficient and suitable resource allocations during an incident. Resources include personnel and facilities as well as equipment and supplies. b. When necessary, a multi-agency
coordination system will be organized. Multi-agency coordination is important for the establishment of priorities, allocating critical resources, developing Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M13 ANNEX M (RESOURCE & DONATIONS) strategies for response and information sharing as well as facilitating
communication. c. As established in the NIMS, Resource & Donations Management is based on four guiding principles: i. The establishment of a uniform method of identifying, acquiring,
allocating, and tracking resources. ii. The classification of kinds and types of resources that is required for incident management. iii. The use of a credentialing system linked to
uniform training and certification standards. iv. The incorporation of resources from non-traditional sources, such as the private sector and non-governmental organizations. d. In the
event of resource shortfalls during emergency situations, the senior officials managing emergency operations are responsible for establishing priorities for the use of available resources
and identifying the need for additional resources. e. As a basis for employing resources to the greatest capacity during emergency situations, we will develop and maintain a current
inventory of dedicated resources that may be needed. All of our resources, pursuant to the NIMS, are classified by kind and type. f. In the event that local resources have been committed
or are insufficient, assistance will be sought from surrounding jurisdictions with which inter-local agreements have been established. Effective cross-jurisdictional coordination is
absolutely critical in the establishment of such agreements. Assistance will also be sought from volunteer groups and individuals. Where possible, agreements will be executed in advance
with those groups and individuals for use of their resources. g. Some of the resources needed for emergency operations may be available only from businesses. Hence, we have established
emergency purchasing and contracting procedures to the extent possible. h. Certain emergency supplies and equipment, such as drinking water and portable toilets, may be needed immediately
in the aftermath of an emergency. The Resource Manager shall maintain a list of local Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M14 and nearby suppliers for these essential-needs items. See Attachment A for additional information.
i. Although many non-emergency resources can be diverted to emergency use, certain personnel, equipment, and supplies may be required to continue essential community support functions
such as medical care and fire protection. j. It is important to maintain detailed records of resources expended in support of emergency operations: i. As a basis for future department/agency
program and budget planning. ii. To document costs incurred that may be recoverable from the party responsible for an emergency incident, insurers, or from the state or federal government.
2) Donations. a) The objectives of our donations management program are to: i. Determine the needs of disaster victims and inform potential donors of those needs through the media and
a variety of other means. ii. Receive, process, and distribute goods and cash donations to victims that can be used to recover from a disaster. iii. Accept offers of volunteers and donated
services that will contribute to the recovery process. iv. Discourage the donations of goods and services that are not needed, so that such donations do not become a problem. B. MANAGEMENT
OF RESOURCES 1) The IC is responsible for managing emergency resources at the incident site and shall be assisted by a staff commensurate with the tasks to be performed and resources
committed to the operation. The ICS structure includes a Logistics Section, which is responsible for obtaining and maintaining personnel, facilities, equipment, and supplies committed
to the emergency operation. The IC will determine the need to establish a Logistics Section. This decision is usually based on the size and anticipated duration of the incident and the
complexity of support required. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M15 ANNEX M (RESOURCE & DONATIONS) 2) If the GCCC is activated, the Incident Commander shall continue to
manage emergency resources committed at the incident site. The Resource Manager in the GCCC shall monitor the state of all resources, manage uncommitted resources, and coordinate with
the Incident Commander to determine requirements for additional resources at the incident site. Departments and agencies involved in emergency operations that require additional resources
should use the Emergency Resource Request form in Attachment B to communicate their requirements to the Resource & Donations Management staff. 3) If additional resources are required,
the Resource Manager shall coordinate with the GCCC to: a) Activate and direct deployment of additional local resources to the incident site. b) Request mutual aid assistance. c) Purchase,
rent, or lease supplies and equipment. d) Obtain specific donated resources from businesses, individuals, or volunteer groups. e) Contract for necessary services to support emergency
operations. f) Commit such resources to the IC to manage. 4) If the resources above are inadequate or inappropriate for the tasks to be performed, the Resource Manager shall coordinate
with the EMC to prepare a request for state resource assistance for approval by the PEO. 5) The GCCC should be among those initially notified of any large-scale emergency. When warning
is available, key suppliers of emergency equipment and supplies should be notified that short notice orders might be forthcoming. 6) The GCCC shall consult with the Gallatin County Attorney
to determine potential liabilities before accepting offers of donations of supplies, equipment, or services or committing manpower from individual or volunteer groups to emergency operations.
C. MANAGMEMENT OF DONATED GOODS 1) Gallatin County does not wish to operate a system to collect, process, and distribute donations to disaster victims. Such a system is best operated
by community-based organizations (CBOs) and other volunteer organizations Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M16 that have successfully handled donations in the past. However, experience has shown that volunteer
groups can be overwhelmed by the scale of donations and may need certain government assistance (such as traffic control, security, and help in identifying facilities to receive, sort,
and distribute donated goods). Additionally, large numbers of donations may be sent directly to local government. Hence, local government will need to help coordinate donation management
efforts with volunteer organizations and agencies. 2) Recognized local and national charities [e.g., CBOs, VOADS, and VOLAGs) have been accepting, handling, and distributing donations
for many years. These organizations are skilled in the process and should be the first recourse for collecting and managing donations. Donors outside the local area should be encouraged
to work through recognized community, state, or national social service organizations or voluntary human resource providers in the community in which they live. These organizations are
capable of receiving donations in areas across the state or nation and then earmarking them for a particular disaster. 3) Donations of cash for disaster relief to CBOs, VOADs, and VOLAGs
allows these organizations to purchase the specific items needed by disaster victims or provide vouchers to disaster victims so that they can replace clothing and essential personal
property with items of their own choosing. Cash donations also reduce the need for transporting, sorting, and distributing donated goods. Cash is, therefore, generally the preferred
donation for disaster relief. D. OPERATIONS FOR DONATED GOODS The donations management program for the county is composed of several organizational elements and operating units that
are activated as needed at a level suitable for the anticipated workload. The Greater Gallatin United Way is the lead agency for donated goods in Gallatin County. The operating units
include a Donations Operations Office, Resource Staging Area, Phone Bank, one or more Distribution Points, and a Volunteer Center. 1) Organizational Elements a) Donations Coordinator
(DC). A Donations Coordinator shall coordinate the donation management efforts of volunteer groups. The Donations Coordinator (DC) should be appointed in writing by the Donations Steering
Committee (DSC). b) Key Donations Management Personnel. Key donations management personnel should, to the extent feasible, be identified in advance so that they can receive training
and assist in the development of Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M17 ANNEX M (RESOURCE & DONATIONS) operating procedures. In addition to the Donations Coordinator, key
personnel include the individuals who will supervise operation of the Resource Staging Area, Phone Bank, Volunteer Center, and Distribution Point(s), as well as the Donations Financial
Manager. See Attachment C for a list of key donations management personnel. c) Donations Steering Group (DSG). The DSG provides policy guidance and general direction for the donations
program. Composed of representatives of local volunteer groups and appropriate government officials, it meets periodically to plan for donation management operations. Group members should
be selected prior to a disaster, but it may be desirable to update and expand membership once a disaster occurs. Oftentimes the core of the group is an existing association of local
volunteer agencies such as VOAD. When a disaster has occurred, the DSG should meet regularly to appoint key personnel, address policy issues, and coordinate the solution to major challenges.
d) Unmet Needs Committee. The function of the Unmet Needs Committee is to assist disaster victims who need assistance that local government has been unable to provide. The DSG is expected
to assist in forming the committee as soon as practicable after a disaster occurs. The committee may continue to operate for an extended period and should consist of representatives
from organizations that have provided or can provide money, manpower, or materials to assist in disaster relief. The chair should be elected by the members and preferably be a highly
regarded and well-known local citizen who does not have other major commitments. As this committee will decide which individuals receive supplemental aid, it is generally inappropriate
for government officials to serve as members of this committee. If they do, they should play a non-voting advisory or support role only. Members would typically include: i. Representatives
of local volunteer organizations. ii. Representatives of the local ministerial alliance. iii. Representatives of corporations that have donated money, staff, or goods for disaster relief.
iv. Other interested parties that have donated to disaster relief. 2) Operating Units All of the operating units listed below are established after a disaster has occurred. To facilitate
rapid activation of the units, suitable local facilities for Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M18 each unit should be identified in pre-emergency preparedness planning. Some of the operating units
listed below may be collocated if suitable facilities are available. In coordinating use of facilities, it is important that those providing facilities understand that some of these
facilities may need to continue operations for an extended period – possibly several months. Volunteers will also largely staff all of these facilities. a) The Donations Operations Office.
The Donations Operations Office coordinates operation of the donations management program in the aftermath of a disaster; it further: i. Maintains a Current Needs List that identifies
donations that are needed and donations that are not needed utilizing the Volunteer Connections database. ii. Maintains a record of the following, as appropriate: phone responses and
referrals; cash donations received and distributed; donated goods received and distributed, and volunteer workers utilized and tasks accomplished. iii. Handles correspondence related
to the donations management program. iv. Ensures an appropriate accounting and disbursing system is established for any cash donations received. v. Works closely with the Public Information
Officer (PIO) to ensure that donation needs, information on the availability of donated goods, and pertinent information on the operation of the donations program is provided to the
media for dissemination to the public. b) Phone Bank i. A Phone Bank is normally established to receive and respond to offers of donations and disseminate other disaster-related information.
Depending on the goods or services offered and the current local situation, the Phone Bank may refer some donors to other agencies that may be better equipped to handle their donations.
The Phone Bank may also be used to provide disaster-related information to callers. The Help Center (211) is the primary phone bank for this purpose in Gallatin County. ii. Donation
offers received by phone for goods and services on the Current Needs List will normally be recorded in the 211 Database which is linked to the United Way’s Volunteer Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M19 ANNEX M (RESOURCE & DONATIONS) Connections Database. iii. The GCCC should work closely with the Help
Center to advise on items needed and not needed, to obtain official, updated disaster relief information for rumor control and victim assistance referrals, and to provide data for government
situation reports; etc. c) Resource Staging Area (RSA) i. An RSA may be established to receive, sort, organize, repackage if necessary, and temporarily store goods to then be transported
to Distribution Points. ii. The RSA is normally located outside of the disaster area and is operated by volunteer workers. iii. A regional RSA may be established to serve a group of
affected communities. If a regional RSA is established, volunteers from the communities that receive goods from the facility will normally participate in its operation. d) Distribution
Points i. Distribution Points are sites from which ready-to-use goods or cash vouchers will be distributed to disaster victims. ii. Distribution Points are generally located in proximity
to areas where disaster victims are living. They may be housed in facilities owned by volunteer groups, local government, or in donated space. e) Spontaneous Volunteers i. The Greater
Gallatin United Way and the Help Center are the primary entry point for spontaneous volunteers in Gallatin County. Utilizing the 211 system infrastructure they will screen people wishing
to volunteer and match them with the appropriate volunteer organization. ii. Depending on the scale of the incident, points of assembly may be setup for spontaneous volunteers. iii.
Once spontaneous volunteers are assigned to an organization, that organization is responsible for tracking and caring for the volunteers assigned to them. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M20 E. PHASES OF MANAGEMENT 1) Mitigation a) Review the local hazard analysis, and to the extent possible,
determine the emergency resources needed to deal with anticipated hazards and identify shortfalls in personnel, equipment, and supplies. b) Enhance emergency capabilities by acquiring
staff, equipment, and supplies to reduce shortfalls and by executing inter-local agreements to obtain access to external resources during emergencies. 2) Preparedness a) Establish and
train an emergency Resource & Donations Management staff, who trained to perform Resource & Donations Management in an incident command operation or in the GCCC. b) Maintain a complete
resource inventory list in the GCCC. This resource inventory should include resources not normally used in dayto-day incident response that may be needed during emergencies and disasters.
c) Establish rules and regulations for obtaining resources during emergencies, including emergency purchasing and contracting procedures. d) Maintain the list of local and nearby suppliers
of immediate need resources. See Attachment A for more information. e) Ensure emergency call-out rosters include the Resource Manager, who should maintain current telephone numbers and
addresses for sources of emergency resources. f) Ensure that after-hours contact numbers are obtained for those companies, individuals, and groups who supply emergency equipment and
supplies and that those suppliers are prepared to respond on short notice during other than normal business hours. g) Establish the DSG to oversee pre-disaster donations management planning
and assign responsibilities for various donations management activities. h) Prepare and update this annex with local donations management plans. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M21 ANNEX M (RESOURCE & DONATIONS) i) Identify possible sites for a Donations Operations Office, Phone
Bank, RSA, Distribution Points, and Volunteer Center. j) Develop tentative operating procedures for the Phone Bank, RSA, Distribution Points, and Volunteer Center and determine how those
facilities will communicate with each other. k) Identify and coordinate with those volunteer organizations that could provide assistance in operating the jurisdiction’s donations management
program. l) Periodically brief elected officials, department heads, and local volunteer groups about the local donations management program. m) Brief the local media so they can be prepared
to advise the public of specific donation needs, discourage donations of unneeded items, disseminate information on the availability of donated goods, and provide other information as
applicable. n) Include consideration of donations management in local emergency management exercises to test plans and procedures. o) Ensure contingency procedures are established for
rapidly activating a bank account to receive and disburse monetary donations. 3) Response a) Advise the PEO and emergency services staff on resource requirements and logistics related
to response activities. b) Coordinate and use all available resources during an emergency or disaster and request additional resources if local resources are insufficient or inappropriate.
c) For major emergencies and disaster, identify potential resource staging areas. d) Coordinate emergency resource needs with local departments, businesses, industry, volunteer groups,
and where appropriate, with state and federal resource suppliers. e) Coordinate resources to support emergency responders and distribute aid to disaster victims. f) Maintain records
of equipment, supply, and personnel costs incurred during the emergency response. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M22 g) Review the donations management program with senior government officials. h) Activate the DSG. i)
Identify and prepare specific sites for donations management facilities and begin assembling needed equipment and supplies. j) Identify and activate staff for donations management facilities.
k) Provide the media (through the PIO) with information regarding donation needs and procedures, and regularly update that information. 4) Recovery a) In coordination with department/agency
heads, determine loss or damage to equipment, supplies consumed, labor utilized, equipment rental or lease costs, and costs of contract services to develop estimates of expenses incurred
in response and recovery operations. b) In coordination with department/agency heads, determine repairs, extraordinary maintenance, and supply replenishment needed as a result of emergency
operations and estimate costs of those efforts. c) Maintain records of the personnel, equipment, supply, and contract costs incurred during the recovery effort as a basis for recovering
expenses from the responsible party, insurers, or the state or federal government. d) The DSG should determine which donations management facilities will and will not be activated. e)
Set up the donations management facilities that are activated and determine how each facility will be logistically supported. f) Staff donations management facilities with volunteer
or paid workers, conducting on-the-job training as needed. g) Collect, sort, store, distribute, and properly dispose of donations, if necessary. h) In coordination with the PIO, provide
regular updates to the media on donations procedures, progress, status, and the Current Needs List (goods and services that are needed and not needed). i) Continually assess donations
management operations and determine Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M23 ANNEX M (RESOURCE & DONATIONS) when the donations management facilities should close down or be consolidated
and when the donations management program can be terminated. j) Keep records of donations received and, where appropriate, thank donors. k) Activate the Unmet Needs Committee to provide
continuing assistance to victims in need, depending upon the donations available. l) Maintain accounts of expenses, individual work hours, etc. Donations activities and functions are
not generally reimbursable; however, if certain expenses are considered for reimbursement, accurate records will have to be submitted. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES
A. GENERAL 1) The function of Resource & Donations Management shall be carried out in the framework of the normal emergency organization described in the Basic Plan. Preplanning shall
be conducted to ensure that the staff and procedures needed to manage resources in an emergency situation are in place. 2) The Finance Director shall serve as the Resource Manager and
will be responsible for planning, organizing, and carrying out Resource & Donations Management activities during emergencies. The Resource Manager will be assisted by a temporary staff,
described below, assembled from those departments and agencies with the required skills and experience. 3) During an emergency, the Resource Manager will fulfill requests for additional
personnel, equipment, and supplies received from emergency response elements, identify resources to satisfy such requirements, coordinate external resource assistance, and serve as the
primary point of contact for external resources made available to the jurisdiction. B. ORGANIZATION 1) Our normal emergency organization, as described in the Basic Plan, will carry out
government activities in support of donations management. 2) The organization for donations management shall consist of the organizations and facilities described in this annex, supplemented
by Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M24 government personnel and other resources where needed, available, and appropriate. The organizations
described in this annex are composed largely of volunteers, and the facilities described in this annex will be operated primarily by volunteers. 3) The PEO is responsible for managing
donations (cash and/or goods) that are made to the local government for disaster relief, subject to any regulations that may be enacted. 4) The PEO shall appoint a government liaison
to coordinate the efforts of local government with volunteer groups. As the Emergency Management Coordinator (EMC) has demanding duties during emergency response and recovery, the EMC
should not be appointed as the Donations Coordinator. C. ASSIGNMENT OF RESPONSIBILITIES 1) The PEO: a) Will administer the rules and regulations regarding Resource & Donations Management
during emergency situations established by the local governing body. b) May provide general guidance guidance on Resource & Donations
Management and establish priorities for use of resources during emergency situations. c) May issue a local disaster declaration, if the situation warrants, and use available public resources
to respond to emergency situations. Furthermore, s/he may, under certain circumstances, commandeer private property, subject to compensation requirements, to respond to such situations.
Issuance of a local disaster declaration is advisable if an emergency situation has resulted in substantial damage to private or public property and state or federal assistance will
be needed to recover from the incident. See Annex J (Recovery) and Annex U (Legal) regarding disaster declarations. d) May request assistance from the state if local resources are insufficient
to deal with the emergency situation. Cities must first request assistance from their county. e) Ensure that a donations management program that coordinates the efforts of volunteer
groups is planned and ready for activation. f) Monitor the operation of the donations management program when activated. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M25 ANNEX M (RESOURCE & DONATIONS) 2) The IC will: a) Manage resources committed to an incident site. b)
Monitor the status of available resources and request additional resources through the Logistics Section at the ICP. 3) The Resource Manager will: a) Advise elected officials and department
heads regarding Resource & Donations Management needs and the priorities for meeting them. b) Maintain the Gallatin County resource inventory list. c) Provide qualified staff at the
ICP and the GCCC to track the status of resources --those committed, available, or out-of-service. d) Maintain a list of suppliers for emergency resource needs. Identify sources for
additional resources from public and private entities and coordinate the use of such resources. e) Determine the need for, identify, and operate facilities for resource staging and temporary
storage of equipment and supplies, to include donated goods. f) Monitor potential resource shortages and establish controls on use of critical supplies. g) Organize and train staff to
carry out the Logistics function at the ICP and the Resource & Donations Management function at the GCCC. 4) The Supply & Distribution Coordinator will: a) Determine the most appropriate
means for satisfying resource requests. b) Locate needed resources using resource and supplier lists and obtain needed goods and services. c) Coordinate with the Donations Coordinator
regarding the need for donated goods and services. d) Coordinate resource transportation requirements with the Transportation Officer. See Annex S (Transportation) for more information.
Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M26 e) Direct and supervise the activities of the Supply and Distribution Officers. 5) The Distribution
Officer will: a) Arrange delivery of resources, to include settling terms for transportation, specifying delivery location, and providing point of contact information to shippers. b)
Advise the Supply and Distribution Coordinator when the jurisdiction must provide transportation in order to obtain a needed resource. c) Oversee physical distribution of resources,
to include material handling. d) Ensure temporary storage facilities or staging areas are arranged and activated as directed. e) Track the location and status of resources. 6) The Supply
Officer will: a) Identify sources of supply for and obtain needed supplies, equipment, labor, and services. b) Rent, lease, borrow, or obtain donations of resources not available through
normal supply channels. c) Keep the Distribution and Supply Coordinator informed of action taken on requests for supplies, equipment, or personnel. d) Request transportation from and
keep the Distribution Officer informed of expected movement of resources, along with any priority designation for the resources. 7) The Finance Officer shall: a) Oversee the financial
aspects of meeting resource requests, including record keeping, budgeting for procurement and transportation, and facilitating cash donations to the jurisdiction (if necessary and as
permitted by the laws of the jurisdiction). b) Advise officials and department heads of record-keeping requirements and other documentation necessary for fiscal accountability. Redacted
Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M27 ANNEX M (RESOURCE & DONATIONS) 8) The County/City Attorney shall: a) Advise the Resource & Donations
Management staff regarding procurement contracts and questions of administrative law. b) Review and advise officials on possible liabilities arising from Resource & Donations Management
operations during emergencies. c) Monitor reports of overcharging/price gouging for emergency supplies and equipment and repair materials and refer such reports to the Office of the
Attorney General. 9) All departments and agencies will coordinate emergency resource requirements that cannot be satisfied through normal sources of supply with the Resource & Donations
Management staff. 10) The Donations Steering Group will: a) Coordinate planning for and oversee the operation of the donations management program. b) Prepare and keep current this annex.
c) Appoint a Donations Coordinator d) Identify individuals for the following donations management management positions: i. Volunteer Coordinator ii. Resource Staging Area Manager iii.
Phone Bank Supervisor iv. Donations Financial Manager e) Develop and maintain a Donations Management Operations Guide as a separately published document. In the pre-emergency phase,
this guide will contain general planning information with respect to facilities, equipment, staffing, and general operating guidance. When the donations management program is activated,
the guide will be updated with specific facility and equipment information, updated staff rosters, and detailed operating procedures. Copies of the document will be provided to all key
donations management program personnel. In the pre-emergency phase, the guide shall include: Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M28 i. Potential locations for the Volunteer Center, RSA, Phone Bank, Distribution Points, and Donations
Operations Office. ii. Equipment requirements for the facilities listed above. iii. Supply requirements for the facilities listed above. iv. Skeleton staff rosters for the facilities
listed above. v. A list of organizations that could potentially provide volunteers to staff the facilities listed above. f) Determine, in conjunction with the County/City Attorney, the
procedures for preparing for and handling liability issues involving volunteers that are assisting in donations management operations. Since these individuals may be performing volunteer
services directly for the jurisdiction, they may be entitled to medical coverage, accident and injury claim compensation, workman’s compensation coverage, reimbursement for stolen property,
or even restitution for inappropriate comments, discrimination, or harassment. g) Provide the the PIO and the media information on donations management for dissemination to the public.
h) Provide local government officials with regular reports on donations management operations. i) Ensure required donations system-related records are maintained. j) Assist the Donations
Coordinator (DC) in developing a donations management program and in preparing operating procedures for the donations management functions. k) Meet regularly to coordinate, update, and
collaborate on the donations system and operational process before, during, and after a disaster. l) Assist the DC in determining which donations management functions should be activated
after a disaster occurs. m) Provide advice to the DC on suitable candidates for managing the various donations management functions. n) Assist in locating volunteers to work in the donations
management functions. o) Assist the Donations Operations Office in maintaining records on Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M29 ANNEX M (RESOURCE & DONATIONS) donations activities. p) Provide information to donors regarding voluntary
agency operations and needs through the Donations Phone Bank. q) Work together to determine the best method for handling and distributing large-volume or high-value donations received
from the public or corporate entities. r) Help the DC make decisions on when to terminate or consolidate donations management functions. 11) The Volunteer Coordinator will: a) Select
a site for a Volunteer Center and coordinate equipping and staffing the facility. b) Develop operating procedures for and train staff to operate the Volunteer Center. c) Supervise Volunteer
Center operations. d) Prepare and keep current Tab I to Appendix 4. 12) The Resource Staging Area (RSA) Manager will: a) Select a site for an RSA and coordinate equipping and staffing
the facility. b) Develop operating procedures for and train staff to operate the RSA. c) Supervise RSA operations. d) Prepare and keep current Tab F to Appendix 4. 13) The Phone Bank
Supervisor will: a) Select a site for a Phone Bank and coordinate equipping and staffing the facility. b) Develop operating procedures for and train staff to operate the Phone Bank.
c) Supervise Phone Bank operations. d) Prepare and keep current Tab G to Appendix 4. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M30 14) The Donations Financial Officer will: a) Establish a donations account for receiving monetary donations.
b) Establish specific wording for the “Pay to the Order of” line for all checks and other securities so that appropriate information can be provided to potential donors. c) Ensure written
disbursing procedures are prepared in close coordination with the Unmet Needs Committee so account disbursing officials have a clear mandate on how to prepare assistance checks (e.g.,
when, how much, to whom, etc.). IX. COORDINATION A. GENERAL 1) The PEO shall, pursuant to NIMS, provide general guidance on the management of resources during emergencies and shall be
responsible for approving any request for state or federal resources. 2) The Resource Manager may provide advice regarding Resource & Donations Management to the PEO, the IC, the EMC,
and other officials during emergencies. 3) The IC will manage personnel, equipment, and supply resources committed to an incident, establishing a Logistics Section if necessary. If the
GCCC has not been activated, the IC may request additional resources from local departments and agencies and may request those local officials authorized to activate inter-local agreements
or emergency response contracts to do so to obtain additional resources. 4) When the GCCC is activated, the Resource Manager will manage overall Resource & Donations Management activities
from the GCCC. The IC shall manage resources committed to the incident site and coordinate through the Resource Manager to obtain additional resources. The Resource Manager shall manage
resources not committed to the incident site and coordinate the provision of additional resources from external sources. 5) The Resource Manager will identify public and private sources
from which needed resources can be obtained during an emergency situation, and originate emergency procurements or take action to obtain such resources by leasing, renting, borrowing,
or other means. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M31 ANNEX M (RESOURCE & DONATIONS) 6) The Resource Manager will direct the activities of those individuals
assigned Resource & Donations Management duties in the GCCC during emergency operations. Normal supervisors will exercise their usual supervisory responsibilities over such personnel.
7) The DSG will provide general guidance for donations management operations. 8) The DC will manage the donations management program, supervise key donations management program personnel,
and coordinate the efforts of volunteer groups. 9) The supervisor of the donations management facility will direct the work of volunteers and paid government employees working at that
facility. 10) Volunteers working as an integral part of a recognized volunteer group (e.g., ARC or TSA) will respond to direction from those organizations. 11) Each individual supervising
a donations management function will select an appropriate assistant or designee to run the operation in his or her absence. B. COORDINATION 1) The DC will work out of and communicate
from the Donations Operations Office. 2) Each volunteer group assisting in the disaster will designate a specific individual with authority to accept task assignments and coordinate
its activities with the Donations Operations Office. X. ADMINISTRATION & SUPPORT A. GENERAL 1) Maintenance of Records. All records generated during an emergency will be collected and
maintained in an orderly manner so a record of actions taken is preserved for use in determining response costs, settling claims, and updating emergency plans and procedures. 2) Preservation
of Records. Vital Resource & Donations Management records should be protected from the effects of disaster to the maximum extent feasible. Should records be damaged during an emergency
situation, professional assistance in preserving and restoring those records should be obtained as soon as possible. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M32 3) Training. Individuals who will be performing Resource & Donations Management duties in the GCCC
or at the Incident Command Post shall receive training on their required duties and the operating procedures for those facilities. 4) Support. The Resource Manager is responsible for
coordinating standby agreements for emergency use of resources with businesses, industry, individuals, and volunteer groups. The County/City Attorney shall be consulted regarding such
agreements and approve them. B. REPORTING 1) During emergency operations, the Donations Operations Office shall compile and provide a daily summary of significant donations management
activities to the GCCC for use in staff briefings and inclusion in periodic Situation Reports. If the GCCC has been deactivated, a periodic summary of activities will be provided to
local officials and the heads of volunteer organizations participating in the recovery process. C. RECORDS 1) Activity logs: Each donations facility will maintain a log of major activities
at that facility location, including activation and deactivation, arrivals and departure of staff, receipt of or return of major equipment, and the commitment of people, equipment, or
materials to specific tasks. 2) The Donations Steering Group shall appoint a Secretary to provide a written record of the policies formulated and activities undertaken at meetings of
the Group. The DC shall maintain these records. 3) The Unmet Needs Committee shall appoint a Secretary to maintain a written record of its actions. When the recovery process is completed,
these records shall be turned over to the DC for retention. 4) Documentation of costs: Expenses incurred in operating the donations management system are generally not recoverable. However,
in the event state and/or federal reimbursement is considered, accurate records would need to be provided. Therefore, all government departments and agencies should maintain records
of personnel and equipment used and supplies consumed during donations management operations. D. RESOURCES Government resources that may be needed to operate the donations management
system are listed in Annex M (Resource & Donations Management). Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M33 ANNEX M (RESOURCE & DONATIONS) E. POST-INCIDENT REVIEW The Basic Plan provides that the EMC shall organize
and conduct a review of the emergency operations in the aftermath of major emergency or disaster. The purpose of this review is to identify needed improvements in this plan, its procedures,
its facilities, and its equipment. When the donations management system has been activated after a major emergency or disaster, donations management program personnel shall participate
in the review. F. EXERCISES Local drills and tabletop, functional, and full-scale exercises should periodically include a donations management scenario based on the anticipated hazards.
XI. ANNEX DEVELOPMENT & MAINTENANCE 1) VOAD is responsible for developing and maintaining this annex. 2) This annex will be reviewed annually and updated in accordance with the schedule
outlined in the Basic Plan. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M34 ATTACHMENT A PLANNING FACTORS 1) Drinking Water a) The planning factor for drinking water is 3 gallons
per person per day. b) Emergency drinking water is usually provided in the form of bottled water. Bottled water is available from a variety of sources already palletized and ready to
ship. c) People sometimes request that water tankers be placed in specific areas as fill-it-yourself water stations. This arrangement is often undesirable because potable water tankers
are generally in short supply, a distribution system of piping and faucets must be fabricated, and such facilities usually have to be staffed. 2) Ice a) Ice is needed to preserve food
and medicines. b) The planning factor for ice is one 8 to 10 pound bag per person per day. c) Bagged ice is available from a number of distributors. When arranging for ice, keep in mind
that ice is obviously perishable and the refrigerated delivery truck will likely need to be retained to preserve the product while it is being distributed. 3) Portable Toilets a) The
general planning factor is 8 to 10 toilets per hundred people. In areas where people are well dispersed, additional toilets may be needed to keep the walk to sanitary facilities reasonable.
b) In requesting portable toilets, ensure that the contract for providing the toilets includes the requirement to service them on a regular basis. A local or nearby firm that has existing
arrangements for waste disposal is often preferable. c) Portable toilets should be sited at least 100 feet for any water source or cooking facility. To prevent disease, it is desirable
to have handwashing facilities in the vicinity of toilets. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M35 ANNEX M (RESOURCE & DONATIONS) 4) Food a) Shelter and mass care facilities and mobile feeding units
generally aim to provide at least two, and preferably three, simple meals per day – cereal, sandwiches, and soup. When requesting feeding service, provide not only an estimate of the
number of people that need to be fed, but also indicate the number of infants and children 1 to 3 years of age, so that suitable food can be provided. b) It may be possible to obtain
packaged non-perishable meals for disaster victims who remain in their homes and cannot easily be served by fixed or mobile feeding facilities. A good estimate of the number of people
who must be fed and for how long is vital in requesting such meals. 5) Plastic Sheeting & Tarps a) Plastic sheeting and tarps are used to protect damaged structures from further damage
by foul weather. b) The planning factor for plastic sheeting is 1100 square feet per home. That amount covers half the roof of a typical 1800 square foot house. c) For plastic sheeting:
4 or 5 mil thickness, 8+ feet wide – the wider the better. d) For tarps: inexpensive polyethylene tarps are readily available. Tarps should have grommets. e) Rope can be used to install
tarps that have grommets. Furring strips are usually needed to keep plastic sheeting on roofs and walls and may also be used with tarps. 6) Sandbags a) Sandbags may be used to protect
structures from rising water. b) Sandbags are available in quantity from a number of commercial distributors. c) If you plan to use a substantial quantity of sandbags, a sandbag-filling
machine can expedite filling. These machines are available from a variety of commercial vendors; sandbag distributors may be able to provide such machines or contact information for
those who do. Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M36 7) Suppliers of Essential Disaster Supplies Redacted Version
Gallatin County EMP, Annex M (Resource & Donations Management), 05/18/11, Page M37 ATTACHMENT B EMERGENCY RESOURCE REQUEST Gallatin County REQUEST DATE REQUESTER NAME DEPARTMENT/ORGANIZATION
CONTACT PHONE/FAX REQUESTER’S PRIORITY Highest 1 2 3 4 5 Lowest EMERGENCY RESOURCE REQUIRED (equipment, supplies, services) ANNEX M (RESOURCE & DONATIONS) FOR EQUIPMENT: Purchase Rent/Lease
for (period)_________________________ WHEN REQUIRED? DELIVERY INFORMATION: DELIVERY CONTACT, IF OTHER THAN REQUESTER (NAME & PHONE NUMBER): FOR RESOURCE MANAGEMENT USE ONLY: REQUEST
# Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex N : Coordination Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Coordination. Mitigation Preparedness Response Recovery ReadyGallatin.com The Coordination Annex outlines how coordination
among incidents and agencies is carried out during an incident. Emergency Management is the primary agency for this function. This annex describes the difference between an Incident
Command Post’s function of managing a specific incident and the Coordination Center role in supporting them and providing county wide coordination. Many jurisdictions have struggled
with conflict between incident operations and coordination centers (a.ka. EOC). This is often attributed to unclear roles and responsibilities which lead to multiple places issuing operational
orders. Gallatin County has a very clear distinction that all operational directions come from an Incident Commander running the incident at an Incident Command Post. The coordination
center provides logistical support and coordination among incidents. The coordination center is also the forum where policy level decisions (i.e. prioritizing scarce resources) are made
and passed down to incident commanders, but no operational decisions (i.e. here to build fireline) are made. In 2010 during the writing of the Basic Plan the decision was made to abandon
the term Emergency Operations Center (EOC) and adopt the term Coordination Center. This was a result of trying to clearly delineate the all too often error of EOC’s trying to direct
operational activities. As such, we felt it was better to not have the word “operations” in the title. The term “coordination center” was selected as being more descriptive of the function
and in fact is becoming more common of a name utilized around the nation. Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N2 APPROVAL & IMPLEMENTATION ANNEX N: COORDINATION This annex is hereby approved. This annex is effective immediately and
supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N3 ANNEX N (COORDINATION) RECORD OF CHANGES ANNEX N: COORDINATION Date of Change Date Entered Change Entered By 1 2 3 4 5
6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N4 TABLE OF CONTENTS I. PRIMARY AGENCIES…………………………………………………….…......................N6 II. SUPPORTING AGENCIES………………………………………………….N6
III. AUTHORITY A. Federal………………………………………………………………...N6 B. State……………………………………………………………………N6 C. Local……………………………………………………………………N6 IV. PURPOSE………………………………………………………………..…..N6 V. EXPLANATION
OF TERMS A. Acronyms…………………………………………………………….N7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………N7 B. Assumptions…………………………………………………………N7 VII. CONCEPTS OF OPERATIONS
A. General…………………………………………………………………N8 B. Incident Command Operations………………………………………N9 C. GCCC Operations…………………………………………………...N10 D. ICS-GCCC Interface………………………………………………..N10 E. Phases
of Management……………………………………………N12 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………N14 B. Assignment of Responsibilities……………………………………N14 IX.
COORDINATION A. General………………………………………………………………N15 B. Incident Command Operations……..……………………….……N15 C. GCCC Operations…………………………………………………..N16 Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N5 ANNEX N (COORDINATION) X. ADMINISTRATION & SUPPORT A. Facilities & Equipment………………………………………….......N16 B. Records…………………………………….........
......... ……………N17 C. Reports……………………………………………………………….N18 D. Agreements & Contracts……………………………………………N18 E. GCCC Security………………………………………………………N18 F. Media………………………………………………………………….N18
XI. ANNEX DEVELOPMENT & MAINTENANCE…………………….……..N19 Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N6 ANNEX N: Coordination I. PRIMARY AGENCIES Gallatin County Emergency Management II. SUPPORTING AGENCIES III. AUTHORITY A.
FEDERAL Name Description Legal TBD B. STATE Name Description Legal TBD C. LOCAL Name Description Legal TBD IV. PURPOSE The purpose of this annex is to define the organization, operational
concepts, responsibilities, and procedures necessary to accomplish coordination of emergency services for Gallatin County. V. EXPLANATION OF TERMS Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N7 ANNEX N (COORDINATION) A. ACRONYMS DHS Department of Homeland Security DPHHS Department of Public Health & Human Services
EMC Emergency Management Coordinator FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center ICP Incident Command Post ICS Incident Command System NIMS National
Incident Management System NRF National Response Framework PEO Principal Executive Officer SOP Standard Operating Procedures VI. SITUATION & ASSUMPTIONS A. SITUATION 1) Our community
is vulnerable to many hazards, which threaten public health, safety, and property. See the Basic Plan for more information on specific county hazards. 2) Our coordination organization
must be able to quickly activate any time day or night, operate around the clock, and deal effectively with emergency situations that may begin with a single response discipline and
expand to multi-disciplines requiring effective cross-jurisdictional coordination. B. ASSUMPTIONS 1) Many emergency situations occur with little or no warning. If warning is available,
alerting the public, recommending suitable protective actions, taking preventative measures, and increasing the readiness of and deploying emergency response forces may lessen the impact
of some emergency situations. 2) We will use our own resources to respond to emergency situations, and, if needed, request external assistance from other jurisdictions pursuant to mutual
aid agreements or from the state. Since it takes time to summon external assistance, it is essential to be prepared to carry out the initial emergency response on an independent basis.
3) Emergency operations will be directed by local officials, except where state or federal law provides that a state or federal agency must or may take charge, or where local responders
lack the necessary expertise and Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N8 equipment to cope with the incident and agree to permit those with the expertise and resources to take charge. 4) Effective
coordination requires suitable facilities, equipment, procedures, and trained personnel. The coordination facilities will be activated and staffed on a graduated basis as needed to respond
to the needs of specific situations. 5) Gallatin County has adopted the National Incident Management System (NIMS) and have implemented NIMS procedures and protocols, which will allow
us to effectively work with our mutual aid partners, and state and federal agencies during any type if incident response. VII. CONCEPT OF OPERATIONS A. GENERAL 1) The coordination structure
for emergency operations is pursuant to the NIMS, which employs two levels of incident management structures. a) The Incident Command System (ICS) includes a core set of concepts, principles,
and terminology applicable to single or multiple incidents
regardless of their scope. b) Multiagency Coordination Systems integrate a combination of facilities, equipment, personnel, procedures, and communications into a common framework, which
allows for the coordination and support of incident management. 2) An Incident Commander, using response resources from one or more departments or agencies, will normally handle emergency
situations classified as incidents. The GCCC will generally not be activated. 3) During major emergencies, disasters, or catastrophic incidents, a Multiagency Coordination System may
be advisable. Central to this system is the Gallatin County Coordination Center (GCCC), which is the nucleus of all coordination. The Incident Commander will manage the onscene response
from the ICP. The GCCC will mobilize and deploy resources for use by the Incident Commander, coordinate external resource and technical support, research problems, provide information
to senior managers, disseminate emergency public information, and perform other tasks to support on-scene operations. operations. 4) For some types of emergency situations, the GCCC
may be activated without activating an Incident Command operation. a) Such situations may include: Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N9 ANNEX N (COORDINATION) i. When a threat of hazardous conditions exists, but those conditions have not yet impacted the
local area, the GCCC may accomplish initial response actions, such as mobilizing personnel and equipment and issuing precautionary warning to the public. When the hazard impacts, an
ICP may be established and coordination of the response transitioned to the Incident Commander. ii. When the emergency situation does not have a specific impact site, but rather affects
a wide portion of the local area, such as an ice storm. 5) For operational flexibility, both ICS and GCCC operations may be sized according to the anticipated needs of the situation.
The structure of ICS is specifically intended to provide a capability to expand and contract with the magnitude of the emergency situation and the resources committed to it. The GCCC
may also be activated on a graduated basis. B. INCIDENT COMMAND OPERATIONS 1) The first local emergency responder to arrive at the scene of an emergency situation will serve as the Incident
Commander unless relieved by a more senior or more qualified individual. The Incident Commander will establish an ICP, provide an assessment of the situation to local officials, identify
response resources required, and coordinate the onscene response from the ICP. 2) The Incident Commander is responsible for carrying out the ICS function of command—making operational
decisions to manage the incident. The four other major management activities that form the basis of ICS are operations, planning, logistics, and finance/administration. For small-scale
incidents, the Incident Commander and one or two individuals may perform all of these functions. 3) For more serious emergency situations, individuals from various local departments
or agencies or from external response organizations may be assigned to separate ICS staff charged with those functions. For these serious emergency situations, it is generally desirable
to transition to a Unified Command. 4) If the GCCC has been activated, the Incident Commander shall provide periodic situation updates to the GCCC. 5) In emergency situations where other
jurisdictions or state/federal agencies are providing significant response resources or technical assistance, it is Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N10 generally desirable to transition from the normal ICS structure to a Unified Area Command structure. This arrangement
helps to ensure that all participating agencies are involved in developing objectives and strategies to deal with the emergency. C. GCCC OPERATIONS 1) The GCCC may be activated to monitor
a potential emergency situation or to respond to or recover from an emergency situation that is occurring or has occurred. The GCCC will be activated at a level necessary to carry out
the tasks that must be performed. The level of activation may range from a monitoring operation with minimal staff, to a limited activation involving selected departmental representatives,
to a full activation involving all departments, agencies, volunteer organizations, and liaison personnel. 2) The principal functions of the GCCC are to: a) Monitor potential threats
b) Support on-scene response operations c) Receive, compile, and display data on the emergency situation and resource status and commitments as a basis for planning d) Analyze problems
and formulate options for solving them e) Coordinate among local agencies and between county, city, state and federal agencies, if required f) Develop and disseminate warnings and emergency
public information g) Prepare and disseminate periodic reports h) Coordinate damage assessment activities and assess the health, public safety, local facilities, and the local economy
i) Request external assistance from other jurisdictions, volunteer organizations, businesses, or from the state D. ICS -GCCC INTERFACE 1) When both an ICP and the GCCC have been activated,
it is essential to establish a division of responsibilities between the ICP and the GCCC. A general division of responsibilities is outlined below. It is essential that a Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N11 ANNEX N (COORDINATION) precise division of responsibilities be determined for specific emergency operations. 2) The IC
is generally responsible for field operations, including: a) Isolating the scene b) Coordinating the on-scene response to the emergency situation and managing the emergency resources
committed to it c) Warning the population in the area of the incident and providing emergency instructions to them d) Determining and implementing protective measures (evacuation or
in-place sheltering) for the population in the immediate area of the incident and for emergency responders at the scene e) Implementing traffic control arrangements in and around the
incident scene f) Requesting additional resources from the GCCC g) Keeping the GCCC informed of the current situation at the incident site 3) The GCCC is generally responsible for: a)
Mobilizing and deploying resources to be employed by the IC b) Issuing community-wide warning c) Issuing instructions and providing information to the general public d) Organizing and
implementing large-scale evacuation and coordinating traffic control for such operations e) Organizing and implementing shelter and mass care arrangements for evacuees f) Requesting
assistance from the state and other external sources 4) Transition of Responsibilities a) Provisions must be made for an orderly transition of responsibilities between the ICP and the
GCCC b) From GCCC to the ICP: In some situations the GCCC may be Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N12 operating to monitor a potential hazard and manage certain preparedness activities prior to establishment of an ICP. When
an ICP is activated under these circumstances, it is essential that the IC receive a detailed initial situation update from the GCCC and be advised of any operational activities that
are already in progress, resources available, and resources already committed. c) From the ICP to the GCCC. When an incident command operation is concluded and the GCCC continues to
operate to manage residual response and recovery activities, it is essential that the IC brief the GCCC on any on-going tasks or operational issues that require follow-on action by the
GCCC staff. 5) Extended GCCC Operations a) While an incident command operation is normally deactivated when the response to an emergency situation is complete, it may be necessary to
continue activation of GCCC into the initial part of the recovery phase of an emergency. In the recovery phase, the GCCC may be staffed to compile damage assessments, assess long term
needs, manage donations, monitor the restoration of utilities, oversee access control to damaged areas, and other tasks. 6) In some large-scale emergencies or disasters, emergency operations
with different objectives may be conducted at geographically separated scenes, in which case it may be necessary to employ a Unified Area Command. In such situations, more than one Incident
Command Post may be established. If this situation occurs, it is particularly important that the allocation of resources to specific field operations be coordinated through the GCCC.
E. PHASES OF MANAGEMENT 1) Mitigation a) Establish, equip, and maintain a GCCC and an alternate EOC b) Identify required GCCC staffing c) Prepare maintain maps, displays, databases,
reference materials, and other information needed to support ICP and GCCC operations d) Identify and stock supplies needed for ICP and GCCC operations e) Develop and maintain procedures
for activating, operating, and deactivating the GCCC Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N13 ANNEX N (COORDINATION) 2) Preparedness a) Identify department, agency, and volunteer group representatives who will serve
on the GCCC staff and are qualified to serve in various ICP positions b) Pursuant to NIMS protocol, conduct NIMS training for department, agency, and volunteer group representatives
who will staff the GCCC and ICP c) Maintain maps, displays, databases, reference materials, and other information needed to support ICP and GCCC operations d) Test and maintain GCCC
equipment to ensure operational readiness e) Exercise the GCCC at least once a year f) Maintain a resource management program that includes identifying, acquiring, allocating, and tracking
resources 3) Response a) Activate an ICP and the GCCC if necessary b) Conduct response operations c) Deactivate ICP and GCCC when they are no longer needed 4) Recovery a) If necessary,
continue GCCC activation to support recovery operations b) Deactivate GCCC when situation permits c) Restock ICP and GCCC supplies if necessary. d) For major emergencies and disasters,
conduct a review of emergency operations as a basis for updating plans, procedures, and training requirements Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N14 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Our normal emergency organization, described in
the Basic Plan, will carry out the coordination function during emergency situations. 2) The organization of incident command operations will be pursuant to NIMS organizational principles.
The specific organizational elements to be activated for an emergency will be determined by the IC based on the tasks that must be performed and the resources available for those tasks.
3) The GCCC may be activated on a graduated basis. Department, agency, and volunteer GCCC staffing requirements will be determined by the EMC based on the needs of the situation. B.
ASSIGNMENT OF RESPONSIBILITIES 1) The PEO will: a) Establish general policy guidance for emergency operations b) Direct that the GCCC be partially or fully activated c) When appropriate,
terminate GCCC operations 2) The EMC will: a) Develop and maintain the GCCC Staff Roster and GCCC operating procedures b) Activate the GCCC when requested or when the situation warrants
c) Serve as a GCCC Manager d) Advise the PEO on emergency management activities e) Coordinate resource and information support for emergency operations f) Coordinate emergency planning
and impact assessment g) Coordinate analysis of emergency response and recovery problems Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N15 ANNEX N (COORDINATION) and development of appropriate courses of action 3) The IC will: a) Establish an ICP and coordinate
emergency operations at the scene b) Determine the need for and implement public warning and protective actions at and in the vicinity of the incident site c) Provide periodic situation
updates to the GCCC, if that facility is activated d) Identify resource requirements to the GCCC, if that facility is activated 4) Departments, agencies, and volunteer groups assigned
responsibilities for ICP or GCCC operations will: a) Identify and train personnel to carry out required emergency functions at the ICP and the GCCC b) Provide personnel to staff the
ICP and the GCCC when those facilities are activated c) Ensure that personnel participating in ICP and GCCC operations are provided with the equipment, resource data, reference materials,
and other work aids needed to accomplish their emergency functions IX. COORDINATION A. GENERAL The PEO will provide general guidance for the coordination function, pursuant to NIMS protocols.
B. INCIDENT COMMAND OPERATIONS The first responder on the scene will take charge and serve as the IC unless relieved by a more senior or qualified individual. An ICP will normally be
established at the incident scene; the IC will coordinate response forces from that command post. Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N16 C. GCCC OPERATIONS 1) The PEO may request that the GCCC be activated. A decision to activate the GCCC is typically made
on the basis of staff recommendations. 2) The EMC may activate the GCCC, will normally determine the level of GCCC staffing required based upon the situation, and also notify appropriate
personnel to report to the GCCC. 3) Any department or agency head dealing with a significant health or safety issues that requires inter-agency coordination may request that the EMC
activate the GCCC to provide a suitable facility to work the issue. 4) The EMC will serve as GCCC Manager. X. ADMINISTRATION & SUPPORT A. FACILITIES & EQUIPMENT 1) GCCC a) The GCCC is
located in Bozeman at 219 E Tamarack and is maintained by Gallatin County Emergency Management. b) The GCCC is equipped with communication equipment necessary for conducting emergency
operations. See Annex B (Communications) for more information on communications connectivity. c) The GCCC is equipped with emergency generator. 2) Mobile Command Post a) The Incident
Command may request that a Mobile Command Post be deployed for use as an on-scene command post. B. RECORDS 1) Activity Logs. The ICP and the GCCC shall maintain accurate logs recording
key response activities, including: a) Activation or deactivation of emergency facilities b) Emergency notifications to other local governments and to state and federal agencies Redacted
Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N17 ANNEX N (COORDINATION) c) Significant changes in the emergency situation d) Major commitments of resources or requests
for additional resources from external sources e) Issuance of protective action recommendations to the public f) Evacuations g) Casualties h) Containment or termination of the incident
i) The GCCC shall utilize the Emergency Operations Center Log to record GCCC activities. The ICP shall use the Unit Log (ICS form 214) or an equivalent. 2) Communications & Message Logs
a) Communications facilities shall maintain a communications log. The GCCC shall maintain a record of messages sent and received using the GCCC Message Log 3) Cost Information a) Incident
Costs: All department and agencies shall maintain records summarizing the use of personnel, equipment, and supplies during the response to day-to-day incidents to obtain an estimate
of annual emergency response costs that can be used in preparing future budgets. b) Emergency or Disaster Costs: For major emergencies or disasters, all departments and agencies participating
in the emergency response shall maintain detailed of costs for emergency operations to include: i. Personnel costs, especially overtime costs ii. Operation costs iii. Costs for leased
or rented equipment iv. Costs for contract services to support emergency operations v. Costs of specialized supplies expended for emergency operations Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N18 These records may be used to recover costs from the responsible party or insurers or as a basis for requesting reimbursement
for certain allowable response and recovery costs from the state and/or federal government. C. REPORTS 1) Initial Emergency Report: An Initial Emergency Report should be prepared and
disseminated for major emergencies and disasters where state assistance may be required. This can be done by email or using the Situation Report form. 2) Situation Report: For major
emergencies and disasters where emergency response operations continue over an extended period, a Situation Report should be prepared and disseminated daily. D. AGREEMENTS & CONTRACTS
Should our local resources prove to be inadequate during an emergency, requests will be made for assistance from other neighboring jurisdictions, other agencies, and industry in accordance
with existing mutual aid agreements and contracts. E. GCCC SECURITY 1) Access to the GCCC will be limited during activation. All staff members will sign in upon entry and wear their
staff badge. 2) Individuals who are not members of the GCCC staff will be identified and their reason for entering the GCCC determined. GCCC administrative staff will issue a visitor
badge to those visitors with a valid need to enter the GCCC, which will be surrendered upon departure. F. MEDIA Media relations will be conducted pursuant to the NIMS. See Annex I (Public
Information) for further details. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT 1) The EMC is responsible for the development and maintenance of this annex. 2) The EMC is responsible
for the development and maintenance of GCCC Standard Redacted Version
Gallatin County EMP, Annex N (Coordination), 05/18/11, Page N19 ANNEX N (COORDINATION) Operating Procedures. B. MAINTENANCE This annex will be reviewed annually and updated in accordance
with the schedule outlined in the Basic Plan. Redacted Version
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Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex O : Human Services Redacted Version
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Gallatin County Emergency Management Plan Executive Summary – Human Services Mitigation Preparedness Response Recovery ReadyGallatin.com The Human Services Annex describes primarily
how mental health services are provided. Gallatin County VOAD is the primary organization for this function. Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O2 APPROVAL & IMPLEMENTATION ANNEX O: HUMAN SERVICES This annex is hereby approved. This annex is effective immediately
and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O3 ANNEX O (HUMAN SERVICES) RECORD OF CHANGES ANNEX O: HUMAN SERVICES Date of Change Date Entered Change Entered By 1 2
3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………... O6 II. SUPPORTING AGENCIES………………………………………………….. O6 III.
AUTHORITY A. Federal……………………………………………………………….... O6 B. State……………………………………………………………………. O6 C. Local……………………………………………………………………. O6 IV. PURPOSE…………………………………………………………………….. O6 V. EXPLANATION
OF TERMS A. Acronyms…………………………………………………………….…O7 B. Definitions……………………………………………………………… O7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... O8 B. Assumptions……………………………………………………………
O8 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… O9 B. Mental Health Services….…………………………………………… O9 C. Emergency Water Supplies………………………………...……..… O10 D. Emergency
Food……………………………………………………... O10 E. Other Needs of Disaster Survivors…………………………………. O10 D. Phases of Management………….………………………………...…. O11 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES
A. Organization…………………………………………………………… O12 B. Assignment of Responsibilities……..……………………………….. O13 IX. COORDINATION…………………………………………..………………… O14 X. ADMINISTRATION & SUPPORT A. Records
of Maintenance...……………………………………………O15 B. Preservation of Records……………………………………………… O15 C. Training & Exercises……………………….………………………… O15 D. State & Federal Assistance………………………………………….
O15 Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O5 ANNEX O (HUMAN SERVICES) XI. ANNEX DEVELOPMENT & MAINTENANCE…………………….………. O15 Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O6 ANNEX O: HUMAN SERVICES I. PRIMARY AGENCIES Volunteer Organizations Active in Disaster (VOAD) II. SUPPORTING AGENCIES
Gallatin City-County Health Department III. AUTHORITY A. FEDERAL Name Description Legal TBD B. STATE Name Description Legal TBD C. LOCAL Name Description Legal TBD IV. PURPOSE The purpose
of this annex is to define the organization, operational concepts, responsibilities, and procedures necessary to provide human services support to people who require food, clothing,
mental health services, and victim’s compensation in the aftermath of an emergency. Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O7 ANNEX O (HUMAN SERVICES) V. EXPLANATION OF TERMS A. ACRONYMS ARC American Red Cross CISM Critical Incident Stress Management
DRC Disaster Recovery Center EMS Emergency Medical Services FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination Center PEO Principal Executive Officer SOP Standard
Operating Procedure TSA The Salvation Army VOAD Volunteer Organizations Active in Disaster B. DEFINITIONS Crisis Counseling Short-term therapeutic intervention that utilizes established
mental health techniques to lessen adverse emotional conditions that can be caused by sudden and/or prolonged stress. Crisis Counseling is designed for “normal individuals who have experienced
an abnormal event.” Crisis counseling is not traditional therapy and is often delivered within the victim’s home environment. Crisis counseling is normally set up for survivors and secondary
responders who have been involved in an emergency situation, while Critical Critical Incident Stress Management (CISM) is designed for first responders. Critical Incident Stress Management
CISM is a comprehensive, integrated, and multi-component crisis intervention system for the reduction and control of the harmful effects of stress. This process is primarily intended
and usually designed for first responders such as law enforcement, fire, and EMS personnel. Peers with guidance and oversight by mental health professionals normally conduct CISM. Disaster
Mental Health Services Disaster mental health services include crisis counseling, CISM, and victim’s services. This includes assessing short and long-term mental health needs, assessing
the need for additional mental health services, tracking on-going support needs, providing disaster mental health training programs, and identifying disaster worker stress issues and
needs. Disaster Recovery Center (DRC) A location established in a centralized area within or near the disaster area at which individuals, families, and/or businesses apply for disaster
aid. In general, Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O8 a DRC is established after a major disaster or state of emergency declaration by the President. Special Needs Individuals/Groups
Includes the elderly, medically fragile, mentally and/or physically challenged or handicapped, individuals with mental illness, and the developmentally delayed. These individuals may
need specially trained health care providers to care for them, special facilities equipped to care for their needs, and specialized vehicles and equipment for transport in order to meet
their daily needs and maintain their health and safety during emergency situations. VI. SITUATION & ASSUMPTIONS A. SITUATION 1) As outlined in the Basic Plan, our area is vulnerable
to a number of hazards, which could result in the evacuation, destruction of or damage to homes and businesses, loss of personal property, disruption of food distribution and utility
services, and other situations that adversely affect the daily life of citizens. 2) In the aftermath of emergency situations, survivors may need assistance in obtaining food, clothing,
mental health services, and other essential life support needs as well as cleaning up and making temporary repairs to their homes. 3) Emergency responders, survivors, and others who
were affected by the emergency may experience stress, anxiety, and other physical and psychological effects that adversely impinge on their daily lives. B. ASSUMPTIONS 1) Disaster survivors
and emergency responders may need human services support in the aftermath of a disaster. 2) Those who would not normally be clients of local or state human service agencies may require
some form of assistance, including food, clothing, and disaster mental health services. As a consequence, the clientele of both local and state human service organizations may increase.
3) In some cases, disaster mental health services may be needed during response operations. 4) The American Red Cross, the Salvation Army, and other non-governmental organizations will
provide assistance to disaster survivors. Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O9 ANNEX O (HUMAN SERVICES) 5) Local professional, charitable, and volunteer groups, including religious ones, normally
responding to emergency situations will do so, if requested. VII. CONCEPT OF OPERATIONS A. GENERAL 1) We have the general responsibility for ensuring the welfare of our citizens and
will develop a capability to provide appropriate human services during emergency situations. 2) A Human Services Officer will be appointed to coordinate with local organizations to ensure
basic human services are provided in the aftermath of an emergency. 3) We shall establish working relationships with and will call on the American Red Cross, the Salvation Army, and
other non-governmental organizations to provide support for disaster survivors. 4) Some emergency situations will not require implementation of large-scale mass care operations, but
instead generate a need for a limited amount of emergency food and clothing. For these situations, our Human Services Officer will coordinate with the Gallatin County staff, volunteer
organizations, and church groups to identify sources for this assistance. 5) Like other disaster survivors, special needs groups may require assistance to meet their needs for food,
clothing, housing, and medical care. Local human service organizations are expected to identify any special needs groups that need assistance in the aftermath of an emergency. 6) We
will request state human services support if local resources prove inadequate. B. MENTAL HEALTH SERVICES 1) Crisis Counseling for Disaster Survivors a) Some disaster survivors and emergency
responders may need mental health services in the aftermath of a disaster. Many seeking such help can obtain aid from existing local mental health programs and religious groups. As the
demand for such services may increase significantly after a disaster and some local providers may become disaster survivors, there may be a need for additional mental health resources.
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Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O10 b) If existing local resources are inadequate to meet the need for disaster mental health services, local mental health
programs can provide disaster survivors emergency counseling services. Gallatin County mental health professionals and members of the local ministerial association, and other local support
groups, may augment these services. c) In addition to local and state mental health providers, some volunteer organizations active in disasters can provide crisis counseling to disaster
survivors. For a description of the services that can be provided by various organizations, see Attachment A. C. EMERGENCY WATER SUPPLIES Water is essential to maintain life and preserve
public health. If water supply systems are disrupted in an emergency, timely provision must be made to provide water to local residents whose normal supply has been disrupted. D. EMERGENCY
FOOD In the aftermath of an emergency, local residents may be unable to obtain food from normal sources, preserve perishable food, or prepare meals due to damage to their homes and food
stores or the loss of electrical or gas service. Food may be provided to disaster survivors
in a variety of ways, depending on the situation in the local area in the aftermath of a disaster. Among the options are: a) Mass feeding at fixed sites, using operable kitchen facilities
at schools, community centers, churches, and other community facilities. b) Mass feeding at fixed sites using transportable kitchens operated by non-governmental groups. c) Distribution
of prepared food using mobile canteens operated by nongovernmental groups. d) Distribution of foodstuffs obtained from food banks that can be used by disaster survivors to prepare meals.
e) Distribution of restaurant or grocery store vouchers. E. OTHER NEEDS OF DISASTER SURVIVORS 1) Where emergencies result in federal emergency or major disaster declarations by the President,
disaster survivors may be eligible for specific human services programs as part of the recovery process. See Annex J ( Recovery) for further information. Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O11 ANNEX O (HUMAN SERVICES) 2) Volunteer organizations active in disaster may be able to assist in meeting a number of
the needs of disaster survivors, including: a) Basic clothing b) Basic furnishings and household goods c) Job-related tools d) Transportation e) Home clean up and debris removal f) Home
repairs F. PHASES OF MANAGEMENT 1) Prevention a) Identify population groups who may require special assistance during an emergency (e.g., senior citizens, handicapped, etc.). 2) Preparedness
a) Identify volunteer groups that can provide emergency food and clothing in the aftermath of emergency situations and other sources of emergency food and clothing. b) Identify agencies
or groups that can provide disaster mental health services and survivor’s services during and in the aftermath of emergency situations. c) Identify and train human services representatives
who will staff the Gallatin County Coordination Center (GCCC). d) Conduct emergency planning with the appropriate agencies and groups, develop appropriate standard operating procedures
(SOPs), and execute agreements where appropriate. e) Determine tentative emergency assignments for available personnel and volunteers. f) Encourage volunteer groups active in disasters
to participate in emergency exercises. Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O12 g) Review and update this annex and related SOPs. 3) Response a) Provide food and clothing to disaster survivors as
needed. b) Register evacuees or survivors or assist volunteer groups in performing this task. c) Provide contact information to survivors who need human services assistance. d) Provide
human services staff support for the GCCC. 4) Recovery a) Assess needs of survivors and provide assistance, including but not limited to temporary housing, food, clothing, clean-up services,
minor home repairs, and other support. b) Coordinate with the Public Information Officer to inform the public of the availability of human services. c) Assess the need for disaster mental
health services for emergency responders and disaster survivors, and coordinate such support if it is required. d) Provide human services personnel to staff the GCCC, if activated. VIII.
ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Our emergency organization as described in the Basic Plan shall carry out the function of providing human services in
emergency situations. 2) The PEO shall provide policy guidance with respect to emergency human services operations. The Human Services Officer will manage the human services function
during emergency operations. 3) Human services will be provided through the coordinated efforts of VOAD. 4) State and federal agencies may be requested to assist in human services activities
conducted in the aftermath of a major emergency or disaster. Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O13 ANNEX O (HUMAN SERVICES) B. TASK ASSIGNMENTS 1) The PEO will: a) Ensure that a human services program for emergency
situations is developed. b) Provide general guidance and direction for human services operations during emergencies. 2) The Human Services Officer will: a) Identify volunteer groups
and agencies that can provide goods and services to satisfy human services needs and develop agreements with them. b) In the aftermath of emergencies, solicit and coordinate distribution
of clothing, food, and services by various agencies and organizations. See Annex M (Resource & Donations Management) for more information. c) Coordinate the registration of evacuees/survivors.
d) Coordinate with the Shelter Officer to provide for human services needs of evacuees in shelters. e) Coordinate human services support for special needs groups. f) Coordinate the provision
of disaster mental health services for disaster survivors, emergency workers, and others suffering trauma due to the emergency situation. g) Coordinate local staffing at the GCCC, if
needed. h) Work with the Transportation Officer to coordinate transportation assistance for those who need it. 3) The Mental Health Authority/Other will: a) Coordinate the provision
of and provide disaster mental health services to disaster survivors, emergency workers, and others suffering trauma due to an emergency situation. 4) The Transportation Officer will:
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Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O14 a) Coordinate transportation support for human services operations. b) Coordinate transportation for food, clothing,
drinking water, and other supplies, if the agency providing these materials is unable to do so. c) When requested by the Human Services Officer, coordinate transportation for those who
need transportation assistance such as those without vehicles, special needs, etc. 5) The Shelter & Mass Care Officer will: a) Identify the requirements for human services assistance
to those housed in shelters to the Human Service Officer. 6) The Public Information Officer will: a) Coordinate the release of information to the media and public about assistance programs
available for disaster survivors. 7) VOAD will: a) Provide human services assistance identified by the Human Services Officer upon request. IX. COORDINATION A. GENERAL 1) The PEO shall
establish priorities for and provide policy guidance for human services programs conducted after a disaster. 2) The EMC will provide direction to the Human Service Officer regarding
human services operations in the aftermath of an emergency. 3) The Human Services Officer and staff will plan, coordinate, and carry out human services program activities. 4) All human
services activities will be coordinated through the Human Services Officer in the GCCC. X. ADMINISTRATION & SUPPORT Redacted Version
Gallatin County EMP, Annex 0 (Human Services), 05/18/11, Page O15 ANNEX O (HUMAN SERVICES) A. RECORDS OF MAINTENANCE All records generated during an emergency will be collected and filed
in an orderly manner so a record of events is preserved for use in determining response costs, settling claims, and updating emergency plans and procedures. B. PRESERVATION OF RECORDS
Vital human services records should be protected from the effects of a disaster to the maximum extent possible. Should records be damaged during an emergency situation, professional
assistance preserving and restoring those records should be obtained as soon as possible. C. TRAINING & EXERCISES 1) Human services personnel who will participate in GCCC operations
will receive training on the operation of the facility. 2) Non-governmental groups that could be providing human services support during emergency situations shall be invited and encouraged
to participate in emergency drills and exercises where appropriate. D. STATE & FEDERAL ASSISTANCE ASSISTANCE If state or federal assistance is required, The Human Services Officer will
brief the PEO on the assistance required. The PEO will make the request for assistance to Montana DES. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE 1) The Human Services
Officer is responsible for developing and maintaining this annex. 2) This annex will be reviewed annually and updated in accordance with the schedule outlined in the Basic Plan. Redacted
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Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex P : Hazard Mi t igat ion Redacted
Version
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Gallatin County Emergency Management Plan Executive Summary – Hazard Mitigation Mitigation Preparedness Response Recovery ReadyGallatin.com The Hazard Mitigation Annex provides the process
by which we maintain our Hazard Mitigation Plan. Gallatin County Emergency Management is the primary agency for this function. This annex primarily provides the process by which we manage
the maintenance on our Hazard Mitigation Plan. The Gallatin County Hazard Mitigation Plan is a standalone document that addresses our communities risks and how we attempt to eliminate,
or lessen the impact, of these risks. Hazard Mitigation Plans are required to be updated every five years, with Gallatin County’s under revision in 2011. Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P2 APPROVAL & IMPLEMENTATION ANNEX P: HAZARD MITIGATION This annex is hereby approved. This annex is effective immediately
and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P3 ANNEX P (HAZARD MITIGATION) RECORD OF CHANGES ANNEX P: HAZARD MITIGATION Date of Change Date Entered Change Entered
By 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P4 TABLE OF CONTENTS I. PRIMARY AGENCIES.……………………………………………....……….. P6 II. SUPPORTING AGENCIES………………………………………………….. P6
III. AUTHORITY A. Federal……………………………………………………………….... P6 B. State……………………………………………………………………. P6 C. Local………………………………………………….………………… P6 IV. PURPOSE………………………………………………………………..…… P6 V. EXPLANATION
OF TERMS A. Acronyms…………………………………………………………….… P7 B. Definitions……………………………………………………………… P7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... P10 B. Assumptions………………………………………………………
……P10 VII. CONCEPTS OF OPERATIONS A. General……………………………………………………………….... P11 B. Overview of Mitigation Process………………………………………P12 C. Pre-& Post-Event Relationships……………………...…………….. P12
D. Phases of Management……………………………………………… P13 E. Local Hazard Mitigation Team………………………………………. P14 F. Local Hazard Analysis………………………………………….…….. P15 G. Mitigation Action Plan…………………………………………..…….
P15 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………… P16 B. Assignment of Responsibilities……………………………………… P17 Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P5 ANNEX P (HAZARD MITIGATION) IX. Coordination A. General………………………………………………………………… P18 B. Lines of Succession……..……………………….……………………
P18 X. ADMINISTRATION & SUPPORT A. Records & Reports…………………………………………............... P19 B. Release & Distribution of Information………………………………. P20 XI. ANNEX DEVELOPMENT & MAINTENANCE…………………….………..P20
ATTACHMENTS C. Notice of Interest and Hazard Mitigation Team Report………...…… P21 Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P6 ANNEX P: HAZARD MITIGATION I. PRIMARY AGENCIES Gallatin County Emergency Management II. SUPPORTING AGENCIES All Jurisdictions
III. AUTHORITY A. FEDERAL Name Description Legal Emergency Management & Assistance Mitigation Planning 44 CFR 201 B. STATE Name Description Legal C. LOCAL Name Description Legal Gallatin
County Mitigation Plan Adoption Resolution GCR 2006-017 IV. PURPOSE 1) The purpose of this annex is to define the organization, operational concepts, responsibilities, and procedures
necessary for the organization of the local Hazard Mitigation Team (HMT). 2) This annex addresses mitigation as a long-term, on-going process, and Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P7 ANNEX P (HAZARD MITIGATION) identifies planning and implementation actions applicable to both pre-incident and post
incident situations. 3) This annex ensures that mitigation planning and implementation services address and are provided to the entire area of responsibility covered in the Gallatin
County Emergency Management Plan. 4) This annex explains our active partnership and participation in mitigation planning and implementation activities. V. EXPLANATION OF TERMS A. ACRONYMS
AOR Area of Responsibility B/C Benefit/Cost FMA Flood Mitigation Assistance Program GCCC Gallatin County Coordination Center GIS Geographical Information System GPS Global Positioning
System HMGP Hazard Mitigation Grant Program HMC Hazard Mitigation Coordinator HMT Hazard Mitigation Team MAP Mitigation Action Plan NFIP National Flood Insurance Program PA Public Assistance
(Program) PDM Pre-Disaster Mitigation Program SOP Standard Operating Procedures B. DEFINITIONS Appropriate Mitigation Measures Mitigation actions that balance the cost of implementation
against the potential cost of continued damages if such measures are not taken. Mitigation measures should be less costly to implement than the damages they are intended to prevent.
Floodplain management, acquisition of flood prone property, enhanced insurance coverage, and the adoption and enforcement of safe land use regulations and construction standards are
considered as highly appropriate mitigation actions. Area of Responsibility The entire area covered by the comprehensive Emergency Management Plan. Benefit/Cost The ratio between the
costs of implementing a mitigation project versus the benefits (amount of future cost savings) potentially achieved. Projects funded Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P8 under HMGP or PDM must have a B/C of 1 to 1 or greater. Disaster Resistant Community A community-based initiative
that seeks to reduce vulnerability to natural hazards for the entire designated area through mitigation actions. This approach requires cooperation between government agencies, volunteer
groups, individuals, and the business sectors of a community to implement effective mitigation strategies. Hazard Analysis A document that provides a risk based quantitative method of
determining mitigation and preparedness priorities and consists of a hazard assessment, vulnerability assessment, and risk assessment. A Hazard Analysis identifies vulnerabilities and
risks within each sector of the community and is a living document that is reviewed and updated annually Hazard Mitigation Sustained actions taken to eliminate or reduce long-term risk
to people and property from hazards and their effects. The goal of mitigation is to save lives and reduce damages to property, infrastructure, and the environment and, consequently to
minimize the costs of future disaster response and recovery activities. Hazard Mitigation Grants There are three federal mitigation grant programs that provide federal cost-share funds
to develop and implement vulnerability and risk reduction actions: 1) Flood Mitigation Assistance Program (FMA) provides pre-disaster grants to state and local governments for both planning
and implementation of mitigation strategies. Each state is awarded a minimum level of funding that may be increased depending upon the number of National Flood Insurance Program (NFIP)
policies in force and repetitive claims paid. Grant funds are made available from NFIP insurance premiums, and therefore are only available to communities participating in the NFIP.
2) Hazard Mitigation Grant Program (HMGP), authorized under Section 404 of the Stafford Act, provides funding for cost-effective post-disaster hazard mitigation projects that reduce
the future potential of loss of life and property damage. 3) Pre-Disaster Mitigation Program (PDM), authorized by Section 203 of the Stafford Act as amended by the Disaster Mitigation
Act (DMA) of 2000 (Public Law 106-390), provides a means to fund pre-disaster hazard mitigation actions specifically designed to eliminate or reduce the consequences of future disasters.
The PDM’s focus is: (1) to prevent future losses of lives and property due to hazards and (2) to implement State or local hazard mitigation plans. Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P9 ANNEX P (HAZARD MITIGATION) Local Hazard Mitigation Team (HMT) A multi-disciplined organization composed of representatives
of mutually supporting organizations and agencies from local governments and the private, public, and civic sectors. Members of the HMT meet regularly to evaluate hazards, identify strategies,
coordinate resources and implement measures that will reduce the vulnerability of people and property to damage from hazards. The HMT is a partnership to support and participate in activities,
determine and implement methods, and commit resources to reduce the community’s level of risk. Team membership is listed in Attachment A to this annex. Mitigation Action Plan (MAP) A
document that outlines the nature and extent of vulnerability and risk from natural and man-made hazards present in a jurisdiction and the actions required to minimize the effects of
those hazards. A mitigation action plan also describes how prioritized mitigation measures will be funded and when they will be implemented. MAPs must be formally adopted by city ordinance,
Commissioners Court order, and/or joint resolution. DMA 2000 (Public Law 106-390) requires jurisdictions to have a FEMA-approved MAP or be signatories to a regional plan not later than
November 1, 2004, or they will not be eligible for mitigation grant funds for mitigation projects. Public Assistance Program For the purposes of this annex, this refers to disaster recovery
grants authorized under Section 406 of the Stafford Act to repair the damages to public facilities following a major disaster declaration. PL 106-390 requires mitigation components be
added to repair projects to reduce repetitive damages. Risk Factors A group of identifiable facts and assumptions concerning the impact of specific or associated hazards. An analysis
of interrelated risk factors provides a means to determine the degree (magnitude) of risk produced by a particular hazard or an incident and, consequently, provides a means to determine
the priority of mitigation planning and implementation activities. A sample listing of risk factors are as follows: 1) Number of previous events involving this hazard. 2) Probability
of future events occurring that involves this hazard. 3) Number of people killed or injured during previous events and number of people potentially at risk from future events involving
this hazard. 4) Damages to homes, businesses, public facilities, special-needs facilities, and unique historic or cultural resources, crops, livestock that have been caused Redacted
Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P10 by previous events or are potentially at risk from future events involving this hazard. 5) Capabilities and shortfalls
of emergency management organization to effectively respond to emergency situations involving this hazard. 6) Recovery activities needed to return jurisdiction to pre-event status. The
recovery process involves not only time requirements, but also the associated costs to repair damages, restore services, and return economic stability after occurrence of the event.
Sectoring Dividing the community into manageable geographic segments for defining specific types of information concerning what is vulnerable and at risk in each sector. Sectioning facilitates
mitigation and preparedness planning as well as response, search and rescue, and damage assessment operations. Sustainable Development Managed community growth that meets the needs of
the present without jeopardizing the needs of future generations. Sustainable development considers the impact of hazards on the community in the years ahead. VI. SITUATION & ASSUMPTIONS
A. SITUATION 1) Our current Hazard Analysis indicates we are vulnerable and at risk from hazards that have caused, or have the potential for causing, loss of lives, personal injuries,
and/or extensive property damage. We have suffered incidents, emergencies, and disasters in the past and are still vulnerable and at risk from future similar occurrences. 2) Our area
of responsibility has been divided into sectors to facilitate the collection of vulnerability and risk data, and for conducting damage assessment operations. 3) Our local HMT has been
appointed and is operational under the leadership of our Hazard Mitigation Coordinator (HMC). 4) Our Mitigation Action Plan (MAP) is a county plan and meets Montana planning standards
for mitigation and has been formally adopted by the County Commission and has been approved by FEMA. B. ASSUMPTIONS Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P11 ANNEX P (HAZARD MITIGATION) 1) Exposure to risk from hazards exists whether or not an incident actually occurs. 2)
The adverse impact of hazards can be directly affected by hazard mitigation action accomplished prior to occurrence of an emergency situation. Effective post-event mitigation actions
can also reduce the risk of repeat disasters. 3) Hazard mitigation planning and implementation activities are an on-going program process and are an integral and complimentary part of
our comprehensive emergency management program. 4) Mitigation actions to save lives and reduce damages can be achieved through properly coordinated group efforts. These efforts will
require the cooperation of various levels of government and will be enhanced by the involvement and partnership of talented individuals with expertise in varying disciplines from both
the public and private sectors. 5) The effective, long-term reduction of risks is a goal and responsibility shared by all residents. VII. CONCEPT OF OPERATIONS A. GENERAL 1) This annex
is not intended to describe in detail all aspects of our mitigation program. The achievement of hazard mitigation objectives is a high governmental priority, and all departments will
seek out and implement risk reduction measures. 2) The Hazard Mitigation Coordinator (HMC) is responsible for the coordination of all mitigation activities of this jurisdiction. To achieve
mitigation objectives, the HMC will be assisted by a HMT composed of public and private sector partners that represent the local population. 3) The data collection process described
in this annex provides a systematic means to identify hazards and assess their impact on this jurisdiction and will facilitate the development and maintenance of our local Hazard Analysis.
4) The “Notice of Interest and Hazard Mitigation Team Report” provides a means to develop a multi-disciplined, on-going mitigation planning and implementation process and facilitates
the development and maintenance of our Mitigation Action Plan by the HMT. It also facilitates the development, and expedited submission of applications for mitigation grants to implement
mitigation projects. 5) Consistent with capabilities, the Division of Emergency Management (DEM) Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P12 and the state will provide coordination, technical assistance, and guidance to help us achieve effective risk reduction
objectives. 6) Our mitigation planning and implementation process is intended to facilitate the identification and implementation of appropriate mitigation actions. This process, in
turn, facilitates the development of a joint federal, state, and local government partnership dedicated to the achievement of effective risk reduction objectives. 7) Consistent with
capabilities, the HMC and members of the HMT will participate in appropriate training and exercises related to their hazard mitigation responsibilities. 8) Consistent with capabilities,
we will utilize the most current information and guidance provided by DEM to include web-based assistance available via the Internet. B. OVERVIEW OF MITIGATION PROCESS 1) Hazard mitigation
is an on-going process that begins with the establishment of a local based planning group referred to as the local HMT. 2) The team’s first job is development of the local Hazard Analysis
that provides a means for prioritizing mitigation and preparedness needs based on levels of vulnerability and risk. 3) The next step in the process is the development of our Mitigation
Action Plan that defines specific mitigation measures designed to address the needs identified in the hazard analysis, to include actions that are to be taken, who will take them, how
much they will cost, and how they will be funded. 4) The next step is to implement the measures identified in the Mitigation Action Plan using a variety of funding sources identified
through an on-going and active search for funding opportunities. 5) The final step is to monitor and evaluate the effectiveness of implemented mitigation measures and to repeat the process-review
and update the Hazard Analysis and the Mitigation Action Plan, continue the active search for funding opportunities, implement mitigation measures consistent with availability of funds,
and monitor and evaluate their effectiveness. C. PRE-& POST-EVENT RELATIONSHIPS 1) Hazard mitigation is not only a response to an event and a known hazard but are a active search for
ways to prevent or reduce the impact from newly discovered hazards. The mitigation process is long-term in nature and, Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P13 ANNEX P (HAZARD MITIGATION) therefore, is an on-going element of the emergency management program that directly influences
preparedness, response, and recovery requirements. Mitigation activities can be initiated at any time but are classified as either pre-event or post-event actions. These actions are
not mutually exclusive and will be merged into a coordinated, continuous mitigation process. 2) Pre-Event Mitigation takes place prior to the occurrence of an emergency situation. This
time frame provides a more relaxed atmosphere for the development and implementation of long-term, multi-hazard oriented mitigation measures and is the most appropriate for reducing
risks and potential damages. 3) Post-Event Mitigation takes place after an emergency situation has occurred and already adversely affected this jurisdiction. These activities are a response
and are too late to prevent or reduce impacts already suffered. Heightened hazard awareness awareness and a desire for speedy recovery, provide an emphasis for conducting mitigation
activities during this time frame, which can be very effective in reducing potential damages from future events. D. PHASES OF MANAGEMENT Hazard mitigation actions are an on-going process
and are more appropriately classified and associated with the time frames before, during, and after occurrence of an emergency situation caused by a hazard. The following is a sequenced
set of actions that should be taken by the HMT during each time frame: 1) Pre-Event Period a) Develop and maintain a Hazard Analysis b) Develop and maintain a Mitigation Action Plan
c) Apply for grants and loans to conduct studies and implement mitigation projects d) Conduct studies and implement mitigation projects e) Provide vulnerability and risk data for use
in community development planning, exercise design, emergency preparedness planning, and floodplain management 2) Incident Response Period a) Assist decision makers and emergency responders
better understand potential impact consequences and emergency response needs by Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P14 providing detailed vulnerability and risk data for all sectors impacted or likely to be impacted by the incident
b) Assist decision makers and emergency responders answer “What if” questions through use of appropriate real-time and model based damage assessment tools such as DERC, HAZUS, and other
programs 3) Post-Incident Period a) Conduct site surveys to record damage “Footprint” and record and map high-water marks and other benchmarks to verify inputs and results of damage
assessment tools. Inspect and evaluate effectiveness of previously implemented mitigation measures. Evaluate accuracy of floodplain maps and studies and identify any mapping needs. b)
Complete Hazard Mitigation Team Reports based on observations
and findings from site inspections. Begin development of potential mitigation project application(s) based on team reports. c) Provide assistance to decision makers for prioritization
of damage assessment operations, conducting substantial damage determinations, and preparation of request for a state and/or federal disaster declaration by providing detailed incident
impact data. d) Provide assistance to state and federal mitigation team activities once a disaster is declared e) Assist designated Local Project Officer(s) prepare and submit Hazard
Mitigation Grant Program (HMGP) Notice of Interest(s) (NOIs), and application(s), and monitor Public Assistance (PA) projects for inclusion of mitigation components once a state or federal
disaster is declared. f) Review Hazard Mitigation Team Reports and update hazard analysis and mitigation action plan g) Assist designated Local Project Officer(s) in implementing projects
and administer HMGP and other mitigation grant programs E. LOCAL HAZARD MITIGATION TEAM 1) Members of the HMT provide a multi-disciplined, local capability to identify mitigation opportunities
and implement mitigation measures in both a preevent and post-event situation. [Our HMT has primary responsibility for Redacted Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P15 ANNEX P (HAZARD MITIGATION) mitigation activities for our jurisdiction, but also provides representatives to and
actively participates in [countywide, regional] mitigation action planning.] 2) The HMT is not viewed as an organization with rigid membership and regular duties, but rather one of flexible
membership whose makeup and duties are dependent upon the particular mitigation activity under consideration. This flexibility allows the HMC to tailor the group to meet the situation
while insuring the involvement of appropriate individuals from the community. 3) The HMT are the local experts that understand local concerns, issues, and capabilities to achieve local
mitigation goals and objectives. The HMT, under the leadership and coordination of the HMC, is collectively responsible for development, distribution, and maintenance of the local Hazard
Analysis, Mitigation Action Plan, and this annex. 4) In the event of a Presidential or State Major Disaster Declaration for this jurisdiction, the HMC and Team will provide assistance
to the federal and state HMT and will assist in conducting damage and effectiveness assessments, and the identification and implementation of appropriate hazard mitigation measures for
the jurisdiction(s). 5) The HMC and the Team will also be responsible for providing assistance necessary for submission and administration of HMGP and PDM grants. F. LOCAL HAZARD ANALYSIS
1) Our Hazard Analysis was developed through a joint effort of our HMT [and our countywide, regional mitigation action planning partners]. It is a stand alone product consisting of maps,
databases, charts, atlases, and other supporting documentation that is reviewed and updated at least annually by the HMC with assistance from the HMT. The analysis provides a risk-based
quantitative method to prioritize mitigation and preparedness needs for the jurisdiction as a whole. 2) Our analysis has been distributed to all appropriate agencies/organizations, and
additional copies are available from the HMC. G. MITIGATION ACTION PLAN 1) Our Mitigation Action Plan is reviewed annually and updated at least every five years by the HMC with assistance
from members of the HMT and other partners. Our mitigation action plan outlines our mitigation goals, our risk reduction strategy for each of the significant hazards that threaten our
area of responsibility, and a discussion of on-going risk reduction activities. 2) Our plan also details what is to be done, how much it will cost, who will be Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P16 responsible for the action, how it will be funded, and provides an implementation schedule. It is an action plan
for accomplishment of vulnerability and risk reduction measures for our area of responsibility. 3) Our plan supplements, and is in concert with the State of Montana Hazard Mitigation
Plan, and focuses on mitigation actions that affect our area of responsibility. Our plan meets state planning standards for mitigation, Section 201 CFR 44 requirements, and has been
approved by FEMA and adopted by the County Commission. Copies have been distributed to all appropriate agencies/organizations, and additional copies are available from the HMC. VIII.
ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Hazard mitigation is a function that requires the coordination of a variety of multi-disciplined on-going activities.
The PEO is responsible for the overall emergency management program and has designated Gallatin County Emergency Management as the agency with primary responsibility for hazard mitigation.
The EMC has been designated as the HMC and serves as the single manager/coordinator for this function for this jurisdiction. 2) The HMT consists primarily of representatives of local
government but also includes partners that represent industry and the private sector. Individual team members and functional areas of expertise are listed in Attachment A. The HMT provides
a pool of local people with skills in the wide variety of disciplines that may be required to achieve effective hazard mitigation objectives. The PEO appoints supporting agencies and
organizations to provide representatives to the HMT, and the HMC serves as team leader and functional manager. 3) The HMT organization provides the flexibility to involve all team members
in the problem solving process, or to involve only those team members who possess the specific skills needed to mitigate a hazard specific condition. 4) The PEO will designate individuals
to serve as local applicant’s project officer to administer Hazard Mitigation Grant Program (HMGP) applications and projects. The local project officer(s) will serve as the single point
of contact for the jurisdiction and coordinate with designated state mitigation project officers. Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P17 ANNEX P (HAZARD MITIGATION) B. ASSIGNMENT OF RESPONSIBILITIES 1) The PEO will: a) Appoint an agency to exercise primary
responsibility to coordinate hazard mitigation activities and an individual to serve as HMC. b) Appoint support agencies and organizations to provide representation to the HMT. c) Appoint
local Project Officer(s) to administer HMGP and other mitigation applications and projects. 2) The Hazard Mitigation Coordinator will: a) Coordinate all hazard mitigation related activities
of this jurisdiction, to include development, distribution, and maintenance of the local Hazard Analysis, Mitigation Action Plan, and this annex. b) Assist in selecting supporting agencies
and individual members of the HMT, assign tasks, and manage the various activities of the team so as to accomplish mitigation functional responsibilities for the jurisdiction. c) Insure
development, distribution and retention of mitigation reports, records and associated correspondence, and manage implementation of appropriate mitigation measures. d) Serve as point
of contact and provide local assistance for federal, state, and county level mitigation program and planning activities. e) Develop SOPs for compiling information, determining priority
of efforts, preparing reports, and monitoring implementation and effectiveness of mitigation measures. f) Maintain this annex and insure that all component parts are updated and contain
current data. g) Provide assistance to the designated local Project Officer(s) responsible for administering mitigation program grants such as HMGP and PDM, and for reviewing PA projects
for inclusion of appropriate mitigation measures. h) Conduct or assist in annual reviews and scheduled updates of [city, countywide, regional] mitigation action plan. Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P18 i) Periodically review, download, and utilize the most current guidance material from the DEM website. 3) Hazard
Mitigation Team members will: a) Assist in the accomplishment of team objectives as assigned by the HMC. b) Provide technical assistance and functional expertise in disciplines as assigned.
c) Assist the HMC in developing, distributing, and maintaining the local Hazard Analysis, this annex, and local Project Officer(s) administer mitigation program grants. d) Conduct or
assist in annual reviews and scheduled updates of the mitigation action plan. e) Provide assistance to the designated local Project Officer(s) responsible for administering mitigation
program grants such as HMGP and PDM. 4) Local Project Officer(s) will: a) Serve as single point of contact and administer HMGP, PDM, and other mitigation program applications and projects.
b) Coordinate with designated state mitigation project officer(s). IX. COORDINATION A. GENERAL GENERAL The HMC will manage the activities of the HMT and coordinate all hazard mitigation
related activities of this jurisdiction. B. LINES OF SUCCESSION 1) Lines of succession for the HMC will be in accordance with the Gallatin County Emergency Management SOP. 2) Lines of
succession for HMT members will be in accordance with their parent organization’s established SOP. 3) The PEO will appoint successors for unaffiliated individual team members. Redacted
Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P19 ANNEX P (HAZARD MITIGATION) X. ADMINISTRATION & SUPPORT A. RECORDS & REPORTS 1) The EMC maintains records of previous
hazard events and disaster declarations. These records contain data pertinent to risk factor analysis and, consequently, aid in the determination of mitigation requirements. Risk factor
analysis provides a means to determine significant levels of risk or significant hazard events that require initiation of a Hazard Mitigation Team Report. 2) A listing of mitigation-related
documents on file pertaining to this jurisdiction is provided in Attachment B. This record provides a listing of reference documents to be maintained and utilized as an aid to identify
vulnerability and risks impacts and accomplish mitigation objectives. 3) The “Notice of Interest and Hazard Mitigation Team Report” provides a means to: a) Identify, record, and coordinate
ongoing mitigation planning and implementation activities. b) Facilitate the identification of mitigation opportunities and the development of an action plan and implementation schedule.
c) Document mitigation opportunities discovered during the damage assessment process following occurrence of emergency situations. d) Document and facilitate the implementation of findings
and recommendations identified in the Hazard Analysis, land use, development, flood control, or other special comprehensive studies. e) Provide a means to increase inter-governmental
participation in the mitigation process through exchange of ideas, technical assistance and guidance. 4) This report is a component of our Mitigation Action Plan, and is also used to
notify the state of our interest in applying for a mitigation program grant. This form may be found in Appendix 3 to this annex. 5) The instructions for completing the “Notice of Interest
and Hazard Mitigation Team Report” are located in Attachment C to this annex. 6) Additional reports to evaluate effectiveness and monitor long-term implementation measures will be prepared
as needed. Records pertaining to loans and grant programs will be maintained in accordance with applicable Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P20 program rules and regulations. B. RELEASE & DISTRIBUTION OF INFORMATION 1) Completed Hazard Mitigation Team Reports,
the Hazard Analysis, and the Mitigation Action Plan will be presented to the PEO’s for review, approval, adoption, and implementation. 2) Completed reports, historical records, and associated
correspondence will be maintained and utilized as a management tool for the continued development of a mitigation strategy for this jurisdiction. XI. ANNEX DEVELOPMENT & MAINTENANCE
1) The HMC has overall responsibility for the development and maintenance of all components of this annex, to include reports, records, SOPs, and associated correspondence files. 2)
The HMC, with assistance from the HMT and in conjunction with the Emergency Management Coordinator, will ensure that copies of this annex are distributed to all HMT members, all jurisdictions
within the area of responsibility, DES, and other agencies/organizations, as appropriate. Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P21 ANNEX P (HAZARD MITIGATION) ATTACHMENT C NOTICE OF INTEREST AND HAZARD MITIGATION REPORT Jurisdiction: County: Date:
1. Hazard Mitigation Coordinator/Project Officer: Address: Phone#: Fax#: E-mail: 2. Impact Area: 3. Hazard Identification: 4. Incident Period: 5. Number of Previous Events Involving
this Hazard: 6. Number of Residents at Risk from this Hazard: 7. Background and Discussion: 8. Hazard Mitigation Team Recommendations: Work Element # 1 Mitigation Action: Lead Agency:
Estimated Cost: Funding Method: Schedule: Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P22 CONTINUATION SHEET (Use this and additional pages as needed to detail multiple work elements) Work Element # __ Mitigation
Action: Lead Agency: Estimated Cost: Funding Method: Schedule: Work Element # __ Mitigation Action: Lead Agency: Estimated Cost: Funding Method: Schedule: Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P23 ANNEX P (HAZARD MITIGATION) MITIGATION JOB AID #1: INSTRUCTIONS FOR COMPLETING NOI/MITIGATION TEAM REPORT A. General
The “Notice of Interest and Hazard Mitigation Team Report” discussed in Annex P is concerned with one basic goal: to assist in the identification and implementation of mitigation actions
that will eliminate, or at least reduce, the potential for future losses. The report is designed for use to conduct and record an initial survey of an impacted disaster area and facilitate
the identification of causes and mitigation opportunities. The report provides the basis for development of a coordinated Mitigation Action Plan (MAP) and a Notice of Interest (NOI)
to apply for federal and state funds to implement hazard mitigation actions. The mitigation report is primarily a response action following a disaster or significant event, however,
the process will also be used to document mitigation opportunities identified in findings or recommendations of special comprehensive studies, and for review and update of the Hazard
Analysis and Mitigation Action Plan. This report identifies mitigation opportunities and addresses them as work elements to be accomplished. The various work elements contained in the
report constitute the actions necessary to reduce risk within the designated impact area. It is recommended that the report be prepared no later than 15 working days following a significant
event. The report will also be prepared any time an analysis of risk factors indicates a significant level of risk, or opportunities for mitigation actions are identified. A separate
report should be completed for each individual proposed mitigation project. B. Following is an explanation of the components of the report: Item 1. Hazard Mitigation Coordinator/Project
Officer: [Identify the person responsible for completing the report and serving as the single point of contact concerning the project. This person represents our jurisdiction and works
directly directly with the state project officer to manage and administer this project.] 2. Impact Area: [Identify area or areas impacted by incident/disaster-focus on affected area
such as a specific sub division, a section of property along a creek or drainage ditch, or a specific structure such as a building or bridge or culvert etc. This could also identify
a vulnerable area potentially at risk such as a designated hurricane risk area, floodway, floodplain, dam failure inundation zone, high erosion or subsidence area, vulnerability zone,
etc.] 3. Hazard Identification: Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P24 [Identify specific hazard(s) addressed in this report. For example – severe thunderstorms with flooding from Hurricane
Allen, wind damage from a tornado, dam failure and downstream flooding, surge flooding from hurricanes, etc.] 4. Incident Periods: [Identify time(s) and date(s) of incident/disaster.
If report is prepared prior to an incident/disaster, use “Pre-Incident Report” for this entry.] 5. Number of Previous Events Involving This Hazard: [Identify the number of events caused
by this hazard in the time frame for which records are available. For example, two (2) events in 1986, five (5) events from 1983 to present, etc.] 6. Number of Residents at Risk from
this Hazard: [Identify the number of people at risk in the above identified impact area, or the specific facility. Focus on information pertaining to the proposed problem and recommended
actions --include information such as number of families, housing units, and special needs population affected by incident, or at risk from a potential incident.] Background and Discussion:
[Explain the problem and what benefits will be derived once problem is corrected] [Briefly describe what happened, or what could possibly happen, and the real cause of the problem. A
flood is a hazard, but what really caused it to flood this sub-division or this part of town, and why was it so bad this time? Perhaps drainage ditches overflowed because excessive vegetation
impeded water flow, or flood control gates were rusty and inoperable, or increased run-off from new development has increased the area vulnerable to floods, etc. If possible, identify
specific conditions that directly contributed to impact of incident/disaster] [If this is a pre-event situation explain how the problem was identified and why it is important to resolve-explain
the problem and how the recommended actions will correct it. If actions are to implement recommendations or findings in a hazard analysis, atlas, or other comprehensive study, study,
identify and discuss the source documents-this will strengthen and reinforce the need to implement your recommend mitigation actions.] Hazard Mitigation Team Recommendation: Work Element
#: [This section of the report is a listing of specific step by step actions to be accomplished that will eliminate, or at least reduce the impact of this hazard. This section is essentially
an implementation strategy of mitigation actions that will reduce risk and vulnerability levels within this impact area. Each “Work Element” is a numbered separate task that identifies
a specific mitigation action along with a discussion of the means to be employed to accomplish the action. The number of work elements (i.e., mitigation Redacted Version
Gallatin County EMP, Annex P (Hazard Mitigation), 05/18/11, Page P25 ANNEX P (HAZARD MITIGATION) actions) developed for each report will be determined by the HMC and will be based on
the nature of the hazard, and the complexity of the recommended solution.] Each work element is a proposed task to be accomplished to complete a single project. Each proposed project
may have multiple work elements and each proposed project requires a separate team report. Mitigation Action: [Identify specific actions that, if accomplished, will reduce vulnerability
and risk in the impact area. Actions should be listed in implementation sequence so they constitute a step by step action plan to achieve mitigation objectives. As an example, you may
want to identify the number and value of structures at risk in a particular subdivision; and then apply for environmental and historical preservation clearances; and then develop a land
use plan; and then determine availability of grants; and then invite property owners to participate; participate; and then apply for a grant; etc. All of the actions are needed and collectively
will provide a way to reduce vulnerabilities and risks. Most mitigation projects consist of a number of interrelated and coordinated mitigation actions accomplished through a step by
step process.] Lead Agency: [Identify the local agency or organization that is best suited to accomplish this action. In most cases the organizations represented on the HMT will be ideally
suited to accomplish specific mitigation actions.] Cost of Action: [Indicate what the cost will be to accomplish this action. This amount will, of course, have to be estimated until
actual final dollar amounts can be determined.] Funding Method: [Indicate how the cost to complete the action will be funded. For example – funds may be provided from existing operating
budgets, or from a previously established contingency fund, by voter endorsed bond action, or a cost sharing Federal or State grant, etc. Remember that various funding methods are available
available and that creative funding techniques may be necessary.] Schedule: [Indicate when action will begin, and when action is expected to be completed. Remember that some actions
will require only a minimum amount of time, while others may require a long-term continuing effort.] Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex Q : Hazardous Mater ials Redacted
Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Hazardous Materials Mitigation Preparedness Response Recovery ReadyGallatin.com The Hazardous Materials Annex describes
how incidents of this type are handled. The Gallatin County HazMat Team and Gallatin County Emergency Management are the lead organizations on this function. Gallatin County and the
City of Bozeman jointly host a hazardous materials response team for incidents within the county. The team is also one of six State Hazardous Materials Incident Response Teams operated
under the State Emergency Response Commission and is available to respond statewide in that capacity. This annex identifies how we categorize and respond to incidents involving hazardous
materials. Spill reporting and the responsibilities of the responsible party are outlined. Hazardous materials incidents are different than most incidents in that the party responsible
for the spill in liable for all costs associated with the incident. As such, it is important that accurate records be maintained. The Montana Code Annotated requires counties and municipalities
to identify a Local Emergency Response Authority for hazardous materials incidents. This annex designates this responsibility to the fire service, and the Sheriff in areas not covered
by a fire agency. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q2 APPROVAL & IMPLEMENTATION ANNEX Q: HAZARDOUS MATERIALS This annex is hereby approved. This annex is effective immediately
and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q3 ANNEX Q (HAZARDOUS MATERIALS) RECORD OF CHANGES ANNEX Q: HAZARDOUS MATERIALS Date of Change Date Entered Change
Entered By 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q4 TABLE OF CONTENTS I. PRIMARY AGENCIES……………………………………………………...…. Q6 II. SUPPORTING AGENCIES………………………………………………….. Q6
III. AUTHORITY A. Federal……………………………………………………………….... Q6 B. State……………………………………………………………………. Q6 C. Local…………………………………………………………………… Q6 IV. PURPOSE………………………………………………………………..……Q7 V. EXPLANATION
OF TERMS A. Acronyms…………………………………………………………….… Q7 B. Definitions……………………………………………………………… Q7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... Q12 B. Assumptions………………………………………………………
……Q13 VII. CONCEPTS OF OPERATIONS A. Prevention………………………………………………………………Q14 B. Preparedness…………………………………………………….…… Q14 C. Response……………………………………………………………… Q15 D. Recovery……………………………………………………………….
Q18 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. General………………………………………………………………… Q19 B. Assignment of Responsibilities……………………………………… Q19 IX. Coordination A. General……………………………………………………………
…… Q24 B. Specific……..……………………….…………………………….…… Q25 Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q5 ANNEX Q (HAZARDOUS MATERIALS) X. ADMINISTRATION & SUPPORT A. Support………………………………………….................................
Q25 B. Hazardous Materials Incident Report ……………………………… Q25 C. Resources…………………………………………………………...… Q26 D. Documentation & Cost Recovery……………………………...…… Q26 E. Post-Incident Review………………………………………….………
Q27 F. Training………………………………………………………………… Q27 G. Personal Protective Equipment………………………………...…… Q27 H. Plan Testing & Correction…………………………………………….Q27 I. Communications…………………………………………………..……
Q27 XI. ANNEX DEVELOPMENT & MAINTENANCE………………….………… Q28 ATTACHMENTS A. General HazMat Response Checklist…………………….……..……Q29 B. Hazardous Materials Incident Report……………………...………… Q32 C.
Response Personnel Safety…………………….……………….…… Q34 D. Protective Actions for the Public…………………….……………….. Q37 E. Gallatin County Hazardous Materials Team……….………..….…… Q40 F. State Hazardous
Materials Incident Response Teams………………Q41 Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q6 ANNEX Q: HAZARDOUS MATERIALS I. PRIMARY AGENCIES , Gallatin County Hazmat, Gallatin County Emergency Management
II. SUPPORTING AGENCIES Health Department III. AUTHORITY A. FEDERAL Name Description Legal Comprehensive Environmental Response, Compensation, and Liability Act CERCLA 42 USC §9601 et
seq. (1980) Emergency Planning & Community Right-to-Know Act SARA Title III 42 USC §1101 et seq. (1986) B. STATE Name Description Legal Response to Hazardous Material Incidents MCA 10-3-12
Local Emergency Response Authority Designation of Authority MCA 10-3-1208 Cost recovery and civil remedies Orphaned Chemicals MCA 10-3-1216 C. LOCAL Name Description Legal Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q7 ANNEX Q (HAZARDOUS MATERIALS) IV. PURPOSE This annex establishes the policies and procedures under which Gallatin
County will operate in the event of a hazardous material incident or oil spill. It defines the roles, responsibilities, and organizational relationships of government agencies and private
entities in responding to and recovering from an oil spill or incident involving the transport, use, storage, or processing of hazardous material. V. EXPLANATION OF TERMS A. ACRONYMS
CAA Clean Air Act CERCLA Comprehensive Environmental Response, Compensation and Liability Act of 1980 CHEMTREC Chemical Transportation Emergency Center DPS Department of Public Safety
DPPHS Department of Public Health & Human Services EHS Extremely Hazardous Substances EMC Emergency Management Coordinator EPCRA Emergency Planning, Community Right-to-Know Act of 1986
ERG Emergency Response Guide (U.S. Department of Transportation) ICS Incident Command System ICP Incident Command Post LEPC Local Emergency Planning Committee MSDS Material Safety Data
Sheet NIMS National Incident Management System NRC National Response Center NRP National Response Plan OSHA Occupational Safety and Health Administration PPE Personal Protective Equipment
RCRA Resource Conservation and Recovery Act RMP Risk Management Plan RRC Railroad Commission RRT Regional Response Team SARA III Superfund Amendments and Reauthorization Act of 1986,
Title III (Also known as EPCRA) SERC State Emergency Response Commission SERT State Emergency Response Team SOC State Operation Center SONS Spill of National Significance SOP Standard
Operating Procedures B. DEFINITIONS Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q8 Accident Site The location of an unexpected occurrence, failure, or loss, either at a regulated facility or along
a transport route, resulting in a release of listed chemicals. Acute Exposure Exposures to a chemical substance of a duration that will result in adverse physical symptoms. Acutely Toxic
Chemical Chemicals which can cause both severe, short term, and long-term health effects after a single brief exposure of short duration. These chemicals can cause damage to living tissue,
impairment of the central nervous system,
and severe illness. In extreme cases, death can occur when ingested, inhaled, or absorbed through the skin. CHEM-TEL Provides emergency response organizations with a 24-hour phone response
for chemical emergencies. CHEM-TEL is a private company listed in the Emergency Response Guidebook. CHEMTREC The Chemical Transportation Emergency Center (CHEMTREC) is a centralized
tollfree telephone service providing advice on the nature of chemicals and steps to be taken in handling the early stages of transportation emergencies where hazardous chemicals are
involved. Upon request, CHEMTREC may contact the shipper, National Response Center, and manufacturer of hazardous materials involved in the incident for additional detailed information
and appropriate follow-up action, including on-scene assistance when feasible. Cold Zone The area outside the Warm Zone (contamination reduction area) that is free from contaminants.
Extremely Hazardous Substances (EHS) Substances designated as such by the EPA pursuant to the Emergency Planning and Community Right-to-Know Act (EPCRA). EHS inventories above certain
threshold quantities must be reported annually to the SERC, LEPC, and local Fire Protection Agencies pursuant to Section 312 of EPCRA. EHS releases, which exceed certain quantities,
must be reported to the National Response Center, the SERC, and local agencies pursuant to Section 304 of EPCRA and state regulations. The roughly 360 EHS and pertinent reporting quantities
are listed in 40 CFR 355. Hazard Analysis Use of a model or methodology to estimate the movement of hazardous materials Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q9 ANNEX Q (HAZARDOUS MATERIALS) at a concentration level of concern from an accident site in order to determine which
portions of a community may be affected by a release of such materials. Hazardous Chemicals (HC) Chemicals, chemical mixtures, and other chemical products determined by US Occupational
Health and Safety Administration (OSHA) regulations to pose a physical or health hazard. No specific list of chemicals exists, but the existence of a Material Safety Data Sheet (MSDS)
for a product indicates it is a hazardous chemical. Facilities that maintain more than 10,000 pounds of a HC at any time are required to report inventories of such chemicals annually
to the SERC in accordance with TCRA. Hazardous Material A substance in a quantity or form posing an unreasonable risk to health, safety, and/or property when manufactured, stored, or
transported in commerce. A substance which by its nature, containment, and reactivity has the capability for inflicting harm during an accidental occurrence, characterized as being toxic,
corrosive, flammable, reactive, an irritant, or a strong sensitizer and thereby poses a threat to health and the environment when improperly managed. Includes EHSs, HSs, HCs, toxic substances,
certain infectious agents, radiological materials, and other related materials such as oil, used oil, petroleum products, and industrial solid waste substances. Hazardous Substance (HS)
Substances designated as such by the EPA pursuant to the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA). Facilities, which have more than 10,000 pounds
of any HS at any time, are required to report inventories of such substances annually to the SERC in accordance with TCRAs. HS releases above certain levels must be reported to the National
Response Center, the SERC, and local agencies pursuant to the CERCLA, Section 304 of EPCRA and state regulations. The roughly 720 HS and pertinent reporting quantities are listed in
40 CFR 302.4. Hot Zone The area surrounding a particular incident site where contamination does or may occur. All unauthorized personnel may be prohibited from entering this zone. Incident
Commander The overall coordinator of the response team responsible for on-site strategic decisions and actions throughout the response phase. The Incident Commander maintains close liaison
with the appropriate government agencies to obtain support and provide progress reports on each phase of the emergency response and must be trained to a minimum of operations level and
certified in the Incident Command System (ICS). Incident Command System Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q10 A standardized on-scene emergency management system specifically designed to provide for the adoption of an integrated
organizational structure that reflects the complexity and demands of single or multiple incidents without being hindered by jurisdictional boundaries. ICS is the combination of facilities,
equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. ICS is used
for all emergency responses and is applicable to small, as well as, large and complex incidents. ICS is used by various jurisdictions and functional agencies, both public and private,
and by organized field-level incident management. Incident of National Significance An actual or potential high-impact event that requires a coordinated and effective response by an
appropriate combination of federal, state, local, tribal, nongovernmental, and/or private sector entities in order to save lives and minimize danger, and provide the basis for long-term
community recovery and prevention activities. National Response Center (NRC) Interagency organization operated by the US Coast Guard that receives reports when reportable quantities
of dangerous goods and hazardous substances are spilled. After receiving notification of an incident, the NRC will immediately notify appropriate federal response agencies, which may
activate the Regional Response Team or the National Response Team. National Incident Management System (NIMS) The system mandated by HSPD-5 that provides a consistent nationwide approach
for Federal, State, local, and tribal governments; the private sector; and nongovernmental organizations to work effectively and efficiently together to prepare for, respond to, and
recover from domestic incidents, regardless of cause, size, or complexity, the NIMS includes a core set of concepts, principles, and terminology. On-Scene The total area that may be
impacted by a hazardous material incident. The onscene area is divided into mutually exclusive on-site and off-site areas. Plume A vapor cloud formation that has shape and buoyancy.
The cloud may be colorless, tasteless, odorless, and may not be visible to the human eye. Regulated Facility A plant site where handling/transferring, processing, and/or storage of chemicals
is performed. For the purposes of this annex, regulated facilities (1) produce, use, or store EHSs in quantities that exceed threshold planning quantities or (2) hold one or more HCs
in a quantity greater than 10,000 pounds at any time. Facilities that meet either criterion must annually report their inventories of such materials to the SERC, local LEPCs, and local
Fire Protection Agencies in accordance with TCRAs. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q11 ANNEX Q (HAZARDOUS MATERIALS) Reportable Quantity The minimum quantity of hazardous material released, discharged,
or spilled that must be reported to federal state and/or local authorities pursuant to statutes and regulations. Response The efforts to minimize the hazards created by an emergency
by protecting the people, environment, property, and returning the scene to normal pre-emergency conditions. Risk Management Plan (RMP) Pursuant to section 112r of the CAA, facilities
that produce, process, distribute, or store 140 toxic and flammable substances are required to have a RMP that includes a hazard assessment, accident prevention program, and emergency
response program. A summary of the RMP must be submitted electronically to the EPA. Spill of National Significance (SONS) A spill or discharge of oil or hazardous material, as defined
by the National Oil and Hazardous Substance Contingency Plan (NCP), that occurs either in an inland zone or a coastal zone that requires a response effort so complex that it requires
extraordinary coordination of federal, state, local, and other resources to contain or clean up. Authority to declare a SONS in an inland zone is granted to the EPA Administrator. For
discharges in a coastal zone the United States Coast Guard Commandant may declare a SONS. The Department of Homeland Security may classify a SONS as an Incident of National Significance.
Toxic Substances Substances believed to produce long-term adverse health effects. Facilities which manufacture or process more than 25,000 pounds of any designated toxic substance or
use more than 10,000 pounds of such substance during a year are required to report amounts released into the environment annually to the SERC and the EPA. This list of toxic substances
covered is contained in 40 CFR 372. Vulnerable Facilities Facilities which may be of particular concern during an hazmat incident because they: 1) Are institutions with special populations
that are particularly vulnerable or could require substantial assistance during an evacuation (schools, hospitals, nursing homes, day care centers, jails). 2) Fulfill essential population
support functions (power plants, water plants, the fire/police/EMS dispatch center). Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q12 3) Include large concentrations of people (shopping centers, recreation centers). Warm Zone An area over which
the airborne concentration of a chemical involved in an incident could reach a concentration that may cause serious health effects to anyone exposed to the substance for a short period
of time. VI. SITUATION & ASSUMPTIONS A. SITUATION 1) Hazardous materials are used, transported, and produced in the local area; hence, Hazmat incidents may occur here. 2) We have the
lead in the initial response to a Hazmat incident that occurs within this jurisdiction. Hazmat response resources are listed in Annex M, (Resource & Donations Management). 3) Although
radiological materials are considered hazardous materials in most classification schemes, detailed planning for incidents involving these materials are covered in Annex D (Radiological).
4) Vulnerable facilities potentially at risk from a Hazmat release are identified in Attachment E. 5) 5) Regulated facilities that may create a Hazmat risk in the local area are identified
in Attachment F. 6) Hazardous materials transportation routes that may pose a threat to the local area are identified in Attachment G. 7) Evacuation routes from risk areas surrounding
regulated facilities are described in Attachment H. 8) Pursuant to the EPCRA, Fire Protection Agency has the authority to request and receive information from regulated facilities on
hazardous material inventories and locations for planning purposes and may conduct an on-site inspection of such facilities. 9) If we are unable to cope with an emergency with our own
resources and those available through mutual aid, the state may provide assistance. When requested by the state, assistance may also be provided by federal agencies. 10) The Local Emergency
Planning Committee (LEPC) is responsible for providing assistance in hazardous materials planning. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q13 ANNEX Q (HAZARDOUS MATERIALS) 11) Emergency worker protection standards provide that personnel may not participate
in the response to a Hazmat incident unless they have been properly trained and are equipped with appropriate personal protective equipment. See Attachment C for more information. B.
ASSUMPTIONS 1) An accidental release of Hazmat could pose a threat to the local population or environment. A hazardous materials incident may be caused by or occur during another emergency,
such as flooding or a major fire. 2) A major transportation Hazmat incident may require the evacuation of citizens at any location within the county. 3) Regulated facilities will report
Hazmat inventories to local fire protection agencies and the All Hazards All Disciplines (LEPC) Group. 4) In the event of a Hazmat incident, regulated facilities and transportation companies
will promptly notify us of the incident and make recommendations to local emergency responders for containing the release and protecting the public. 5) In the event of a Hazmat incident,
we will determine appropriate protective action recommendations for the public, disseminate such recommendations, and implement them. 6) The length of time available to determine the
scope and magnitude of a hazmat incident will impact protective action recommendations. 7) During the course of an incident, wind shifts and other changes in weather conditions may necessitate
changes in protective action recommendations. 8) If an evacuation is recommended, typically 80 percent of the population in affected area will relocate voluntarily when advised to do
so by local authorities. Some residents will leave by routes other than those designated by emergency personnel as evacuation routes. Some residents of unaffected areas may also evacuate
spontaneously. People who evacuate may require shelter in a mass care facility. 9) Hazardous materials entering water or sewer systems may necessitate the shutdown of those systems.
10) The AHAD will assist Gallatin County in preparing and reviewing hazardous material response plans and procedures. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q14 VII. CONCEPT OF OPERATIONS A. PREVENTION Hazardous materials prevention is undertaken to reduce/prevent a threat
to lives and property during a Hazmat incident. Our hazardous materials prevention activities include: 1) We have performed a chemical hazard analysis to identify the types and quantities
of hazardous materials present in the community at fixed sites or on transportation routes, potential release situations, and possible impact on the local population. 2) We receive and
maintain data on the Hazmat inventories at local regulated facilities for use in emergency planning. Regulated facilities are identified in Attachment F to this annex. 3) Fire Protection
Agencies performs periodic inspection of facilities that produce, use, or store hazardous materials. 4) Monitors land use/zoning to ensure local officials are made aware of plans to
build or expand facilities that make, use, or store hazardous materials so the potential impact of such facilities can be assessed and minimized. B. PREPAREDNESS To enhance the preparedness
of its emergency responders and the public, we have: 1) Developed and conducted public education programs on chemical hazards and related protective actions. 2) Trained emergency personnel
to a level commensurate with Hazmat response duties and provided appropriate personal protective equipment. See Attachment C for more information. 3) Identified emergency response resources
for Hazmat incidents. See Annex M (Resource Management). 4) Developed standard operating procedures for Hazmat response and recovery. 5) Obtained Hazmat release modeling software program
and trained personnel in its use. 6) Met periodically with regulated facilities and known Hazmat transporters to Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q15 ANNEX Q (HAZARDOUS MATERIALS) ensure that company and local emergency plans are coordinated to the extent possible
and that emergency contact information is kept up-to-date. C. RESPONSE 1) Incident Classification. To facilitate the proper incident response, a three level incident classification scheme
will be used. The incident will be initially classified by the first responder on the scene and updated by the incident Commander as required. a) Level I – Incident. An incident is a
situation that is limited in scope and potential effects; involves a limited area and/or limited population; evacuation or sheltering in place is typically limited to the immediate area
of the incident; and warning and public instructions are conducted in the immediate area, not community-wide. This situation can normally be handled by one or two local response agencies
or departments acting under an Incident Commander (IC), and may require limited external assistance from other local response agencies or contractors. b) Level II – Emergency. An emergency
is a situation that is larger in scope and more severe in terms of actual or potential effects than an incident. It does or could involve a large area, significant population, or critical
facilities; require implementation of large-scale evacuation or sheltering in place and implementation of temporary shelter and mass care operations; and require community-wide warning
and public instructions. You may require a sizable multi-agency response operating under an IC; and some external assistance from other local response agencies, contractors, and limited
assistance from state and federal agencies. c) Level III – Disaster. A disaster involves the occurrence or threat of significant casualties and/or widespread property damage that is
beyond the capability of the local government to handle with its organic resources. It involves a large area, a sizable population, and/or critical resources; may require implementation
implementation of large-scale evacuation or sheltering in place and implementation of temporary shelter and mass care operations and requires a community-wide warning and public instructions.
This situation requires significant external assistance from other local response agencies, contractors, and extensive state or federal assistance. 2) Response Authority Designation
a. In compliance with MCA 10-3-1208 the Local Emergency Response Authority for hazardous materials incidents in Gallatin County is the full function fire protection agency that has jurisdiction
for the incident. These agencies consist of: Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q16 i. Rural Fire Districts ii. Fire Service Areas iii. Municipal Fire Departments b. In areas not covered by the above
agencies, the Gallatin County Sheriff is the Local Emergency Response Authority for hazardous materials incidents. 3) Initial Reporting a) It is anticipated that a citizen who discovers
a hazardous material incident will immediately notify the authorities through the 9-1-1 system and provide some information on the incident. b) Any public sector employee discovering
an incident involving the potential or actual release of hazardous material should immediately notify the 911 Communications Center and provide as much of the information required for
the Hazardous Materials Incident Report in Attachment B as possible. c) Operators of regulated facilities and Hazmat transportation systems are required by law to report certain types
of Hazmat releases. For Hazmat incidents occurring at regulated facilities, a facility representative at a regulated site is expected to immediately notify the 911 Communications Center
and provide information for a Hazardous Materials Incident Report; see Attachment B. d) Any responsible party for a reportable spill of a hazardous material (as defined by CERCLA or
Montana Statutes) is responsible for making the necessary notifications. Responsible parties that fail to report are subject to state and federal civil penalties. At a minimum these
should include: a. Montana Department of Environmental Quality b. National Response Center 4) Notification a) Upon receiving a Hazardous Materials Incident report, 911 Communications
Center will initiate responder notifications. 5) Response Activities a) The first firefighter or law enforcement officer on the scene should initiate the Incident Command System (ICS),
establish an Incident Command Post (ICP), and begin taking the actions listed in the General Hazmat Response Checklist in Attachment A. If the situation requires immediate action to
isolate the site and evacuate nearby residents, the Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q17 ANNEX Q (HAZARDOUS MATERIALS) first officer on the scene should advise the 911 Communications Center and begin
such actions. b) As other responders arrive, the senior firefighter will generally assume the role of IC for Hazmat emergencies and continue taking the actions listed in the General
Hazmat Response Checklist. c) The GCCC may be activated for a Level II (Emergency) response and will be activated for Level III (Disaster) response. d) ICP -GCCC Interface i. If the
GCCC is activated the IC and the GCCC shall agree on and implement an appropriate division of responsibilities for the actions listed in the General Hazmat Response Checklist. ii. Regular
communication between the ICP and the GCCC regarding checklist actions is required to ensure that critical actions are not inadvertently omitted. e) Determining Affected Areas and Protective
Actions i. The IC shall estimate areas and population affected by a Hazmat release and may be assisted by the GCCC in that process. Aids for determining the size of the area affected
may include: • The Emergency Response Guidebook • NIOSH Guide • Computerized release modeling [using CAMEO/ALOHA and other software] • Assistance by the responsible party • Assistance
by expert sources such as CHEMTREC • Assistance by state and federal agencies ii. The IC shall determine required protective actions for response personnel and the public and may be
aided in determining protective actions for the public by the GCCC. See Attachment C for emergency responder safety considerations. See Attachment D for public protective action information.
iii. The IC will typically provide warning to and implement protective actions for the public in the immediate vicinity of the incident site. The GCCC will normally oversee dissemination
of warning and implementation of protective actions for the public beyond the immediate incident site and related activities such as traffic control and activation of shelters. Sample
public warning and protective action messages are provided in Annex A (Warning). Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q18 Additional information on public information is provided in Annex I (Public Information). f) Release Containment
i. The responsibility for selecting and implementing appropriate measures to contain the release of hazardous materials is assigned to the IC, who may obtain advice from the responsible
party, state and federal agencies, and appropriate technical experts. ii. Containment methods may include construction or use of berms, dikes, trenches, booms and other deployable barriers,
stream diversion, drain installation, catch basins, patching or plugging leaking containers, reorientation of containers, freeing of valves, or repackaging. iii. It is the responsibility
of local response agencies to contain the hazardous materials spill to prevent further harm. It is the Responsible Party’s legal responsibility to mitigate and clean up the spill in
accordance with state and federal laws. The Responsible Party is responsible for all incident incident costs. D. RECOVERY 1) When the initial response to an incident has ended, further
effort may be required to control access to areas, which are still contaminated, clean up and dispose of spilled materials, decontaminate and restore areas, which have been affected,
and recover response costs from the responsible party. The recovery process may continue for an extended period. 2) The spiller is, by common law, responsible for all cleanup activities.
Most recovery activities will be conducted by contractors, paid for by the responsible party, and overseen by state and federal authorities. Methods of cleanup may include excavating,
pumping and treating, dredging, skimming, dispersion, vacuuming, and biological remediation. Dilution is prohibited as a substitute for treatment. 3) The PEO will appoint a recovery
coordinator to oversee recovery efforts and serve as the local government point of contact with the responsible party, cleanup contractors, and state and federal agencies. For major
incidents, it it may be desirable to designate a recovery team consisting of a coordinator and representatives of the various departments and local agencies who have an interest in recovery
activities. 4) The recovery coordinator or team should: Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q19 ANNEX Q (HAZARDOUS MATERIALS) a) Ensure access controls are in place for contaminated areas that cannot be cleaned
up immediately. b) Ensure documentation and cost data relating to the incident response is preserved and maintain a list of such records which indicates their locations to facilitate
claims against the responsible party and/or reimbursement by the state or federal government. c) Review plans for cleanup and restoration proposed by the responsible party or state or
federal agencies and then monitors their implementation. d) Monitor the removal and disposition of hazardous materials, contaminated soil and water, and contaminated clothing. e) Review
proposed mitigation programs and monitor their implementation. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. GENERAL 1) Our normal emergency organization, described in Section
VI.A of the Basic Plan and depicted in Attachment 3 to the Basic Plan, will be employed to respond respond to and recover from incidents involving hazardous materials or oil spills.
2) Effective response to a Hazmat incident or oil spill may also require response assistance from the company responsible for the spill and, in some situations, by state and federal
agencies with responsibilities for Hazmat spills. Technical assistance for a Hazmat incident may be provided by the facility, by industry, or by state and federal agencies. B. ASSIGNMENT
OF RESPONSIBILITIES The Community Emergency Coordinator shall serve as the Community Emergency Coordinator for Hazmat issues, as required by EPCRA. 1) The Community Emergency Coordinator
will: a) Coordinate with the emergency coordinators of regulated facilities and vulnerable facilities to maintain the list of regulated facilities in Attachment 6 and the list of vulnerable
facilities in Attachment E. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q20 b) Maintain an accurate and up-to-date Hazmat emergency contact roster that provides 24-hour contact information
for regulated facilities, local Hazmat transportation companies, vulnerable facilities, state and federal Hazmat response agencies, and technical assistance organizations such as CHEMTREC.
Disseminate this roster to local emergency responders. c) Ensure each regulated facility and local Hazmat transportation company is notified of the telephone number to be used to report
hazmat incidents to local authorities. d) Coordinate the review of regulated facility emergency plans by local officials. 2) Fire Protection Agencies will: a) Carry out the general fire
service responsibilities outlined in Annex F (Firefighting). b) Normally provide the IC for a hazardous materials response operation. 3) The Incident Commander will: a) Establish a command
post. b) Determine and communication the incident classification. c) Take immediate steps to identify the hazard and pass that information to 911 Communications Center who should disseminate
it to emergency responders. d) Determine a safe route into the incident site and advise the communication center, which should relay that information to all emergency responders. e)
Establish the Hazmat incident functional areas (Hot Zone, Warm Zone, Cold Zone) and a staging area. f) Initiate appropriate action to control and eliminate the hazard in accordance with
SOP. i. If the GCCC is not activated, ensure that the tasks outlined in the General Hazmat Response Checklist in Attachment A are accomplished. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q21 ANNEX Q (HAZARDOUS MATERIALS) ii. If the GCCC is activated for a Level II or III incident, coordinate a division
of responsibility between the ICP and GCCC for the tasks outlined in the General Hazmat Response Checklist. In general, the ICP should handle immediate response tasks and the GCCC should
handle support tasks that require extensive planning or coordination. 4) Law Enforcement will: a) Maintain a radio-equipped officer at the ICP until released by the IC. b) Evacuate citizens
when requested by the IC. Advise the communications center and the GCCC regarding the status of the evacuation. Make requests for assistance to the fire department, as necessary. c)
Control access to the immediate incident site for safety and limit entry to authorized personnel only. The IC will determine the size and configuration of the cordon. i. Entry of emergency
personnel into the incident area should be expedited. The IC will provide information on safe routes. ii. Persons without a valid reason for entry into the area, and who insist on right
of entry, will be referred to the ICP or ranking law enforcement officer on duty for determination of status and/or legal action. d) Perform traffic control in and around the incident
site and along evacuation routes. e) Provide access control to evacuated areas to prevent theft. f) Provide assistance in determining the number and identity of casualties. 5) The Emergency
Management Office (EMC) will: a) Coordinate with the IC and based upon the incident classification and recommendations of the IC, initiate activation of the GCCC through the communications
center. b) If the GCCC is activated: i. Coordinate a specific division of responsibility between the IC and GCCC for the tasks outlined in the General Hazmat Response Checklist. In general,
the ICP should handle Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q22 immediate response tasks and the GCCC support tasks that which require extensive planning or coordination. c) Carry
out required tasks: i. Provide support requested by the IC. ii. For Level II and III incidents, ensure elected officials and the County/City attorney are notified of the incident and
the circumstances causing or surrounding it. 6) EMS will: a) Provide medical treatment for casualties. b) Transport casualties requiring further treatment to medical facilities. 7) The
Public Works Department will: a) Provide heavy equipment and materials for spill containment. b) When requested, provide barricades to isolate the incident site. c) Cooperate with law
enforcement to detour traffic around the incident site. 8) Public Works Having Jurisdiction will: a) When notified of an incident, which may impact water or sewer systems, take precautionary
actions to prevent damage to those systems. b) If a Hazmat incident impacts water or sewer systems, check systems for damage and restore service. c) When appropriate, provide inputs
to the IC or GCCC for protective actions for the public relating to water and sewer systems. 9) Regulated Facilities/Hazmat Transportation Companies are expected to: a) Provide current
emergency contact numbers to local authorities. b) Upon request, provide planning support for accidental release contingency planning by local emergency responders. c) In the event of
a Hazmat incident: Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q23 ANNEX Q (HAZARDOUS MATERIALS) i. Make timely notification of the incident to local officials and other agencies
as required by state and federal law. ii. Provide accident assessment information to local emergency responders. iii. Make recommendations to local responders for containing the release
and protecting the public. iv. Carry out emergency response as outlined in company or facility emergency plans to minimize the consequences of a release. v. Assist local responders as
outlined in mutual aid agreements. vi. Provide follow-up status reports on an incident until it is resolved. vii. Clean up or arrange for the cleanup of Hazmat spills for which the company
is responsible. 10) Regulated facilities are also required to: a) Report Hazmat inventories to the SERC, LEPC, and local fire department at required by federal and state statutes and
regulations. b) Provide MSDSs for hazardous materials produced or stored on-site, as required to the LEPC and local fire department(s). c) Designate a facility emergency coordinator.
d) Develop an on-site emergency plan that specifies notification and emergency response procedures and recovery actions. Facilities covered by the Clean Air Act (CAA) 112(r) are required
to have a more extensive Risk Management Plan (RMP); a summary of which must be filed with the EPA. Local officials can access that information via the Internet. e) Coordinate the on-site
emergency plan with local officials to ensure that the facility emergency plan complements the local emergency plan and does not conflict with it. 11) State Government. a) If local resources
and mutual aid resources available to respond to a Hazmat incident are inadequate or inappropriate, we will request state assistance from MT DES. b) For major incidents, the SOC will
coordinate state assistance that Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q24 cannot be provided by MT DES and request federal assistance, if required. c) MT DEQ: i. Serves as the lead state
agency for response to most hazardous materials and inland oil spills. ii. Serves in an advisory role to the federal on-scene coordinator if federal resources are provided. iii. Monitors
all cleanup and disposal operations and coordinates with other state agencies. iv. Determines the adequacy of containment and cleanup operations. v. If the responsible party cannot be
identified or is unable to clean up the spill, DEQ may arrange for contractor support funded by the Texas Spill Response Fund. d) The Department of Public Safety (DPS) provides assistance
to local law enforcement in areas of traffic control, evacuation, and protection of property. e) The [State Agency] is the lead state agency for response to spills of crude oil and natural
gas at exploration and production facilities and from intrastate crude oil and natural gas gas pipelines. f) The Montana Department of Transportation (MTDOT) may be able to provide heavy
equipment to assist in containing spills near public roads, but MTDOT personnel are not trained or equipped as Hazmat responders. 12) Federal Government a) A spill or discharge oil or
hazardous material that occurs either in an inland zone or a coastal zone that requires a response effort so complex that it requires extraordinary coordination of Federal, State, local,
and other resources to contain or clean up, may be determined to be a Spill of National Significance (SONS). b) Authority to declare a SONS in an inland zone is granted to the EPA Administrator.
IX. COORDINATION Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q25 ANNEX Q (HAZARDOUS MATERIALS) A. GENERAL 1) The coordination function for a Hazmat incident will be performed by
the IC or, for major incidents, shared by the IC and the GCCC. 2) For Level II or III Hazmat incidents, the GCCC may be activated and responsibility for various hazmat response tasks
will be divided between the ICP and the GCCC. Effective exchange of critical information between the GCCC and ICP is essential for overall response efforts to succeed. a) The ICP will
concentrate on the immediate response at the incident site, i.e. isolating the area, implementing traffic control in the immediate area, employing resources to contain the spill, and
formulating and implementing protective actions for emergency responders and the public near the incident site. The IC will direct the activities of deployed emergency response elements.
b) The GCCC should handle incident support activities and other tasks, which cannot be easily accomplished by an ICP. Such tasks may include notifications to state and federal agencies
and utilities, requests for external resources, activation of shelters, coordinating wide area traffic control, emergency public information, and similar activities. The EMC shall direct
operations of the GCCC. B. SPECIFIC 1) For hazardous materials incidents, the first fire service or law enforcement officer on-scene will initiate the ICS. The senior firefighter on
the scene will normally serve as the IC. All support units will report to the IC and operate under the direction provided by that position. 2) The IC may recommend evacuation in and
around the incident site. The PEO should issue recommendations for large-scale evacuation, should it become necessary. X. ADMINISTRATION & SUPPORT A. SUPPORT When a Hazmat incident exceeds
the local capability to resolve we will invoke mutual aid agreements. If these personnel, equipment, and supply resources are insufficient or inappropriate, we will request state assistance.
B. HAZARDOUS MATERIALS INCIDENT REPORT Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q26 A form used to collect and disseminate information on a Hazmat incident is provided in Attachment B. C. RESOURCES
General emergency response and specialized Hazmat resources are described in Annex M (Resource & Donations Management. D. DOCUMENTATION & COST RECOVERY The company or individual responsible
for the Hazmat release is liable for the cost of clean-up, structural and environmental damage, and personal injury or death. The city and county will maintain records of personnel and
equipment used and supplies expended during the response and recovery phase to support any efforts to recoup costs from the responsible party. If the responsible party cannot be identified,
we may be eligible for reimbursement of certain Hazmat response costs by the U.S. Environmental Protection Agency (EPA); this program requires timely submission of an application with
supporting data to EPA Region VIII in Denver. As a standard base for cost recovery, Gallatin County has adopted the Interagency Incident Business Management Handbook (IIMBH) utilizing
the Northern Rockies supplements for equipment and personnel rates. At a minimum, the following information should be logged for cost recovery from the responsible party: 1) Labor a)
Paid (regular and overtime) b) Volunteer 2) Equipment Used a) Owned b) Rented /leased c) Volunteered 3) Materials a) Purchased b) Taken from inventory Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q27 ANNEX Q (HAZARDOUS MATERIALS) c) Donated 4) Contracts a) Services b) Repairs E. POST-INCIDENT REVIEW For Level
III incidents, the IC will prepare a short report summarizing the incident, including the cause, critique of response actions, damage assessment, expenditures, and conclusions. Resources
for this report may include radio logs, tapes, regulated site records, police reports, fire reports, etc. This report will be circulated to all agencies and individuals tasked in this
annex. F. TRAINING To comply with emergency worker protection standards, department and agency heads will determine requirements for hazardous materials training for emergency response
and medical personnel with Hazmat incident response duties, develop and disseminate schedules for training, and maintain records of such training. G. PERSONAL PROTECTIVE EQUIPMENT To
comply with emergency worker protection standards, department heads will prescribe the use of personal protective equipment for emergency response and medical personnel who require it.
Attachment 3 contains further information on the equipment required to protect against various types of hazards. H. PLAN TESTING & CORRECTION 1) Departmental and interdepartmental drills,
tabletop exercises, functional exercises, or full-scale exercises dealing with Hazmat incidents shall be included in the local emergency exercise schedule. Where possible, regulated
facilities and Hazmat transportation companies should be invited to participate in drills and exercises. 2) This annex should be corrected and revised, if required, based on the results
of exercise critiques. I. COMMUNICATIONS Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q28 1) Agencies will coordinate using the Gallatin County Communications Plans. 2) Montana mutual aid frequencies will
be utilized for mutual aid resources out of the county. XI. ANNEX DEVELOPMENT & MAINTENANCE 1) Emergency Management is responsible for developing and maintaining this annex. Recommended
changes to this annex will be forwarded to [position] as needs become apparent. 2) This annex will be revised annually and updated in accordance with the schedule outlined in the Basic
Plan. 3) Regulated facilities report their Hazmat inventories annually to the State Emergency Response Commission (SERC), the LEPC, and local fire departments. These reports affect the
data in Attachment E, F, and G, which may require more frequent update than the rest of this annex. 4) All agencies assigned responsibilities in this annex are responsible for developing
and maintaining SOP needed to carry out the tasks assigned in the annex. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q29 ANNEX Q (HAZARDOUS MATERIALS) ATTACHMENT A GENERAL HAZMAT RESPONSE CHECKLIST Action Item Assigned 2. Classify incident,
provide basic situation information to dispatch, and identify response resources required. See Incident Classification at the end of this checklist. Level 1 – Incident Level II – Emergency
Level III – Disaster 3. Dispatch should relay situation information to emergency responders, who should dispatch forces in accordance with their SOPs. If separate fire and law enforcement
dispatch centers are used, the dispatch center receiving the initial report should pass it to the other dispatch center. 4. Identify hazardous material being released. Information may
be obtained from facility staff, Hazmat inventory reports, placards, shipping papers or manifest, container labels, pipeline markers, and similar materials. 5. Determine extent of danger
to responders and establish requirements for personal protective equipment specialized response equipment. See Response Personnel Safety in Attachment 3. 6. Ascertain extent of danger
to general public; determine specific areas and special facilities (schools, hospitals, nursing homes, prisons, and other institutions), if any, at risk; see Appendices 5, 6, and 7.
7. Develop initial action plan to contain and control the release of hazardous materials. 8. Determine appropriate protective actions for the public and special facilities. See Attachment
4. If evacuation is contemplated, check evacuation route status. 9. Initiate warning and issue protective action recommendations for the public and Special facilities. See Attachment
54for protective action data. See Annex A, Warning, for public notification messages. See Attachment 8 for evacuation routes for vulnerable facilities. 10. Warn special facilities, provide
instructions, and determine requirements for assistance. Provide assistance requested. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q30 11. If evacuation is recommended, provide traffic control and be prepared to provide transportation to those who
lack it. See Annex E, Evacuation. 12. Warn other communities that may be threatened by the Hazmat release. 13. If possibility exists of casualties that are contaminated with hazardous
substances, ensure EMS units and hospitals are so advised. 1. 12. If evacuation is recommended, staff and open temporary shelters for evacuees. See Annex C, Shelter & Mass Care. 15.
If the release threatens water or sewer systems or critical facilities such as power plants or airports, advise the companies or departments concerned so that they may take preventative
actions. See Annex L, Utilities. If the release impacts water or sewer systems, ensure the public is warned and provided appropriate instructions. 16. Advise the responsible party to
report release to state and federal authorities as required by state and federal statutes and regulations. If we are responsible for the release, we must make required notifications
to state and federal agencies. If the responsible party cannot be identified/located, we should make required notifications, making it clear that the responsible party is presently unknown.
17. If on-scene technical assistance is required, request assistance from industry or appropriate state or federal agencies. 18. If additional response resources are required request
them. Invoke mutual aid agreements. Summon hazmat response contractor, if one is under contract. Request assistance from the State through the Disaster District. 19. Continuously document
actions taken, resources committed, and expenses incurred. Retain message files, logs, and incident-related documents for use in incident investigation and legal proceedings and to support
claims for possible reimbursement from the responsible party or state and federal agencies. 20. Provide updated information on the incident to the public through media releases. See
Annex I, Emergency Public Information. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q31 ANNEX Q (HAZARDOUS MATERIALS) 21. When the release of hazardous materials is terminated, inspect potentially affected
areas to determine if they are safe before ending protective actions for the public or special facilities. 22. Advise utilities and critical facilities that were impacted by the incident
when the release of hazardous materials is terminated. 23. If some areas will require long-term cleanup before they are habitable, develop and implement procedures to mark and control
access to such areas. 24. When it is determined to be safe to end protective actions, advise the public and special needs facilities and, if an evacuation occurred, manage the return
of evacuees. 25. Conduct post-incident review of response operations. Emergency Situation Classifications Level 1 – Incident. An incident is a situation that is limited in scope and
potential effects; involves a limited area and/or limited population; evacuation or sheltering in in place is typically limited to the immediate area of the incident; and warning and
public instructions are conducted in the immediate area, not community-wide. This situation can normally be handled by one or two local response agencies or departments acting under
an incident commander, and may require limited external assistance from other local response agencies or contractors. Level II – Emergency. An emergency is a situation that is larger
in scope and more severe in terms of actual or potential effects than an incident. It does or could involve a large area, significant population, or critical facilities; require implementation
of large-scale evacuation or sheltering in place and implementation of temporary shelter and mass care operations; and require community-wide warning and public instructions. You may
require a sizable multi-agency response operating under an incident commander; and some external assistance from other local response agencies, contractors, and limited assistance from
state and federal agencies. Level III – Disaster. A disaster involves the occurrence or threat of significant casualties and/or widespread property damage that is beyond the capability
of the local government to handle with its organic resources. It involves a large area, a sizable population, and/or critical resources; may require implementation of largescale evacuation
or sheltering in place and implementation of temporary shelter and mass care operations and requires a community-wide warning and public instructions. This situation requires significant
external assistance from other local response agencies, contractors, and extensive state or federal assistance. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q32 ATTACHMENT B HAZARDOUS MATERIALS INCIDENT REPORT INITIAL CONTACT INFORMATION Check one: This is an ACTUAL EMERGENCY
This is a DRILL/EXERCISE 1. Date/Time of Notification: Report received by: Reported by (name & phone number or radio call sign): Company/agency and position (if applicable): Incident
address/descriptive location: Agencies at the scene: Known damage/casualties (do not provide names over unsecured communications): CHEMICAL INFORMATION 7. Nature of emergency: (check
all that apply) ___ Leak ___ Explosion ___ Spill ___ Fire ___ Derailment ___ Other Description: 8. Name of material(s) released/placard number(s): 9. Release of materials: has ended
Is continuing. Estimated release rate & duration: 10. Estimated amount of material which has been released: 11. Estimated amount of material which may be released: 12. Media into which
the release occurred: ________ air ________ ground ________ water 13. Plume characteristics: a. Direction (Compass direction of plume): c. Color: b. Height of plume: d. Odor: 14. Characteristics
of material (color, smell, liquid, gaseous, solid, etc) 15. Present status of material (solid, liquid, and gas): 16. Apparently responsible party or parties: ENVIRONMENTAL CONDITIONS
17. Current weather conditions at incident site: Wind From: Wind Speed (mph): Temperature (F): ______ Humidity (%): ______ Precipitation: Visibility: __________ 18. Forecast: 19. Terrain
conditions: Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q33 ANNEX Q (HAZARDOUS MATERIALS) HAZARD INFORMATION (From ERG, MSDS, CHEMTREC, or facility) Potential hazards: Potential
health effects: Safety recommendations: Recommended evacuation distance: IMPACT DATA Estimated areas/populations at risk: Special facilities at risk: Other facilities with Hazmat in
area of incident: PROTECTIVE ACTION DECISIONS 26. Tools used for formulating protective actions ________ a. Recommendations by facility operator/responsible party ________ b. Emergency
Response Guidebook ________ c. Material Safety Data Sheet ________ d. Recommendations by CHEMTREC ________ e. Results of incident modeling (CAMEO or similar software) ________ f. Other:
27. Protective action recommendations: ____ Evacuation ____Shelter-In-Place ____Combination ____No Action ____ Other Time Actions Implemented 28. Evacuation Routes Recommended: Redacted
Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q34 ATTACHMENT C PERSONNEL SAFETY A. RESPONSE PERSONNEL SAFETY 1) General Guidelines: Response to Hazmat incidents
involving skin and respiratory dangers or where the chemical involved is unknown requires responders to follow personal protection levels and procedures outlined in OSHA worker protection
standards. The following establishes policies and procedures regarding the personal protection of first responders in the event of a hazardous material incident. Health and safety procedures
include the following: 2) Medical surveillance: Responders to hazardous material incident will include emergency medical technicians who will be responsible for surveillance of responders
working in and around the Hot Zone, for indicators of toxic exposure or acute physical symptoms. 3) Hot zone: This is the area where contamination does, or is likely, to occur. All first
response personnel entering the Hot Zone must wear prescribed levels of protective equipment commensurate with the hazardous material present. Establish an entry and exit checkpoint
at the perimeter of the hot zone to regulate and track the flow of personnel and equipment into and out of the zone and to verify that the procedures established to enter and exit are
followed. Closely follow decontamination procedures to preclude inadvertent exposure. 4) Personal Protective Equipment (PPE): All personnel entering the Hot Zone, for the purpose of
control and containment or otherwise endangered by contamination will have appropriate protective equipment. a) Require Level A protection when the highest level of respiratory, skin,
eye, and mucous membrane protection is essential. Level A protective equipment includes: i. Pressure-demand, self-contained breathing apparatus (SCBA) or pressure-demand, air-line respirators.
ii. Fully encapsulating chemical-resistant suit iii. Coveralls iv. Long cotton underwear (optional) v. Cotton glove liners (optional) Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q35 ANNEX Q (HAZARDOUS MATERIALS) vi. Chemical-resistant gloves vii. Chemical-resistant boots viii. Hardhat, under
suit (head injury hazard area) ix. Disposable inner gloves and boot covers x. Two-way intrinsically safe radio communications b) Level B protection is required when the highest level
of respiratory protection is needed but a lesser level of skin and eye protection is warranted. Level B protection is the minimum level recommended on initial site entries until the
hazards are identified and defined by monitoring, sampling, and/or other reliable methods of analysis. Personnel equipment must correspond to those findings. Level B protective equipment
includes: i. SCBA or a supplied-air respirator (MSHA/NIOSHA approved) ii. Chemical resistant clothing (splash protection) iii. Long cotton underwear (optional) iv. Coveralls or other
disposable clothing v. Gloves (outer), chemical resistant vi. Gloves (inner), chemical resistant vii. Boot covers (outer), chemical resistant viii. Hardhat (head injury hazard area)
ix. Two-way radio communications c) Require Level C protection is required when the type of airborne substance is known, concentration measured, criteria for using airpurifying respirators
met, and skin and eye exposure is unlikely. Perform periodic monitoring of the air. Level C protective equipment includes: i. Air-purifying respirator, full face, canister-equipped,
(OSHA/NIOSH approved) ii. Chemical resistant clothing (coveralls, hooded, one or two piece Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q36 chemical splash suit, or chemical resistant coveralls) iii. Gloves, chemical resistant iv. Boots (outer) chemical
resistant, steel toe and shank v. Two-way radio communications 5) Safety Procedures a) OSHA worker protection standards require that an on-site safety monitor be assigned during any
Hazmat incident response. The safety monitor must be trained to the same level of the personnel responding into the Hot Zone. b) Personnel entering the Hot Zone area should not proceed
until a back up team is ready to respond inside the zone for rescue should any member of the team be injured while responding. c) Personnel entering the Hot Zone area should not proceed
until the Contamination Control Line has been set up. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q37 ANNEX Q (HAZARDOUS MATERIALS) ATTACHMENT D PROTECTIVE ACTIONS FOR THE PUBLIC A. PROTECTIVE ACTIONS FOR THE PUBLIC
1) Among the factors to be considered in determining protective actions for the public are the following: a) Characteristics of the hazardous material b) Degree of health hazard c) Amount
of material that has been released or is expected to be released d) Time of release e) Rate of spread f) Weather conditions, particularly wind direction and speed for airborne hazards
g) Population at risk h) Location i) Number j) Special-needs facilities or populations k) Evacuation routes l) Estimated warning and evacuation times m) Ability to predict behavior of
Hazmat release (typically from release modeling software, e.g., CAMEO/ALOHA 2) The two primary protective strategies used during Hazmat incidents are shelter in place and evacuation.
a) Shelter in place involves having people shelter in a building and take steps to reduce the infiltration of contaminated outside air. Shelter in place can protect people for limited
periods by using the shielding provided by a building’s structure to decrease the amount or concentration of Hazmat to which they are exposed. With a continuous release, the indoor concentration
of Hazmat for buildings within the Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q38 Hazmat plume will eventually equal the average outdoor concentration, limiting the effectiveness of this strategy
in long-term releases. b) Evacuation protects people by relocating them from an area of known danger or potential risk to a safer area or a place where the risk to health and safety
is considered acceptable. While evacuation can be very effective in protecting the public, large-scale evacuation can be difficult to manage, time consuming, and resource intensive.
c) Shelter in place and evacuation are not mutually exclusive protective strategies. Each strategy may be appropriate for different geographic areas at risk in the same incident. For
example, residents within a mile downwind of an incident site may be advised to shelter in place because there is insufficient time to evacuate them, while residents of areas further
downwind may be advised to evacuate. 3) The
information that follows is intended to aid in weighing suitable protective actions for the public and special facilities. a) Shelter in place may be appropriate when: i. Public education
on shelter in place techniques has been conducted. Sufficient buildings are available in the potential impact area to shelter the population at risk.In the initial stages of an incident,
when the area of impact is uncertain. A Hazmat release is impacting or will shortly impact the area of concern. ii. A Hazmat release is short term (instantaneous or puff release) and
wind is moving vapor cloud rapidly downwind Evacuation routes are unusable due to weather or damage or because they pass through a likely Hazmat impact area. iii. Specialized equipment
and personnel needed to evacuate institutions such as schools, nursing homes, and jails is not available. b) Evacuation may be appropriate when: i. A Hazmat release threatens the area
of concern, but has not yet reached it. ii. A Hazmat release is uncontrolled or likely to be long term. There is adequate time to warn and instruct the public and to carry out an evacuation.
iii. Suitable evacuation routes are available and open to traffic. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q39 ANNEX Q (HAZARDOUS MATERIALS) Adequate transportation is available or can be provided within the time available.
iv. Specialized equipment and personnel needed to evacuate institutions are available. v. The Hazmat released is or will be deposited on the ground or structures and remain a persistent
hazard. The likely impact area includes a large outdoor population and there are insufficient structures for sheltering that population. c) Other Protection Strategies i. Protection
of Water Systems. A Hazmat incident may contaminate ground water supplies and water treatment and distribution systems. Threats to the drinking water supply must be identified quickly
and water system operators must be notified in a timely manner in order to implement protective actions. If water supplies are affected, the public must be warned and advised of appropriate
protective actions; alternative sources of water will have to be provided. ii. Protection of Sewer Systems. A hazardous chemical entering the sanitary sewer system can cause damage to
a sewage treatment plant. If sewer systems are threatened, facility operators must be notified in a timely manner in order to implement protective actions. If systems are damaged, the
public must be warned and advised what to do. It will likely be necessary to provide portable toilets in affected areas. iii. Relocation. Some hazardous material incidents may contaminate
the soil or water of an area and pose a chronic threat to people living there. People may need to move out of the area for a substantial period of time until the area is decontaminated
or until natural weathering or decay reduces the hazard. 4) Disseminating Warning & Protective Action Recommendations a) The normal means of warning the public of emergencies, as described
in Annex A (Warning) of the EOP, will be used to warn the public of Hazmat incidents. b) Sample public notification messages for shelter in place and evacuation are provided in Annex
A (Warning) with further information in Annex I (Public Information). Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q40 ATTACHMENT E Gallatin County HazMat Team The City of Bozeman and Gallatin County have a combined Hazardous Materials
Team. This team is also a State of Montana Team, but is available to agencies in Gallatin County by mutual aid from Bozeman Fire Department. The team can provide technical advisors or
a full Level A response. Activation Criteria Request from a local jurisdiction. Authorization Automatic Activation Procedure 1) Request HazMat Team from Bozeman Fire Department through
Gallatin County Dispatch. Redacted Version
Gallatin County EMP, Annex Q (Hazardous Materials), 05/18/11, Page Q41 ANNEX Q (HAZARDOUS MATERIALS) ATTACHMENT F State Hazardous Materials Incident Response Teams The State of Montana
has six regional hazardous materials teams hosted at various fire departments (Kalispell, Missoula, Great Falls, Helena, Bozeman, Billings) around the state. These teams are available
for response anywhere in the state upon authorization from the Governor’s Office. Activation Criteria Request from a local jurisdiction. Authorization State funded deployments must first
be authorized by the Governor’s Office. Activation Procedure 1) Contact Gallatin County Emergency Management Duty Officer through Gallatin County Dispatch 2) EMDO will make a request
to the Montana DES Duty Officer . 3) The Montana DES Duty Officer will setup a conference call between MT DES, Governor’s Office, requesting agency, and a team leader from the closest
HazMat Team. This step must take place. 4) If approval is given during the conference call, MT DES will provide a state mission number and the requesting agency can work out the details
with the responding team(s). Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex R : Search & Rescue Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Search & Rescue Mitigation Preparedness Response Recovery ReadyGallatin.com The Search and Rescue Annex provides guidance
on resources and their functions. Law enforcement and fire service are the primary agencies for this function. Two distinct search and rescue functions are contained in this annex. When
we reference search and rescue, we are referring to the law enforcement function of looking to lost individuals and the rescue of people (typically in an outdoor environment). Urban
search and rescue refers to the fire service function of looking for people in disaster areas with wide spread destruction such as collapsed buildings. Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R2 APPROVAL & IMPLEMENTATION ANNEX R: SEARCH & RESCUE This annex is hereby approved. This annex is effective immediately
and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R3 Annex R (Search & Rescue) RECORD OF CHANGES ANNEX R: SEARCH & RESCUE Date of Change Date Entered Change Entered By 1
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… R6 II. SUPPORTING AGENCIES………………………………………………….. R6 III.
AUTHORITY A. Federal……………………………………………………………….... R6 B. State……………………………………………………………….…… R6 C. Local…………………………………………………………….……… R6 IV. PURPOSE………………………………………………………..…………… R6 V. EXPLANATION
OF TERMS A. Acronyms…………………………………………………………..….. R7 B. Definitions……………………………………………………..………. R7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... R7 B. Assumptions………………………………………………
…………… R8 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… R8 B. Implementation of ICS…...…………………………………………… R9 C. Terrorist Incidence Response…….……………………….………… R9 D. Requesting
External Assistance…………………………..………… R10 E. Phases of Management………………………………………...……. R10 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………… R11
B. Assignment of Responsibilities……..……………………………….. R11 IX. COORDINATION A. General………………………………………………………………… R13 B. ICS-GCCC Interface………………….……………………….……… R13 Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R5 Annex R (Search & Rescue) X. ADMINISTRATION & SUPPORT A. Reporting……………………………………………………………… R13 B. Records……………………………………………………………….
R14 C. Preservation of Records…………………………………………….. R14 D. Resources…………………………………………………………….. R14 E. Communications……………………………………………………… R14 F. Post-Incident Review…………………………………………………
R14 XI. ANNEX DEVELOPMENT & MAINTENANCE…………………….…….… R14 ATTACHEMENTS: A – National USAR………………………………………………………. R16 B -Urban SAR……………………………………………………………..R19 C – Montana USAR………………………………………………………..R22
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Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R6 ANNEX R: SEARCH & RESCUE I. PRIMARY AGENCIES Gallatin County Fire Protection Agencies, Gallatin County Law Enforcement
Agencies II. SUPPORTING AGENCIES County/City Engineer III. AUTHORITY A. FEDERAL Name Description Legal B. STATE Name Description Legal Duties of Sheriff MCA 7-32-2121 SAR Units Authorities
MCA 7-32-235 C. LOCAL Name Description Legal IV. PURPOSE The purpose of this annex is to outline operational concepts and organizational arrangements for Search and Rescue (SAR) operations
during emergency situations in our community. This annex is applicable to all agencies, organizations, and personnel assigned SAR functional responsibilities. Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R7 Annex R (Search & Rescue) V. EXPLANATION OF TERMS A. ACRONYMS EMC Emergency Management Coordinator GCCC Gallatin County
Coordination Center IC Incident Commander ICP Incident Command Post ICS Incident Command System ME Medical Examiner NIMS National Incident Management System PEO Principal Executive Officer
SAR Search and Rescue SOP Standard Operating Procedures USAR Urban Search and Rescue VFD Volunteer Fire Department B. DEFINITIONS Hazmat Hazardous materials. Search and Rescue (SAR)
Search and Rescue activities outside of those defined by USAR. Typically it will entail looking for lost or missing subjects, rescuing individual who are trapped (typically by environmental
situation such as terrain, water, etc...). Urban Search and Rescue (USAR) Urban Search and Rescue activities typically referring to looking for and rescuing individuals who have become
trapped in a manmade structure. This is typically a collapsed building, or similar situation, often caused by a natural disaster or terrorist act. VI. SITUATION & ASSUMPTIONS A. SITUATION
1) Gallatin County jurisdictions, which are party to this plan, depend on local Fire Protection for Urban Search and Rescue (USAR) and Law Enforcement for Search and Rescue (SAR). 2)
Local buildings are subject to severe structural damage from flood, earthquake, explosion, and acts of terrorism, which could result in injured people trapped in damaged and collapsed
structures. Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R8 3) In emergency situations involving structural collapse, large numbers of people may require rescue. 4) The mortality
rate among trapped victims rises dramatically after 72 hours; therefore, USAR operations must be initiated without delay. 5) Secondary hazards may compound problems and threaten both
disaster victims and rescue personnel. 6) Weather conditions such as rain, temperature extremes, and high winds, may pose additional hazards to disaster victims and rescue personnel.
7) Large-scale emergencies, disasters, and acts of terrorism may adversely impact SAR personnel, equipment, and facilities as well as communications systems. 8) Missing, lost or injured
individuals may require assistance from SAR teams. B. ASSUMPTIONS 1) A trained, equipped, organized rescue service will provide the capability to conduct methodical SAR and USAR operations,
shore up and stabilize weakened structures, release trapped persons, and locate the missing and and dead. 2) Access to disaster areas may be limited because of damaged infrastructure.
3) If resources and those obtained pursuant to inter-local agreements are insufficient and additional support is required, we will request assistance from the state. 4) During major
emergency situations, SAR and USAR resources may be damaged and specialized supplies depleted. VII. CONCEPT OF OPERATIONS A. GENERAL 1) Fire Protection Agencies have the primary responsibility
of providing our community with USAR operations. USAR resources include: a) Local Fire Protection Agencies b) FEMA USAR Teams Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R9 Annex R (Search & Rescue) c) SAR Dog Teams 2) Law Enforcement Agencies have the primary responsibility of providing
our community with SAR operations. SAR resources include: a) SAR Canine Team b) Gallatin County Tactical Divers c) Gallatin County Sheriff’s Posse d) Heli-Alpine Team e) HASTY Team f)
Hamm Operators g) Gallatin Valley Snowmobiling Association h) Big Sky Search and Rescue i) West Yellowstone Search and Rescue j) Salvation Army k) Civil Air Patrol B. IMPLEMENTATION
OF ICS The first responder on the scene of an emergency situation should initiate the ICS and establish an Incident Command Post (ICP). As other responders arrive, this jurisdiction
will implement the Incident Command System (ICS). The individual present that is most qualified to deal with the specific situation will be designated as the Incident Commander (IC).
The IC will implement ICS to coordinate responding resources and designate emergency operating areas. C. TERRORIST INCIDENCE RESPONSE During a terrorist incident response, it is essential
that the Incident Command team will establish operating areas and formulate a plan of action that will allow SAR and USAR personnel to conduct operations in such a way as to minimize
the impact to the crime scene. Emergency responders should be especially watchful for any signs of secondary devices usually set off for the purpose of injuring responders. Refer to
Annex V (Terrorist Incident) for more information on the response to terrorist threats and activities. Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R10 D. REQUESTING EXTERNAL ASSISTANCE 1) If local SAR and USAR resources are inadequate to deal with an emergency situation,
resources covered by mutual aid agreements will be requested by the Incident Commander or other individuals who are specifically authorized to do so. The Agency Having Jurisdiction may
also request assistance from industries and businesses with resources that have agreed to assist us during emergencies. 2) If resources and those obtained pursuant to inter-local agreements
are insufficient to deal with an emergency situation, statewide mutual aid will be requested pursuant to mutual aid agreements. 3) If the foregoing resources are inadequate to deal with
an emergency situation, the PEO may request assistance from the state through Montana DES. 4) Additional aviation resources may be requested through the Air Force Rescue Coordination
Center located at Tyndall Air Force Base in Panama City, Florida ). 5) Additional USAR teams may be requested from the FEMA USAR system through Montana DES. Local fire-based USAR resources
are available through the Montana mutual aid system (aka “the blue book”). E. PHASES OF MANAGEMENT 1) Prevention a) Maintain up-to-date information on known hazards present in facilities
such as refineries, factories, power plants, and other commercial businesses. b) Maintain up-to-date information on type and quantities of hazardous material present in local businesses
and industrial facilities. 2) Preparedness a) Maintain a schedule for testing, maintenance, and repair of rescue equipment. b) Maintain a list of all resources and stock specialized
supplies. See Annex M (Resource & Donations Management) for more information. Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R11 Annex R (Search & Rescue) c) Make arrangements for responders to obtain building plans during emergencies. d) Identify
sources of dogs that can be used for incident operations. e) Develop communications procedures to ensure adequate communications between U/SAR units, fire units, law enforcement units
and other emergency responders. f) Plan and execute training exercises for all personnel on a regular basis. g) Revise and update response plans at regular intervals. 3) Response a)
Initiate rescue missions as necessary. b) Mobilize support resources. 4) Recovery a) Perform or assist in decontamination and cleanup. b) Assess damage to U/SAR equipment and facilities
if necessary. c) Inventory and replace depleted supplies. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. GENERAL 1) Our normal emergency organization, described in the Basic
Plan, shall carry out the function of providing these services in emergency situations. Our teams will will handle routine U/SAR operations, with limited support from one or two other
emergency services operating under an IC. The GCCC will normally be activated for major emergencies and disasters that require extensive operations, a commitment of all emergency services
as well as when external assistance is required. B. ASSIGNMENT OF RESPONSIBILITIES 1) Fire Protection Agencies/USAR Teams will: Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R12 a) Coordinate all USAR operations using Gallatin County resources or those obtained pursuant to inter-local agreements.
b) Provide assistance during evacuations. See Annex E (Evacuation) for more information. c) Prepare and execute inter-local agreements for USAR support. d) Provide support for other
public safety operations, as necessary. e) Coordinate body recovery activities with the Coroner’s office, if needed. 2) The IC will: a) Establish an ICP and coordinate emergency response
resources. b) Assess the incident, request additional resources as needed, and provide periodic updates to the GCCC, if activated. c) Determine and implement initial protective actions
for emergency responders and the public in the vicinity of the incident site. d) Establish a specific division of responsibilities between the incident command operation and the GCCC,
if activated. 3) Law Enforcement Agencies/SAR Teams will: a) Coordinate all SAR operations using Gallatin County resources or those obtained pursuant to inter-local agreements. b) Provide
assistance during evacuations. See Annex E (Evacuation) for more information. c) Prepare and execute inter-local agreements for SAR support. d) Provide support for other public safety
operations, as necessary. e) Coordinate body recovery activities with the Coroner’s office, if needed. 4) The Public Works will: a) Upon request of the IC, provide heavy equipment support
for U/SAR operations. Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R13 Annex R (Search & Rescue) b) Upon request of the IC, shut off gas or power to collapsed structures. IX. COORDINATION
A. GENERAL 1) For most emergency situations, an IC will establish an ICP and coordinate emergency operations at the scene from that ICP. All resources will carry out missions assigned
by the IC. The IC will be assisted by a staff with the expertise and of a size required for the tasks to be performed. The individual most qualified to deal with the specific type of
emergency situation present should serve as the IC. 2) In some situations, the GCCC may be activated without an incident command operation. This type of organizational arrangement is
most likely when (1) a hazard threatens but has not yet impacted the local area or (2) when a generalized threat exists, and there is no identifiable incident site (as may be the case
for a terrorist threat). 3) External response agencies are expected to conform to the general guidance provided by our senior decision-makers and carry out mission assignments directed
by the IC or the GCCC. However, organized response units will normally work under the immediate control of their own supervisors. B. ICS-GCCC INTERFACE If both the GCCC and an ICP are
operating, the IC and the GCCC must agree upon a specific division of responsibilities to ensure proper response to the incident without duplication of efforts. A general division of
responsibilities between the ICP and GCCC is provided in Annex N (Coordination). X. ADMINISTRATION & SUPPORT A. REPORTING In addition to reports that may be required by their parent
organization, teams participating in emergency operations should provide appropriate situation reports to the IC, or if an incident command operation has not been established, to the
GCCC. The IC will forward periodic reports to the GCCC. Pertinent information will be incorporated into the Initial Emergency Report and the periodic Situation Report, which is prepared
and disseminated to key officials, other affected jurisdictions, and state agencies during major emergency operations. The essential elements of information for the Initial Emergency
Report and the Situation Report are outlined in Annex N (Coordination). Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R14 B. RECORDS 1) Activity Logs. The IC and, if activated, the GCCC, shall maintain accurate logs recording significant
operational activities, the commitment of resources, and other information relating to emergency response and recovery operation. See Annex N (Coordination) for more information on the
types of information that should be recorded in activity logs. 2) Documentation of Costs. Expenses incurred in carrying out emergency response operations for certain hazards, such as
radiological accidents or hazmat incidents, may be recoverable from the responsible party. Hence, all SAR service elements will maintain records of personnel and equipment used and supplies
consumed during large-scale emergency operations. C. PRESERVATION OF RECORDS Vital records should be protected from the effects of disaster to the maximum extent feasible. Should records
be damaged during an emergency situation, professional assistance in preserving and restoring those records should be obtained as soon as possible. D. RESOURCES A listing of local U/SAR
resources is found in Annex M (Resource Management). E. COMMUNICATIONS General emergency communications capabilities and connectivity are discussed and depicted in Annex B (Communications).
F. POST-INCIDENT REVIEW For large-scale emergency operations, the GCCC shall organize and conduct a review of emergency operations in accordance with the guidance provided in the Basic
Plan. The purpose of this review is to identify needed improvements in this annex, procedures, facilities, and equipment. U/SAR personnel who participated in the operations should participate
in the review. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE a) The Fire Protection and Law Enforcement are responsible for developing and maintaining this annex.
Recommended changes to this annex should be forwarded as needs become apparent. Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R15 Annex R (Search & Rescue) b) This annex will be revised annually and updated in accordance with the schedule outlined
in the Basic Plan. c) Departments and agencies assigned responsibilities in this annex are responsible for developing and maintaining SOP covering those responsibilities. Redacted Version
ATTACHMENT A National Urban Search and Rescue Response System (USAR) The National Urban Search and Rescue (USAR) Response System is a framework for structuring local emergency services
personnel into integrated disaster response task forces. These task forces complete with the necessary tools, equipment, skills, and techniques, can be deployed by the Department of
Homeland Security for the rescue of victims of structural collapse or other search and rescue requirements. There are 28 national USAR task forces located throughout the continental
United States. Any task force can be activated and deployed by DHS/FEMA to a disaster area and provide assistance in structural collapse rescue, or may be pre-positioned when a major
disaster threatens a community. Each task force must have all its personnel and equipment at the embarkation point within six (6) hours of activation. The task force can be dispatched
and en route to its destination in a matter of hours. Below is a description of each type of task force. A A USAR Incident Management Team (USAR IMT) is also deployed with any activated
task forces. This initial 21-person team is comprised primarily of senior, experienced task force members along with several USAR Program Office staff members. Their responsibility is
to interact with the local incident commander and emergency response personnel to assist with the integration of multiple USAR task forces into their operations, and to provide the necessary
support to the National USAR task forces. • Type 1 – 70 person team to conduct search and heavy rescue operations. • Type III (Light Task Force) – 28 person team conducting daylight
operations. Capabilities • Physical search and rescue operations in damaged/collapsed structures. • Operations in a known or suspected weapons-of-mass-destruction environment. • Emergency
medical care for entrapped victims, task force personnel, and lost canines. • Reconnaissance to assess damage and needs, and provide feedback to other officials. • Assessment/shut-off
of utilities to houses and other buildings. • Hazardous materials survey/evaluations. • Structural and hazard evaluations of buildings. • Stabilization of damaged structures, including
shoring and cribbing operations. Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R16 Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R17 Annex R (Search & Rescue) • A 62,000-pound equipment cache, configured to quickly deploy with the team. Contacts: BC
Erik Sandstrom Unified Fire Authority 2651 South 600 West Salt Lake City, UT 84115 Cpt. Dave Vialpando Salt Lake City Fire 2651 South 600 West Salt Lake City, UT 84115 ell Salt Lake
City Fire Dispatch Redacted Version
Activation Criteria Request from local jurisdiction (likely will require a declaration) Information needed by teams: • Weather/Road Status • Fuel situation • Food Situation • Safety
Issues • Commo Plan • Medical Care Capacity • Location for Base of Operations • Local Point of Contact Authorization Secretary of Homeland Security Activation Procedure 1) Contact the
Gallatin County Emergency Management Duty Officer . 2) EMDO will contact MT DES Duty Officer ( ). 3) After approval by the state, a request will be submitted to Regional Response Coordination
Center ( ) for FEMA Region 8 in Lakewood, CO. 4) Region 8 will then forward the request to the FEMA Operations Center ( ) at Mount Weather, VA for approval. Gallatin County EMP, Annex
R (Search & Rescue), 05/18/11, Page R18 Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R19 ATTACHMENT B Urban Search and Rescue Marking Annex R (Search & Rescue) Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R20 Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R21 Annex R (Search & Rescue) Redacted Version
ATTACHMENT C Montana USAR Resources Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R22 Redacted Version
Gallatin County EMP, Annex R (Search & Rescue), 05/18/11, Page R23 Annex R (Search & Rescue) Redacted Version
BLANK PAGERedacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex S : Transpor tation Redacted Version
BLANK PAGERedacted Version
Gallatin County Emergency Management Plan Executive Summary – Transportation Mitigation Preparedness Response Recovery ReadyGallatin.com The Transportation Annex provides information
about our transportation system. The primary agencies for this function are the local public works agencies. This annex addresses how our transportation is maintained as well as how
transportation services are delivered during an incident. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S2 APPROVAL & IMPLEMENTATION ANNEX S: TRANSPORTATION This annex is hereby approved. This annex is effective immediately
and supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S3 Annex S (Transportation) RECORD OF CHANGES ANNEX S: TRANSPORTATION Date of Change Date Entered Change Entered By 1 2
3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………….……... S6 II. SUPPORTING AGENCIES………………………………………………….. S6 III.
AUTHORITY A. Federal……………………………………………………………….... S6 B. State……………………………………………………………………. S6 C. Local…………………………………………………………………… S6
IV. PURPOSE…………………………………………………………..………… S6 V. EXPLANATION OF TERMS……………………………………………….… S7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... S7 B. Assumptions……………………………………………………………
S8 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… S9 B. Phases of Management……………………………………………….. S11 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization……………………………………
……………………… S12 B. Assignment of Responsibilities……………………………..……….. S12 IX. COORDINATION A. General………………………………………………………………… S14 B. Line of Succession……………………………………………………. S14 X. ADMINISTRATION
& SUPPORT A. Records………………………………………………………………… S14 B. Training & Equipment…………….…………………………………... S15 C. External Support……….…………………………………………...… S15 XI. ANNEX DEVELOPMENT & MAINTENANCE
A. Development and Maintenance…………………………………….. S15 Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S5 Annex S (Transportation) ATTACHMENTS A. Cargo Transportation Request………………………………………. S16 B. Passenger Transportation
Request…………………...……………. S17 C. Vehicle & Equipment Record & Use Log………….….……………. S18 D. Resources, Contacts, Quantities…………………………………… S19 Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S6 ANNEX S: TRANSPORTATION I. PRIMARY AGENCIES Gallatin County Road and Bridge Department, Municipal Public Works II. SUPPORTING
AGENCIES III. AUTHORITY A. FEDERAL Name Description Legal TBD B. STATE Name Description Legal TBD C. LOCAL Name Description Legal TBD IV. PURPOSE This annex outlines our concept of operations
and organizational arrangements for transportation of people, supplies, and materials during emergency situations, assigns responsibilities for various transportation tasks, and outlines
related administrative requirements. V. EXPLANATION OF TERMS Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S7 Annex S (Transportation) A. ACRONYMS GCCC Gallatin County Coordination Center (aka EOC) ICP Incident Command Post MHE
Materials Handling Equipment PEO Principle Executive Officer SOP Standard Operating Procedures VI. SITUATION & ASSUMPTIONS A. SITUATION 1) In an emergency situation, the transportation
of people, equipment, and supplies may have to be facilitated and in support of response and recovery activities. We have the ultimate responsibility for arranging and/or providing the
transportation needed to support emergency operations. 2) During emergency situations, rapid evacuation from areas at risk may be necessary for schools, hospitals, nursing homes, the
elderly, those with disabilities, and prisoners. 3) Specialized transportation may be needed to transport special needs groups, such as medical patients and prisoners. 4) Our transportation
equipment, and that of private transportation companies, may sustain damage during emergency situations, and trained equipment operators may become disaster victims, limiting the means
available to transport people and relief equipment and supplies. 5) Transportation infrastructure, such as roads, bridges, and railroads, may sustain damage during emergency situations
making it difficult to use some of the transportation assets that are available. See Attachment D for a listing of transportation resources, contacts, and quantities. 6) Major emergency
situations may disrupt normal transportation systems, leaving many people, such as school children, the elderly, infirm, and those with disabilities, without transportation. 7) Some
cargo may require materials handling equipment (MHE) at the on-load point and the delivery point. The availability of such equipment must be considered in transportation planning. 8)
In coordinating the use of transportation resources, qualified drivers must be included in the arrangements. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S8 9) Special facilities, such as schools, hospitals, nursing homes, day care facilities, and correctional facilities, are
responsible for the welfare and safety of all persons. Virtually all such facilities are required to have an emergency plan that includes provision for emergency evacuation. The facility
operator is responsible for making arrangements for suitable transportation. B. ASSUMPTIONS 1) If people must be evacuated or relocated, the primary mode of transportation for most residents
will be personal vehicles. However, transportation must be provided for people who do not have vehicles. 2) During emergency situations, we will use our own transportation resources
and those available pursuant to inter-local (mutual aid) agreements to the extent that they are available. 3) If commercial transportation providers that we normally work with are able
to support our emergency needs, we will continue to contract with those companies during emergency situations. 4) As school buses are the primary passenger transportation resource, we
assume that local school districts will respond to requests for transportation assistance from local government during emergency situations. 5) If we are unable to obtain transportation
services from commercial providers, we may rent or lease transportation equipment to provide the required transportation. 6) Businesses or individuals may be willing to donate transportation
services or loan transportation equipment during emergency situations. 7) Municipal or rural transit system buses will be diverted from their normal routes and schedules as needed to
support emergency operations. 8) Transportation may be requested from Montana DES when the assets within the jurisdiction are not sufficient. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S9 Annex S (Transportation) VII. CONCEPT OF OPERATIONS A. GENERAL 1) When carrying out emergency transportation activities,
immediate needs must be considered first, followed by continuing requirements. Immediate transportation needs normally involve the evacuation of people from risk areas, including residents
of special facilities. Continuing transportation needs typically involve the movement of relief supplies, equipment, and emergency workers during response and recovery operations. 2)
Where possible, emergency passenger transportation requirements will be satisfied with the following resources: a) Voluntary use of personal vehicles b) City or county-owned vehicles
c) School buses d) Leased or rented buses e) Passenger vehicles provided by other jurisdictions pursuant to interlocal agreements f) Donated transportation equipment or services g) Municipal
or rural transit system buses h) State-owned or contracted vehicles 3) Where possible, emergency cargo transportation requirements will be satisfied with the following resources: a)
City or county-owned vehicles b) Commercial freight carriers c) Leased or contract equipment d) Cargo vehicles provided by other jurisdictions pursuant to inter-local agreements e) Donated
transportation equipment or services 4) Special Facilities Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S10 a) Schools & Day Care Centers. If evacuation of public schools is required, students will normally be transported on
school buses. Private schools and day care centers, including adult day care facilities, typically do not have significant transportation resources and may require other local or state
government transportation assistance during emergencies. b) Hospitals, Nursing Homes & Correctional Facilities. Transportation of many medical patients and prisoners requires specialized
transportation and appropriate medical or security support. The facility operator is responsible for making arrangements for suitable transportation and coordinating use of appropriate
host facilities. In the case of short-notice or no-notice emergency situations, facilities may be unable to make the required arrangements for transportation and local or state government
may need to assist. Some nursing home patients may be able to use normal transportation vehicles. 5) Individuals with Special Needs. Individuals who are aged, ill, or have disabilities
may need special transportation assistance, including boarding assistance and help with their belongings. They may be unable to walk to transportation pickup points for the general public.
6) Requesting Transportation Support. a) Requests for transportation support may be generated by an Incident Commander or by departments and agencies that require additional transportation
support to carry out the emergency responsibilities assigned in this plan. Requests for transportation support should be made to the Transportation Officer using the Cargo Transportation
Request in Attachment A or the Passenger Transportation Request in Attachment B. Requesters must assign a priority to their requests. b) The Transportation Officer shall identify appropriate
transportation resources to fill such requests, coordinating as necessary with the requester and transportation providers. 7) External Support. In accordance with this plan, emergency
support and assistance will be provided as quickly as is feasible. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S11 Annex S (Transportation) B. PHASES OF MANAGEMENT 1) Prevention a) Identify and maintain a current list of local public
and private transportation resources. See Annex M (Resource Management) for a list of transportation resources. b) Identify possible transportation needs that could result from various
disasters. c) Develop procedures for preserving transportation resources from known hazards by relocating them or protecting them in place. 2) Preparedness a) Determine possible emergency
transportation needs and related requirements for moving people, supplies, and equipment. Assess capabilities in relation to requirements to identify resource shortfalls; identify additional
resources required. b) Negotiate agreements with other jurisdictions, public agencies, and private industry for use of their transportation assets, and, where appropriate, drivers during
emergency situations. c) Participate with other departments and agencies in the determination of evacuation routes for known hazards and, where appropriate, pickup points and/or routes
for those who may require public transportation. d) Review special facility evacuation plans to ensure they include realistic transportation arrangements. e) Plan and execute exercises
involving the public and private sector. These exercises should include the utilization of various types of transportation and heavy-duty equipment. 3) Response a) Activate emergency
transportation function to receive and process requests for cargo and passenger transportation. b) Respond to transportation requests within limits of available resources. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S12 c) Monitor transportation resource status and identify requirements for additional resources to the GCCC. d) Maintain
records on use of transportation resources (see Attachment C). 4) Recovery a) Continue to coordinate transportation of equipment, supplies and passengers as needed. b) Assess further
transportation needs of citizens and provide transportation as needed. c) Return borrowed resources and those obtained through agreement, lease, or rental when those resources are no
longer required. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Our normal emergency organization, described in the Basic Plan, shall carry out the function of
providing transportation services in emergency situations. 2) The PEO shall provide policy guidance with respect to emergency transportation operations. 3) The Transit System Operations
Chief and/or the ISD Transportation Manager shall serve as Transportation Officer and coordinate emergency transportation operations. B. ASSIGNMENT OF RESPONSIBILITIES 1) The Transportation
Officer will: a) Identify available transportation resources (and maintain a transportation resource contact list. See Annex M (Resource Management) for more information. b) Coordinate
with schools, other public agencies, and businesses regarding emergency use of their transportation assets and develop appropriate agreements and procedures for notifying appropriate
officials of emergency situations. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S13 Annex S (Transportation) c) Coordinate with local public transportation authorities and commercial transportation providers
to establish procedures for providing transportation resources during emergency situations. d) Coordinate with other emergency services to identify and prioritize requirements for transportation
of supplies, equipment, materials, and passengers necessary for response and recovery operations. e) Coordinate with special facilities to determine their requirements for specialized
transportation support during emergencies and the arrangements the facilities have made to provide such support. f) Coordinate public transportation support for mass evacuations. g)
Coordinate with Law Enforcement on evacuation routes and the location of transportation pickup points and staging areas. h) Coordinate with local public transportation authorities pickup
points and times for citizens requiring public transportation. i) Provide the Public Public Information Officer timely information on emergency transportation arrangements that can be
disseminated to the public. j) Coordinate with the Shelter Officer for passenger and cargo transportation to support shelter and mass care operations. 2) All departments and agencies
having transportation assets will: a) Provide current information on available transportation equipment to the Transportation Officer for use in updating the transportation resource
list. b) Upon request of the Transportation Officer and to the extent possible, provide equipment and personnel to fulfill requirements for emergency transportation of cargo and passengers,.
3) All departments and agencies will forward prioritized emergency transportation requests to the Transportation Officer for action. The request forms in Attachments A and B will be
used. 4) The Shelter Officer will identify transportation requirements to support for shelter and mass care operations to the Transportation Officer. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S14 5) Law Enforcement Agencies will: a) Determine evacuation routes and provide traffic control for large-scale evacuations.
b) Determine transportation pickup points and staging areas, in conjunction with the Transportation Officer. 6) The School District will upon request by the PEO, provide buses and drivers
to assist in emergency operations. 7) The Transit Authority will upon request by the PEO, provide buses and drivers to assist in emergency operations. IX. COORDINATION A. GENERAL 1)
The PEO will establish priorities for and provide policy guidance for transportation activities. 2) The PEO will provide general direction to the Transportation Officer regarding transportation
operations. 3) The Transportation Officer and staff will plan, coordinate, and carry out transportation activities. B. LINE OF SUCCESSION The line of succession for the Transportation
Officer is… X. ADMINISTRATION & SUPPORT A. RECORDS 1) Records will be maintained on the use of all transportation equipment, whether owned, leased, rented, or borrowed; see Attachment
C. These records will be used as basis for possible recovery of emergency operations expenses from a responsible party or reimbursement of certain expenses by the state or federal government.
The Transportation Officer will retain records of equipment usage until a final decision is made by the PEO concerning claims for cost recovery or reimbursement. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S15 Annex S (Transportation) 2) Vital records should be protected from the effects of disasters to the maximum extent feasible.
Should records be damaged during an emergency situation, professional assistance in preserving and restoring those records should be obtained as soon as possible. B. TRAINING & EXCERCISES
1) Transportation personnel who will staff the GCCC shall receive appropriate training on the operation of those facilities, which should be arranged by the Transportation Officer. 2)
Emergency exercises should periodically include a scenario that provides for the demonstration of emergency transportation. C. EXTERNAL SUPPORT 1) Summaries of inter-local agreements
and agreements with other governmental entities, volunteer groups, and businesses for resource support, as well as contingency contracts with commercial transportation providers are
listed in the Basic Plan. Activation of such agreements and contracts will normally be coordinated through the GCCC. 2) If transportation requirements cannot be satisfied with the resources
available locally or through agreements and contracts, assistance may be requested from the state. Request for state assistance will be made to MT DES by the PEO or a person authorized
to act for him/her. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE 1) The Transportation Officer is responsible for developing and maintaining this annex. Recommended
changes to the annex should be forwarded as soon as needs become apparent. 2) This annex will be reviewed annually and updated in accordance with the schedule outlined in the Basic Plan.
3) Departments and agencies assigned responsibilities in this annex are responsible for ensuring that their SOPs cover those responsibilities. Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S16 ATTACHMENT A CARGO TRANSPORTATION REQUEST Date of Request: Cargo Information: Loose: No. of Boxed: No. of Pallets: Total
weight in lbs: Received from: Place/Address: People available to load the truck? Yes. No. If no, how many people are needed? Equipment available to load the truck? Yes. Type: No. Contact
at pick-up: Name: Phone #: Deliver to: Date/Time: Place/Address: People available to unload the truck? Yes. No. If no, how many people are needed? Equipment available to unload the truck?
Yes. Type: No. Contact at drop: Name: Phone #: Deliver to: Date/Time: Place/Address: Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S17 Annex S (Transportation) ATTACHMENT B PASSENGER TRANSPORTATION REQUEST Priority: 1 2 3 Date of Request: Requested by:
Organization/Department: Number of people needing transportation: Number of Adults: Number of Children: Ambulatory: Yes. No. If No, list any special vehicles or equipment needed: Date
of Pick Up: Pick up from: Place/Address: People available to assist non-ambulatory passengers? Yes. No. If no, how many people are needed to assist? Pick Up Contact Information: Name:
Phone #: Date of Drop off: Drop Off Point: Place/Address: Drop Off Contact Information: Name: Phone #: Resources Committed: Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S18 ATTACHMENT C VEHICLE/EQUIPMENT RECORD & USE LOG Vehicle/Equipment Type: Identification or License Number: Odometer/Hour
Meter Reading: Date Received: Time Received: Type of Asset: City/County Asset School District Asset Leased/Rented Borrowed/Loaned Other: Owner: Address: Operational Status: Good Fair
Poor Operator Provided: Yes No Maintenance Performed (if any): Return Date: Return Time: Odometer/Hour Meter Reading Upon Return: Remarks: USE LOG Date of Use: Starting Mileage: Ending
Mileage: Operator: Mission Description: Redacted Version
Gallatin County EMP, Annex S (Transportation), 05/18/11, Page S19 Annex S (Transportation) ATTACHMENT D Local Mass Transportation Facility Location Vehicles Contact Info Belgrade Schools
Belgrade 47 Buses First Student Bozeman 44 Buses Streamline/Galavan Bozeman 13 Buses Karst Stage Bozeman 20 Buses 3 Mini Buses 13 Vans Buffalo Bus Lines West Yellowstone 3 Buses Redacted
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Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex U : Legal Redacted Version
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Gallatin County Emergency Management Plan Executive Summary – Legal Mitigation Preparedness Response Recovery ReadyGallatin.com The Legal Annex provides guidance on the laws pertaining
to emergencies and disasters. The local legal department are the primary agencies for this function. This annex provides information and templates for the standard activities utilized
during and emergency or disaster. The annex contains the legal requirements, as well as templates, explaining the declaration process for a local entity. The difference between an emergency
being a smaller scale event that is able to be handled locally, or may not come to attrition, compared to a disaster where a jurisdiction’s capacity has been exceeded is explained. The
process of what needs to happen to obtain state financial assistance is outlined and templates provided. This process is often misunderstood and the relation to a local jurisdiction’s
emergency 2 mill levy. Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U2 APPROVAL & IMPLEMENTATION ANNEX U: LEGAL This annex is hereby approved. This annex is effective immediately and supersedes all
previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U3 ANNEX U (LEGAL) RECORD OF CHANGES ANNEX U: LEGAL Date of Change Date Entered Change Entered By 1 2 3 4 5 6 7 8 9 10 11 12 13 14
15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………….……... U6 II. SUPPORTING AGENCIES………………………………………………….. U6 III. AUTHORITY
A. Federal……………………………………………………………….... U6 B. State……………………………………………………………………. U6 C. Local…………………………………………………………….……… U6 IV. PURPOSE…………………………………………………………..…………U6 V. EXPLANATION OF TERMS……………………………………
………….… U7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... U7 B. Assumptions…………………………………………………………… U7 VII. CONCEPTS OF OPERATIONS A. General…………………………………………………………………
U8 B. Phases of Management……………………………………………….. U9 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization…………………………………………………………… U10 B. Assignment of Responsibilities……………………………..………..
U10 IX. COORDINATION A. General………………………………………………………………… U12 B. Coordination………………..…………………………………………. U12 X. ADMINISTRATION & SUPPORT A. Maintenance of Records………………...…………………………… U13
B. Preservation of Records……..….……….…………………………... U13 C. Training………..……….………………….………………………...… U13 Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U5 ANNEX U (LEGAL) XI. ANNEX DEVELOPMENT & MAINTENANCE A. Development and Maintenance…………………………………….. U13 ATTACHMENTS A. County Declaration
Resolution…………………………………….. U14 B. Municipal Declaration Resolution………………………………….. U15 C. Emergency or Major Disaster Declaration Request……………... U16 D. Local Declaration Request to the
Governor…………………........ U17 Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U6 ANNEX U: LEGAL I. PRIMARY AGENCIES Gallatin County Attorney, Municipal Attorneys II. SUPPORTING AGENCIES III. AUTHORITY A. FEDERAL
Name Description Legal B. STATE Name Description Legal Legal & Emergency Emergency powers MCA 10-3-4 Proclamation of emergency Powers of officials MCA 10-3-505 Expenditure From Fund
State Assistance Requirements ARM 34.3.102 C. LOCAL Name Description Legal IV. PURPOSE The purpose of this annex is to make provisions for legal services during emergency situations,
or when such situations appear imminent, and to provide guidance for invoking the emergency powers of government when necessary. Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U7 ANNEX U (LEGAL) V. EXPLANATION OF TERMS A. ACRONYMS FEMA Federal Emergency Management Agency GCCC Gallatin County Coordination
Center IC Incident Commander PEO Principal Executive Officer B. DEFINITIONS Principal Executive Officer Head elected official for a given jurisdiction such as a mayor or chairman of
a commission. Individual must be an elected official to be capable of meeting state, federal law, and legal opinions. VI. SITUATION AND ASSUMPTIONS A. SITUATION Gallatin County faces
a number of hazards that could threaten public health and safety and personal and government property; see the Basic Plan for a summary of these hazards. Legal issues requiring timely
resolution may arise from during any phase of the emergency, from pre-disaster hazard mitigation, the actual response to a disaster, or during the post-disaster recovery process. B.
ASSUMPTIONS 1) Local emergency preparedness plans and programs should have a sound legal basis. 2) In responding to major emergencies and disasters, local officials may be required to
take extraordinary measures to protect public health and safety and preserve property. They will also require timely advice regarding the legality of proposed measures. 3) Implementation
of measures to protect public health and safety and preserve property during emergency recovery and mitigation activities generally require issuance of appropriate legal documents. These
should be prepared by competent legal service professionals. VII. CONCEPT OF OPERATIONS Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U8 A. GENERAL 1) Emergency Declaration a) Pursuant to Montana Code Annotated 10-3-402, the Principle Executive Officer (PEO) of a
city or county may declare a state of legal emergency for a political subdivision by order or resolution. A sample emergency declaration is provided in Attachment A & B. Copies of a
emergency declaration should be filed with the MT DES and the County Clerk. b) An emergency proclamation must contain: a. Nature of event b. Area threatened c. Conditions leading to
the proclamation d. Disseminated promptly to the public e. Filed with Montana DES and local clerk c) Issuance of an emergency proclamation activates the applicable parts of the Emergency
Management Plan. d) An emergency proclamation may be terminated by a disaster declaration or by the PEO when the emergency no longer exists. 2) Disaster Declaration a) The Montana Code
Annotated 10-3-403, provides that the Principal Executive Officer of the governing body of a political subdivision may declare a local state of disaster. A disaster declaration may be
issued when a disaster is occurring or has occurred. PEOs, in order to respond to or recover from a significant natural or man-made disaster, typically use the disaster declaration process.
A sample disaster declaration is provided in Attachment A & B. Copies of a disaster declaration should be filed with the MT DES and the County Clerk. b) An disaster declaration must
contain: a. Nature of event b. Area threatened c. Conditions leading to the proclamation d. Disseminated promptly to the public e. Filed with Montana DES and local clerk c) Disaster
declaration enables jurisdictions to exercise special powers through activation of the Emergency Management Plan (MCA 10-3-505). Among those powers is the authority suspend procedural
laws and rules, use public and private resources to respond to the disaster, control the movement of people, restrict the sale and transportation of certain items, and take a number
of other actions. Once Once a state of Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U9 ANNEX U (LEGAL) disaster is declared, a city or county may enact an emergency ordinance or order describing the specific emergency
regulations that are to be put into effect during the disaster. d) An disaster proclamation may be terminated by the PEO when the disaster no longer exists. 3) By unanimous vote of the
governing body an emergency millage may be levied to cover expenditures. a. Shall not exceed 2 mills of the taxable value of the affected area. b. Levy must be passed only by unanimous
vote of the appropriate body. c. Expenditure of levied revenue must be approved by the levying body. d. Multiple levies may be done in one year, but the total annual assessment may not
exceed 2 mills in any one year. e. Any leftover funds must be retained in a separate fund for future emergencies. 4) Authority for Evacuations. State law provides a PEO with the authority
to order the evacuation of all or part of the population from a stricken or threatened area within their respective jurisdictions. Please see Annex E, Evacuation, for information on
evacuations. MCA 10-3-406 5) Financial assistance
from the Montana State Emergency and Disaster Fund. This only applies to financial assistance, not resource assistance. ARM 34.3 a. Financial assistance is available to local jurisdictions
that can demonstrate the following: i. All available emergency levies will be exhausted. Levies do not have to be done immediately, but can be done after costs are known. Levies must
be expended before state money is expended. ii. The emergency is beyond the financial capability of the responsible entity. b. Local financial capability is determined utilizing the
formula outlined in ARM 34.3.103. i. Capability Formula Cash Balance including reserves $_______________________ Receipts 2 Mill emergency levy $_______________________ Receipts from
maximum permissive levy and other anticipated revenues $_______________________ SUB TOTAL $_______________________ Less regular operating budget including reserve budgeting for current
year. $_______________________ Balance available to respond to emergency $_______________________ Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U10 ii. Requests for financial assistance to the state must be completed utilizing Attachment D after completion of the following
by the local jurisdiction: 1. Disaster Declaration 2. Initial Damage Assessment 3. 2 Mill Levy (not necessarily done, but authorized) B. PHASES OF MANAGEMENT 1) Prevention a) Brief the
elected officials and department heads on possible liabilities arising from disaster operations, procedures for invoking the emergency powers of government, and legal documents relating
to emergency powers. b) Maintain current copies of existing disaster-related laws, regulations, and orders. c) Develop local procedures for invoking emergency powers. d) Prepare sample
legal documents (included in this annex) for approval by elected officials. 2) Preparedness a) Ensure County/City emergency call-out rosters include the County and City Attorneys, who
should maintain current telephone numbers and addresses for the legal staff. b) Review plans and procedures. c) Review mutual aid agreements submitted to the jurisdiction for approval
and prepare mutual aid agreements to be submitted to other jurisdictions for approval. 3) Response a) Advise the PEO and emergency services staff on legal implications of response activities.
b) Prepare, have approved and signed, and disseminate legal documents declaring a disaster, terminating a disaster declaration, or invoking emergency powers, if required. Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U11 ANNEX U (LEGAL) c) Advise the Incident Commander (IC) on legal matters, such as emergency proclamations, legality of evacuation
orders, and legal rights and restrictions pertaining to media access. 4) Recovery a) Advise County/City officials on legal aspects of recovery operations. b) Assist County/City officials
in preparing emergency ordinances, permits, applications for state or federal assistance, grant applications, and, if necessary, litigation. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES
A. ORGANIZATION Overall responsibility for providing legal services to the PEO, the City Council, department heads, and other local officials during an emergency rests with the respective
agency’s attorney. The County and City Attorneys will be assisted by his or her subordinates. B. ASSIGNMENT OF RESPONSIBILITIES 1) The PEO will: a) Will take such actions that are legal
and necessary to manage the disaster at hand. b) If the situation warrants, may declare a local state of disaster. Issuance of a local disaster declaration is advisable if an emergency
situation has resulted in substantial damage to privately owned or government property and state or federal assistance will be needed to recover from the incident. If a local disaster
declaration is issued, it shall be given prompt and general publicity. c) If the situation warrants, may request the Governor to declare a state of emergency. d) If requesting state
assistance to cope with a local disaster, should attach copies of any local disaster declaration that has been issued to the request for state assistance. See Annex J (Recovery) for
further information. Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U12 2) The County/City Attorney will: a) Advise PEOs and department heads regarding the emergency powers of local government and
necessary procedures for invoking measures upon request b) Review and advise officials on possible liabilities arising from disaster operations, including the exercising of any or all
of the above powers. c) Prepare and recommend legislation to implement the emergency powers that may be required during an emergency. d) Advise officials and department heads on record
keeping requirements and other documentation necessary for the exercising of emergency powers. e) Prepare and keep current this annex. f) During an emergency, report instances of overcharging
for emergency supplies, equipment, and repair materials to the Consumer Affairs section of the Office of the Attorney General. Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U13 ANNEX U (LEGAL) 3) City Secretary/County Clerk will: a) Publish required agenda of meetings b) Prepare a record of public meetings
c) Receive a copy of disaster declarations and documents extending or terminating a state of disaster d) Ensure proper protection of all records IX. COORDINATION A. GENERAL The County/City
Attorney is responsible for providing legal services to the PEO and department heads and for preparing all legal documents necessary for the conduct of emergency operations and the exercise
of emergency powers. Supervisors will exercise their usual supervisory responsibilities over legal personnel. B. COORDINATION The County/City Attorney will designate a person to coordinate
with the PEO and the GCCC, if activated. The County/City Attorney will identify staff members to be called for emergency duty and will designate those responsible for contacting such
staff members. X. ADMINISTRATION & SUPPORT A. MAINTENANCE OF RECORDS All records generated during an emergency will be collected and filed in an orderly manner so a record of events
is preserved for use in determining response costs, settling claims, and updating emergency plans and procedures. B. PRESERVATION OF RECORDS Vital legal records should be protected from
the effects of disaster to the maximum extent feasible. Should records be damaged during an emergency situation, professional assistance in preserving and restoring those records should
be obtained from a firm specializing in these tasks as soon as possible. C. TRAINING Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U14 Legal services personnel who will be participating in GCCC operations shall receive training on the operating procedures for
that facility. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE 1) The County/City Attorney is responsible for developing and maintaining this annex. 2) This annex will
be reviewed annually and updated in accordance with the schedule outlined in the Basic Plan. Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U15 ANNEX U (LEGAL) ATTACHMENT A SAMPLE COUNTY DECLARATION RESOLUTION RESOLUTION NO. WHEREAS, (type of occurrence: flooding, snowstorm,
tornado etc.) has caused severe damage to (type of damage: roads, bridges, public buildings etc.) within the County on (date damage occurred or began); and WHEREAS, restoration of these
(services and/or facilities) is essential to ensure the health, safety and welfare of residents of the County; and WHEREAS, the County has committed all available resources, taken all
possible action to combat and to alleviate the situation and local resources are not adequate to cope with the situation. NOW, THEREFORE, BE IT RESOLVED by the County Commissioners that
an (emergency or disaster) is hereby declared pursuant to Section 10-3-(402 or 403), MCA, because expenditures for repair and damaged facilities will be beyond the financial capability
of the County. BE IT FURTHER RESOLVED, that there shall be appropriated immediately to the Emergency Fund Number 2260 an amount not exceeding two (2) mills on the taxable valuation of
the County outside the incorporated municipalities, pursuant to Section 10-3-405, MCA. Said two (2) mills will be levied during fiscal year (the next Fiscal Year) and be utilized for
restoring services and repairing facilities damaged by the (type of occurrence: flooding, snowstorm, tornado, etc.). BE IT FURTHER RESOLVED, that copies of this resolution be filed with
the County Clerk and Recorder, County Assessor and the Montana Disaster and Emergency Services Division in Helena. PASSED AND ADOPTED by the (name of county) Board of County Commissioners
this day of , 2 . ________________________________ (SEAL) Chairman ________________________________ ATTEST: Commissioner ________________________________ Commissioner Clerk and Recorder
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Gallatin County EMP, Annex U (Legal), 05/18/11, Page U16 ATTACHMENT B SAMPLE MUNICIPAL DECLARATION RESOLUTION RESOLUTION NO. WHEREAS, (type of occurrence: earthquake, flooding, winter
storm etc.) has occurred or is anticipated within the City of (name of city) on or about (date of occurrence or anticipated occurrence). NOW, THEREFORE, BE IT RESOLVED by the City Council
that an (emergency or disaster) is hereby declared pursuant to Section 10-3-(402 or 403) MCA and all provisions of the City Emergency Operations Plan are in effect. BE IT FURTHER RESOLVED,
that copies of this resolution be filed with the City Clerk, County Assessor and the Montana Disaster and Emergency Services Division in Helena. PASSED AND ADOPTED by the (name of city
) City Council this day of , 2 . ________________________________ Mayor (SEAL) ________________________________ Member ATTEST: ________________________________ Member City Clerk Redacted
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Gallatin County EMP, Annex U (Legal), 05/18/11, Page U17 ANNEX U (LEGAL) ATTACHMENT C EMERGENCY OR MAJOR DISASTER DECLARATION REQUEST (Make sure you forward a copy of this document to
MT DES immediately.) The Honorable Governor of Montana State Capitol Helena, Montana 59620 Dear Governor : On May 5, 1985, heavy rain began falling with six inches of rain recorded by
May 20, 1985. The rain and accompanying warming temperatures, combined with rapid snowmelt in the higher elevations, caused rivers and streams to leave their channels and cause widespread
flooding in the county. Flooding has caused extensive damage to public and private property throughout the county. Over 125 families are homeless and sheltered in public and private
facilities, 30 businesses have sustained damage, agricultural losses are extensive and public facilities have sustained major damage. Local emergency and disaster plans have been activated;
county funds, personnel and resources have been committed to disaster operations and a state of disaster has been declared. Based on preliminary damage assessments for both private and
public sectors, we believe that the disaster is of such magnitude that local and state resources will not be capable of effectively alleviating the situation. Therefore, we ask that
you submit a request to the President to declare that an emergency or disaster exists for this county under provisions of the Robert T. Stafford Disaster Relief and Emergency Assistance
Act, Public Law 100-707. ________________________________ (Chairman or Mayor) ________________________________ Member ________________________________ Member cc: Administrator Montana
Disaster and Emergency Services Division P.O. Box 4789 Fort Harrison, Montana 59636-4789 Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U18 ATTACHMENT D LOCAL DECLARATION REQUEST TO GOVERNOR (Type on the requesting jurisdiction’s letterhead.) Date: The Honorable ___________________
_ Governor of Montana State Capitol Helena, Montana 59620 Dear Governor : Pursuant to our authority as of , Montana, we request that an emergency/disaster be declared immediately to
provide supplemental disaster relief in accordance with the provisions of Title 10, Chapter 3, Section 311, MCA. 1. SITUATION A. Date and description of conditions causing emergency/disaster:
Beginning May 15, 1985, heavy rain began falling with 6" recorded by May 20, 1985. The rain, warming temperatures and rapid snowmelt in the higher elevations caused rivers and streams
to leave their channels and flood adjacent lowland areas. B. Description of damages to public sector: (If appropriate.) Preliminary damage assessments indicate widespread damage to county
roads. An estimated 25 county roads are impassable due to flood damage. Three Three rural communities are completely isolated at this time and two others are accessible only through
long detours. C. Description of damages to private sector: Farm and ranch damages are extensive, with livestock losses especially heavy. It is estimated that 100 farm or ranch families
are isolated because of loss of road access. In addition to damage in the communities of Brownsville, Golden, Brockport, Park City and Willis, 125 families were evacuated. D. Description
of economic impact: Immediate economic impact is apparent; a major employer, M&M Manufacturing that employs 250 people at their plant in Brownsville, has ceased operations since supply
and delivery problems, as well as employee absenteeism, preclude normal operations. The company anticipates return to full production in 30-40 days. 2. OFFICIAL ACTION A. A local (emergency/disaster)
has been declared and the emergency two (2) mill levy authorized by Section 10-3-405, MCA, has been levied. A copy of the signed resolution is attached. Redacted Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U19 ANNEX U (LEGAL) B. Other actions taken The local health officer has issued a boil order for all drinking water due to possible
contamination. Also, the sheriff's posse was activated and they assisted in the evacuation of Willis. 3. DAMAGE ESTIMATES A. Debris Clearance $ 5,000.00 B. Protective Measures $ 2,500.00
C. Road Systems $ 62,500.00 D. Water Control Facilities $ E. Public Buildings and Related Equipment $ F. Public Utilities $ G. Public Facilities Under Construction $ H. Other Damages
(Not in above categories) $ TOTAL ESTIMATED DAMAGES: $ 70,000.00 4. LOCAL RESOURCES Names of Funds Involved: (Road Fund) Cash balance in Disaster Fund as of June 30, 2_____ $ 687.00
Estimated value of 2 mill emergency levy $ 24,848.00 ESTIMATED FINANCIAL RESOURCES AVAILABLE: $ 25,535.00 5. ASSISTANCE REQUIRED ESTIMATED STATE ASSISTANCE REQUESTED: $ 44,465.00 (Title
of Board or Council) By: (Chairman or Mayor) _________________________ (Member) _________________________ (Member) __________________________ (SEAL) ATTEST: (Clerk and Recorder or City
Clerk) cc: Administrator Montana Disaster & Emergency Services P.O. Box 4789 Fort Harrison, MT 59636-4789 Redacted Version
Gallatin County EMP, Annex U (Legal), 05/18/11, Page U20 ATTACHMENT E SAMPLE CANCELLATION OF DISASTER OR EMERGENCY RESOLUTION NO. WHEREAS, (type of occurrence: flooding, snowstorm, tornado
etc.) occurred causing severe damage to (type of damage: roads, bridges, public buildings etc.) within the County on (date damage occurred or began); and WHEREAS, this occurrence is
no longer in excess of the county’s capability. NOW, THEREFORE, BE IT RESOLVED by the County Commissioners that the (emergency or disaster) defined in Resolution (resolution number)
is hereby terminated pursuant to Section 10-3-404, MCA.. BE IT FURTHER RESOLVED, that copies of this resolution be filed with the County Clerk and Recorder, County Assessor and the Montana
Disaster and Emergency Services Division in Helena. PASSED AND ADOPTED by the (name of county) Board of County Commissioners this day of , 2 . ________________________________ (SEAL)
Chairman ________________________________ ATTEST: Commissioner ________________________________ Commissioner Clerk and Recorder Redacted Version
Emergency Management Plan For the communities of: Belgrade, Bozeman, Manhattan, Three Forks, West Yellowstone and unincorporated Gallatin County Annex V : Ter rorist Incident Redacted
Version
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Gallatin County Emergency Management Plan Executive Summary – Terrorist Incident Mitigation Preparedness Response Recovery ReadyGallatin.com The Terrorist Incident Annex provides guidance
on the uniqueness of a terrorist incident. Local law enforcement are the primary agencies for this function. This annex addresses the differences introduced during a terrorist incident
compared to a normal event. A large portion of this annex consists of checklists and information on specialized resources. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V2 APPROVAL & IMPLEMENTATION ANNEX V: TERRORIST INCIDENT This annex is hereby approved. This annex is effective immediately and
supersedes all previous editions. Date Date Date Date Date Date Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V3 Annex V (Terrorist Incident) RECORD OF CHANGES ANNEX V: TERRORIST INCIDENT Date of Change Date Entered Change Entered By 1
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V4 TABLE OF CONTENTS I. PRIMARY AGENCIES………………………………………………………… V6 II. SUPPORTING AGENCIES………………………………………………….. V6 III. AUTHORITY
A. Federal…………………………………………………………………. V6 B. State……………………………………………………………………. V6 C. Local……………………………………………………………………. V6 IV. PURPOSE…………………………………………………………..………… V7 V. EXPLANATION OF TERMS
A. Acronyms………………………………………………………………. V7 B. Definitions……………………………………………………………… V7 VI. SITUATIONS & ASSUMPTIONS A. Situation………………………………………………………………... V8 B. Assumptions……………………………………………………………
V9 VII. CONCEPTS OF OPERATIONS A. General………………………………………………………………… V10 B. Preparedness…………………………………………..….………….. V11 C. Response & Recovery……………………………………………….. V11 D. Implementation
of the ICS…………………………………………… V12 E. Coordination of Incident Consequence Management Activities…… V13 F. Protective Actions………………………………………………………. V14 G. Requesting External Assistance………………………………………
V15 H. Coordination of Medical Response to Biological Weapons………… V16 I. Phases of Management………………………………………………… V16 VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. Organization………………………………………
…………………… V18 B. Assignment of Responsibilities…………………………………….... V19 IX. COORDINATION A. General………………………………………………………………… V23 Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V5 Annex V (Terrorist Incident) X. ADMINISTRATION & SUPPORT A. Reports & Records……………………………………………………. V24 B. Post-Incident Review…………………….……………
……………… V24 XI. ANNEX DEVELOPMENT & MAITENANCE………………………………. V24 ATTACHMENTS A. Terrorist Incident Response Checklist………………………...….…V26 B. Point of Contacts……………………………………………………… V30 C.
Terrorist Weapons, Effects & Emergency Response Needs.……. V31 D. Specialized Response Resources…………………………………... V41 E. Hazard Boundary……………………………………………………… V43 F. MATIC…………………………………………………………………..
V44 Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V6 ANNEX V: TERRORIST INCIDENT I. PRIMARY AGENCIES Gallatin County Law Enforcement Agency Having Jurisdiction II. SUPPORTING AGENCIES
Gallatin County Fire Protection Agencies, Emergency Management III. AUTHORITY A. FEDERAL Name Description Legal Defense Against Weapons of Mass Destruction Act Public Law 104-201 Terrorism
Annex of the Federal Response Plan Nuclear/Radiological Incident Annex NUC-3, National Response Plan Homeland Security Presidential Directive 5, Management of Domestic Incidents Homeland
Security Presidential Directive 7, Critical Infrastructure, Prioritization, and Protection B. STATE Name Description Legal State Emergency Response Community/HazMat Teams MCA 10-3-1204
Tactical Incident Assistance Tactical Incident Assistance MCA 10-3-7 C. LOCAL Name Description Legal Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V7 Annex V (Terrorist Incident) IV. PURPOSE The purpose of this annex is to 1) outline operational concepts and tasks, 2) assign
responsibilities for preparing for and responding to terrorist incidents that may occur, and 3) describe state and federal assistance that may be available in response to a terrorist
incident. V. EXPLANATION OF TERMS A. ACRONYMS AHJ Authority Having Jurisdiction CBRNE Chemical, Biological, Radiological, Nuclear, Explosives EMS Emergency Medical Service FBI Federal
Bureau of Investigation GCCC Gallatin County Coordination Center (aka GCCC) GCEM Gallatin County Emergency Management Hazmat Hazardous Materials IC Incident Commander ICP Incident Command
Post ICS Incident Command System JIC Joint Information Center JOC Joint Operations Center NIMS National Incident Management System NRF National Response Framework PEO Principal Executive
Officer UC Unified Command WMD Weapons of Mass Destruction B. DEFINITIONS Anti-Terrorism Activities Use of defensive methods, including intelligence collection, investigation, passive
protection of facilities, implementation of physical and personnel security programs, and emergency planning, to combat terrorism. Counter-Terrorism Activities Offensive measures used
to combat terrorism, such as the use of law enforcement and military resources to neutralize terrorist operations. Consequence Management The requirements of crisis management and consequence
management have been combined. They combine the law enforcement function of identification and prevention of terrorist activities with the emergency management function of Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V8 protection of public health and safety and emergency relief from the consequences of acts of terrorism. National Incident Management
System (NIMS) The NIMS provides a consistent nationwide approach for federal, state, territorial, tribal, and local governments to work effectively and efficiently together to prepare
for, prevent, respond to, and recover from domestic incidents, regardless of cause, size, or complexity. National Response Framework (NRF) NRF is an all-discipline, all-hazards plan
that establishes a single, comprehensive framework for the management of domestic incidents. It provides the structure and mechanisms for the coordination of federal support to state,
local and tribal incident managers and for exercising direct federal authorities and responsibilities. Technical Operations Actions to identify, assess, dismantle, transfer, or dispose
of WMD or decontaminate persons and property exposed to the effects of WMD. Terrorist Incident A violent act or an act dangerous to human life, in violation of the criminal laws of the
United States or of any state, to intimidate or coerce a government, the civilian population, or any segment thereof in furtherance of political and social objectives. Weapons of Mass
Destruction WMD include: (1) explosive, incendiary, or poison gas bombs, grenades, rockets, or mines (2) poison gas (3) any weapon involving a disease organism, or (4) any weapon that
is designed to release radiation or radioactivity at a level dangerous to human life. VI. SITUATION & ASSUMPTIONS A. SITUATION 1) A significant terrorist attack is considered highly
unlikely. However, Gallatin County is vulnerable to terrorist incidents, and the consequences of a major terrorist incident could be catastrophic. Hence, mitigating against, preparing
for, responding to such incidents, and recovering from them is an important function of government. 2) Terrorism is both a law enforcement and emergency management problem. a) Virtually
all terrorist terrorist acts involve violation of laws. Hence, law enforcement agencies gather and analyze intelligence on terrorists Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V9 Annex V (Terrorist Incident) and may develop estimates of their intentions. Access to this criminal intelligence information
is necessarily limited, but significant threats must be communicated by law enforcement agencies to those local officials who can implement protective measures and alert emergency responders.
Coordination between law enforcement and emergency management personnel is vital to ensure that appropriate readiness actions are taken, while still protecting law enforcement sources
and methods. b) In a terrorist incident, the incident area may be simultaneously a crime scene, a hazmat site, and a disaster area that may cross the boundaries of several jurisdictions.
There are often competing needs in the aftermath of a terrorist act—law enforcement agencies want to protect the crime scene in order to gather evidence, while emergency responders may
need to bring in extensive equipment and personnel to conduct search and rescue operations. It is essential that the incident command team establishes operating areas and formulates
a plan of action that considers the needs of both groups. 3) Since terrorist acts may be violations of local, state, and federal law, the response to a significant local terrorism threat
or actual incident may include state and federal response agencies. 4) Local resources for combating terrorist attacks are limited. In the event of a significant terrorist threat or
incident, it is anticipated that state and federal resources will be requested in order to supplement local capabilities. 5) The presence of chemical, biological, radiological, nuclear,
or explosive (CBRNE) agents may not be detected immediately. In the case of chemical, biological, or nuclear materials, they may not be discovered until some time after casualties occur.
There may be a delay in identifying the agent present and in determining the appropriate protective measures. Such agents may quickly dissipate or be persistent. 6) In the case of an
attack attack with a biological agent, the initial dissemination of the agent may occur outside the local area or even in other countries but still produce victims in the local area.
B. ASSUMPTIONS 1) Terrorist attacks may be directed at government facilities, public and private institutions, business or industry, transportation, and individuals or groups. Such acts
may involve arson; shootings; bombings, including use of weapons of mass destruction (nuclear, chemical, or biological agents); kidnapping or hostage taking; sabotage; and other activities.
Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V10 2) Terrorist attacks may or may not be preceded by a threat or warning and may appear to be an ordinary hazardous materials
incidents. Attacks may occur at multiple locations and may be accompanied by fire, explosion, or other acts of sabotage. 3) A device may be set off to attract emergency responders, then
a second device set off for the purpose of injuring emergency responders. 4) Effective response to the use of WMD may require: a) Specialized equipment to detect and identify chemical
or biological agents. b) A mass decontamination capability. c) The means to treat mass casualties, including conducting triage and using specialized pharmaceuticals that have a narrow
window of effect. d) A mass fatalities capability. 5) Injuries from terrorist attacks may be both physical and psychological. 6) Recovery from a terrorist attack can be complicated by
the presence of persistent agents, additional threats, extensive physical damages, and mass casualties. 7) In most cases, significant state and federal terrorist incident response support
cannot be provided within the first few hours of an incident. Considerable state and federal terrorism response resources are available, but it may take 6 to 12 hours to activate and
deploy such resources on a large-scale. VII. CONCEPT OF OPERATIONS A. GENERAL 1) Our terrorism structure for emergency response operations is pursuant to NIMS, which employs two levels
of incident management structures. a) The Incident Command System (ICS) includes a core set of concepts, principles, and terminology applicable to single or multiple incidents regardless
of their scope. b) Multi-agency Coordination Systems integrate a combination of facilities, equipment, personnel, procedures, and communications into Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V11 Annex V (Terrorist Incident) a common framework, which allows for the coordination and support of incident management. 2)
During a terrorist event a Multi-agency Coordination System may be advisable. Central to this system is the
Gallatin County Coordination Center (GCCC), which is the nucleus of all coordination of information and resources. The Incident Commander will manage and direct the on-scene response
from the ICP. The GCCC will mobilize and deploy resources for use by the Incident Commander, coordinate external resources and technical support, research problems, provide information
to senior managers, disseminate emergency public information, and perform other tasks to support on-scene operations. B. PREPAREDNESS 1) The lead local agency for deterring, preventing,
and responding to a threat of terrorist attack is the Law Enforcement Agency Having Jurisdiction. 2) Pre-incident preparedness and response activities include efforts to define the threat,
identify terrorists, and prevent terrorist acts. Post incident consequence management activities include efforts to resolve the terrorist incident, conduct an investigation, collect
evidence, and apprehend those responsible. Law enforcement agencies have the lead in terrorism criminal investigations and intelligence collection activities; the FBI is the federal
lead. a) Law Enforcement Agencies have the lead local role in terrorism incident response and will coordinate its efforts with state and federal law enforcement agencies as appropriate.
b) The FBI is the lead federal agency for criminal investigations of terrorist acts or terrorist threats and intelligence collection activities within the United States. 3) When a credible
threat of terrorist attack exists, we may activate the GCCC or, if security necessitates, activate a specialized facility to coordinate law enforcement, investigative, and intelligence
activities for the threats or incidents that may occur. 4) The FBI manages the investigative and intelligence activities from an FBI command post or Joint Operations Center (JOC). The
JOC coordinates assets between federal agencies and local law enforcement agencies. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V12 C. RESPONSE & RECOVERY 1) Response and recovery activities undertaken to deal with the effects of a terrorist incident are
conducted in essentially the same manner as the response and recovery operations for other emergencies or disasters. Post incident crisis management activities, such as investigation,
evidence gathering, and pursuit of suspects, may continue during consequence management. The Agency Having Jurisdiction over the incident designates the individual at the scene responsible
for establishing command. a) The Fire Protection Agency Having Jurisdiction shall normally have the lead local role in terrorism response and recovery operations for most types of terrorist
incidents, but Public Health may be assigned the lead local role in terrorism response and recovery operations for incidents involving biological agents. b) Montana DES is the lead state
agency for terrorism response and recovery operations. Montana State Emergency Coordination Center will coordinate state resource support for local terrorism response and recovery operations.
c) FEMA is the lead federal agency for response and recovery operations and shall coordinate federal resource support for such operations. 2) The agencies responsible for terrorism response
and recovery operations shall coordinate their efforts with law enforcement agencies conducting crisis management operations. D. IMPLEMENTATION OF THE INCIDENT COMMAND SYSTEM (ICS) 1)
If there is a local incident site, an Incident Command Post (ICP) will be established to manage emergency operations at that incident site. An official from the Agency Having Jurisdiction
for the incident will assume the position of Incident Commander. It is likely that there will be multiple AHJ’s in which a Unified Command model will be used. The Incident Commander
will coordinate responding resources and designate emergency operating areas, also outlined in the Basic Plan. Typical operating-area boundaries established for a terrorist incident
may include the following. a) The Crime Scene Boundary defines the crime scene. The crime scene may include the area referred to in technical operations as the “red zone” or ”working
point.” Access to the crime scene may be restricted by state, federal, or local law enforcement personnel. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V13 Annex V (Terrorist Incident) Response activities within the crime scene may require special care in order to protect evidence.
b) The Hazard Boundary defines the site referred to in hazmat operations as the “hot zone” and may be termed the “isolation area” or “exclusion zone” by other responders, and may include
the hazmat upwind “warm zone” utilized for contamination control and rescue staging. Depending on the spread of contaminants, the hazmat site may include some or the entire crime scene.
Entry into the hazmat boundary is normally restricted to response personnel equipped with personal protective equipment and using decontamination procedures. See Attachment E. c) The
Incident Boundary includes the crime scene, the hazmat area, the “cool zone” or “support zone” used for incident support operations such a resource staging and casualty collection, and
areas where protective actions, such as shelter-in-place or evacuation, may be recommended or mandatory measures, such as quarantine, may be imposed. Access to this area is normally
controlled; if quarantine is implemented, egress may also be restricted. 2) The Incident Commander and the GCCC shall agree upon on a division of responsibilities. The Incident Commander
will normally manage field operations at the incident site and in adjacent areas. The GCCC will normally mobilize and provide local resources, disseminate emergency public information,
organize and implement large-scale evacuation, coordinate care for casualties, coordinate shelter and mass care for evacuees, arrange mortuary support, and, if local resources are insufficient
or inappropriate, request assistance from other jurisdictions or the state. 3) As state and federal responders arrive to conduct and support field operations, use of ICS for management
of the ICP and response operations will transition to a Unified Command. 4) With the arrival of state and federal responders, the FBI may call for the establishment of a Joint Operations
Center (JOC) for overall coordination and management of response operations. 5) If there is no local incident site, which may be the case in incidents involving biological agents, consequence
management activities will be directed and controlled from the GCCC. An Incident Commander may be designated. The GCCC may transition to a JOC using Unified Command with the arrival
of state and federal responders. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V14 E. COORDINATION OF INCIDENT CONSEQUENCE MANAGEMENT ACTIVITIES 1) Law enforcement agencies involved in consequence management
shall keep those agencies and/or departments responsible for response and recovery efforts informed of decisions made that may have implications on the placement of resources for response
and recovery, should it be necessary. Because of the sensitivity of law enforcement sources and methods and certain crisis management activities, it may be necessary to restrict dissemination
of some information to selected emergency management and public health officials who have a need to know. Those individuals may have to carry out some preparedness activities surreptitiously.
2) Until such time as law enforcement and emergency management personnel agree that crisis management activities have been concluded, law enforcement personnel shall participate in incident
command or GCCC operations to advise those carrying out consequence management operations with respect to protection of the crime scene, evidence collection, and investigative results
that may have bearing on emergency operations. DPS and the FBI will normally provide personnel to participate in a unified command operation to coordinate state and federal law enforcement
assistance. 3) A Joint Information Center, staffed by local, state, and federal public affairs personnel, may be established as part of the unified command organization to collect, process,
and disseminate information to the public. F. PROTECTIVE ACTIONS 1) Emergency personnel responding to a terrorist incident must be protected from the various hazards that a terrorist
incident can produce. These include: blast effects, penetrating and fragmenting weapons, fire, asphyxiation, hazardous chemicals, toxic substances, radioactive materials, and disease-causing
material. See the discussion of threat weapons and their effects in Attachment C. Though the type of protection required varies depending on the hazard, there are three basic principles
of protection that apply to all hazards: time, distance, and shielding. a) Emergency workers should spend the shortest time possible in the hazard area or exposed to the hazard. Techniques
such as rapid entries should be used to execute reconnaissance or rescue and personnel should be rotated in the hazard area. b) The distance between hazards and emergency responders
and the public should be maximized. For chemical, radiological, and explosive Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V15 Annex V (Terrorist Incident) hazards, recommended isolation and protective action distances are included in the Emergency
Response Guidebook (ERG). c) Appropriate shielding should be used to address specific hazards. Shielding can include vehicles, buildings, protective clothing, and personnel protective
equipment. 2) Protective actions for the public must be selected and implemented based on the hazards present and appropriate instructions and information provided to the public through
the usual means of warning and public information. Protective actions for the public may include: a) Evacuation. b) Shelter-in-place. c) Access control to deny entry into contaminated
areas. d) Restrictions on the use of contaminated foodstuffs. e) Restrictions on the use of contaminated agricultural products. f) Restrictions on the use of contaminated public water
supplies, normally imposed by the Montana Department of Environmental Quality, or the Health Department. g) For incidents involving biological agents, protective actions taken to prevent
the spread of disease may include: i) Isolation of diseased victims within medical facilities. ii) Quarantines to restrict movement of people and livestock in specific geographic areas.
iii) Closure of schools and businesses. iv) Restrictions on mass gatherings, such as sporting events. 3) Such measures are normally recommended and imposed by the public health officer.
G. REQUESTING EXTERNAL ASSISTANCE 1) Requests for state assistance will be made by the PEO to Montana DES. If state resources cannot satisfy the request, the state will request assistance
from the federal government or other states. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V16 2) Depending on the severity of the incident, the PEO may issue a local disaster declaration and request assistance from the
Governor. The Governor may declare a State of Disaster for the local area and request the President issue an emergency or disaster declaration for the local area. The National Response
Framework (NRF) describes the functions of the responding federal agencies for various response and recovery functions. The Nuclear/Radiological Incident Annex of the NRF addresses the
federal response for incidents involving radiological materials. H. COORDINATION OF MEDICAL RESPONSE TO BIOLOGICAL WEAPONS As the medical response to an incident involving biological
agents must include the local medical community as a group, the local and state health departments and federal health agencies directing the response should undertake to coordinate the
efforts of local medical providers to ensure that a consistent approach to health issues is taken. Hence, concise information on the threat, recommendations on what should be done to
combat it, and instructions on handling victims must be provided to all hospitals, clinics, nursing homes, home health care agencies, individual physicians, pharmacies, school nursing
staffs, and other medical providers. The local health department or state public health region field office, that are normally most familiar with community health providers, will typically
take the lead in coordinating the local medical response. They may request assistance from local professional organizations in providing information to all members of the local medical
community. I. PHASES OF MANAGEMENT 1) Mitigation a) Identify potential terrorist targets and determine their vulnerability. For targets that may produce hazardous effects if attacked,
determine the population and special facilities at risk. b) Conduct investigations and criminal intelligence operations to develop information on the composition, capabilities, and intentions
of potential terrorist groups. c) Develop and implement security programs for public facilities that are potential targets. Recommend such programs to private property owners. d) Implement
passive facility protection programs to reduce the vulnerability of new and existing government-owned facilities believed Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V17 Annex V (Terrorist Incident) to be potential targets. Recommend such programs to private property owners. e) Encourage all
local medical facilities to participate in mass casualty exercises and stock specialized pharmaceuticals, such as chemical agent antidotes. 2) Preparedness a) Conduct or arrange terrorism
awareness training and periodic refresher training for law enforcement, fire service, and EMS personnel and for emergency management staff. Conduct training for other agencies such as
public works, utilities, and hospitals. b) Develop emergency communications procedures that take into account the communications monitoring capabilities of some terrorist groups. c)
Maintain terrorist profile information on groups suspected of being active in the local area. d) Establish appropriate mutual aid agreements. e) Conduct drills and exercises to test
plans, procedures, and training. f) Conduct awareness programs for businesses that handle inventories of potential weapon making materials and chemicals and ask for their cooperation
in reporting suspicious activities. g) If potential terrorist groups appear to be expanding their activities, consider appropriate increased readiness actions. 3) Response a) See the
Terrorist Incident Response Checklist in Attachment A. 4) Recovery a) Decontaminate incident sites and other affected areas. State and/or federal agencies may oversee this effort, which
may be conducted by contractors. b) Identify and restrict access to all structurally unsafe buildings. c) Remediate and cleanup any hazardous materials that have or might enter local
water, sewer, or storm drainage systems. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V18 d) Manage traffic control for the return of evacuees. e) Assist in arranging temporary housing for evacuees who cannot return
to their homes. f) Develop and implement appropriate access controls for contaminated areas that cannot be decontaminated and returned to normal use in the near term. g) Investigate
cause of incident and prosecute those believed to be responsible. h) Maintain records of use of personnel, equipment, and supplies used in response and recovery for possible recovery
from the responsible party or reimbursement by the state or federal government. i) Conduct critical incident stress management activities. j) Debrief response personnel; prepare incident
report, and update plans and procedures on the basis of lessons learned. k) Restore normal services. VIII. ORGANIZATION & ASSIGNMENT OF RESPONSIBILITIES A. ORGANIZATION 1) Our normal
emergency organization, which is described in the Emergency Management Plan, will carry out the response to and recovery from terrorist incidents. 2) As terrorist acts often violate
state and federal law and regulations, state and federal law enforcement agencies and other agencies having regulatory responsibilities may respond to such incidents. In order to effectively
coordinate our efforts with state and federal agencies, we may transition from our normal incident command operation to a unified command organization when the situation warrants. Redacted
Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V19 Annex V (Terrorist Incident) B. ASSIGMENT OF RESPONSIBILITIES 1) The Principle Elected Official (PEO) will provide policy
guidance with response to anti-terrorism and counter-terrorism programs. 2) The EMDO will: a) Coordinate regularly with the Law Enforcement Agency Having Jurisdiction, and other law
enforcement agencies with respect to the terrorist threat and determine appropriate readiness actions during periods of increased threat. b) In conjunction with other local officials,
the EMDO will make an assessment of the local terrorist threat, identify high-risk targets, determine the vulnerabilities of such targets and the potential impact upon the population,
and recommend appropriate mitigation and preparedness activities. c) In coordination with other local officials, the EMDO will recommend appropriate training for emergency responders,
emergency management personnel, and other local officials. d) Coordinate periodic drills and exercises to test plans, procedures, and training. e) Develop and conduct terrorism awareness
programs for the public and for businesses dealing in weapons or materials that may be used by terrorists to produce weapons. 3) The Incident Commander will: a) Establish an Incident
Command Post (ICP) and coordinate emergency response resources at the incident scene from that ICP to resolve the incident. b) Determine and implement initial protective actions for
emergency responders and the public in the vicinity of the incident site. c) Provide an initial incident assessment, request additional resources if needed, and provide periodic updates
to the GCCC. d) Request a liaison officer from each participating agency to be present at the ICP. e) Establish a specific division of responsibilities between the incident command operation
and the GCCC. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V20 f) Transition the incident command operation to a unified command operation when significant external resources arrive. g)
Provide general direction for response and recovery operations in the aftermath of a terrorist incident. 4) Law Enforcement will: a) Conduct anti-terrorist operations and maintain terrorist
profile information and advise the emergency management staff, MATIC, and the FBI of significant terrorist threats. b) Recommend passive protection and security programs for high-risk
government facilities and make recommendations for such programs to the owners/operators of private facilities. c) Conduct terrorism response training programs for law enforcement personnel
and support public education and awareness activities. d) Provide law enforcement representatives for the Incident Command Post and the GCCC. e) Secure the scene, re-route traffic, and
implement crowd control measures if necessary. f) Make notifications of terrorist incidents to MATIC, the FBI, and other law enforcement agencies. g) Brief emergency response personnel
on crime scene protection. h) Coordinate the deployment and operation of counter-terrorist response elements. i) Conduct reconnaissance in the vicinity of the incident site to identify
threats from delayed action and secondary weapons. j) Organize and conduct evacuation of the public and of special facilities, if required. k) In coordination with state and federal
authorities, investigate incident and identify and apprehend suspects. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V21 Annex V (Terrorist Incident) 5) Fire Protection Agency Having Jurisdiction will: a) Coordinate all fire and rescue operations
during terrorist incidents. b) Dispatch and deploy fire personnel and equipment during an emergency. c) Control fires if necessary. d) Conduct urban search and rescue operations as needed.
e) Provide support for evacuation operations if requested. f) Set up decontamination area for emergency responders and victims, if needed. g) Carry out initial decontamination of victims,
if required. Procedures must be available for emergency decontamination of large numbers of people. h) Identify apparently unsafe structures; restrict access to such structures pending
further evaluation by the Public Works/Engineering staff. i) Identify requirements for debris clearance to expedite fire response and search and rescue. j) Activate fire and rescue mutual
aid as needed. 6) Emergency Medical Services will: a) Respond to medical emergency calls. b) If mass casualties have occurred, establish triage. c) Provide emergency medical care to
the injured. d) Transport patients in a timely manner to appropriate medical facilities. e) Request medical mutual aid, if necessary. f) Assign a liaison at the ICP and/or GCCC, if needed.
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Gallatin County EMP, Annex V (Terrorist Incident), Page V22 7) Community Infrastructure Agencies will: a) Assign liaison personnel to the GCCC and the Incident Command Post. b) Clear
and/or remove debris as directed. c) Support search and rescue operations. d) Provide emergency power and lighting at the incident site upon request. e) Provide emergency power supplies
at other facilities upon request. f) Provide barricades and temporary fencing as requested. g) Carry out emergency repairs to streets and bridges as necessary to support emergency operations
and restore essential traffic. h) Conduct preliminary assessment of damage to structures, streets, and utilities. i) Provide other public works and engineering support for emergency
operations as necessary. j) Request mutual aid assistance, if necessary. k) Carry out emergency repairs to water and wastewater systems as necessary to support emergency operations and
restore essential public services. l) In coordination with local and state public heath agencies, ensure the safety of water and wastewater systems. Initiate water conservation procedures,
if required. m) Conduct preliminary assessment of damage to water, wastewater and drainage systems, and utilities. n) Identify to the GCCC requirements for emergency drinking water supplies
from outside sources if needed. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V23 Annex V (Terrorist Incident) 8) All Other Departments and Agencies will: a) Provide personnel, equipment, and supply support
for emergency operations upon request. b) Provide trained personnel to staff the GCCC. c) Provide technical assistance to the Incident Commander and the GCCC upon request. d) Participate
in terrorism awareness training, drills, and exercises. IX. COORDINATION A. GENERAL 1) The PEO shall, pursuant to NIMS, provide general guidance for emergency operations. During periods
of heightened terrorist threat or after an incident has occurred, the local GCCC may be activated. 2) The Incident Commander, assisted by a staff sufficient for the tasks to be performed,
will manage the emergency response at the incident site from an ICP. If terrorist attacks affect multiple widely separated facilities, separate incident command operations may be set
up. 3) If county resources are insufficient or inappropriate to deal with an emergency situation, assistance will be requested from other jurisdictions pursuant to state law, mutual
aid agreements, or from organized volunteer groups. Mutual aid personnel and volunteers will normally work under the immediate control of their own supervisors. All response agencies
are expected to conform to the general guidance provided by our senior decision-makers and carry out mission assignments directed by the Incident Commander or the GCCC. 4) In a large-scale
terrorist incident, significant help will be needed from other local governments, state agencies, and the federal government. As these external resources arrive, it is anticipated that
a transition will be made from the normal incident command system to a unified command operation. In a unified command arrangement, leaders of all agencies having jurisdiction agree
on general objectives, priorities, and strategies for resolving the emergency situation. 5) The Montana All Threats Intelligence Center (MATIC) is the fusion center for the State of
Montana. The MATIC monitors intelligence from within the state and from around the country to connect information together. See Attachment F for more information. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V24 X. ADMINISTRATION & SUPPORT A. REPORTS & RECORDS 1) During emergency operations for terrorist incidents, a daily situation
report should be prepared and distributed. See Annex N (Coordination) for the format of and instructions for this report. 2) Records Relating to Emergency Operations a) The Incident
Command Post and the GCCC shall maintain accurate logs recording key response activities and the commitment of resources. b) For terrorist incidents, all departments and agencies participating
in the emergency response shall maintain detailed records of labor costs, equipment usage, and supplies expended. These records may be used to recover allowable response and recovery
costs from the federal government in the event a federal emergency or if a disaster declaration is issued by the President. 3) As terrorists often target government facilities, government
records are at risk during terrorist incidents. To the extent possible, legal, property, and tax records should be protected. The principal causes of damage to records are fire and water.
If government records are damaged during the incident response, the GCCC should be promptly advised so that timely professional assistance can be sought to preserve and restore them.
B. POST-INCIDENT REVIEW The GCEM Coordinator is responsible for organizing and conducting a critique following the conclusion of a significant terrorist incident in accordance with the
guidance contained in the Emergency Management Plan. XI. ANNEX DEVELOPMENT & MAINTENANCE A. DEVELOPMENT & MAINTENANCE 1) Law Enforcement is responsible for developing and maintaining
this annex. Recommended changes to this annex should be forwarded as needs become apparent. 2) This annex will be revised annually and updated in accordance with the schedule outlined
in Section X of the Basic Plan. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V25 Annex V (Terrorist Incident) 3) Departments and agencies assigned responsibilities in this annex are responsible for developing
and maintaining SOPs covering those responsibilities. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V26 ATTACHMENT A TERRORIST INCIDENT RESPONSE CHECKLIST A. INITIAL RESPONSE 1) Deploy response forces. 2) Activate incident command
post at the incident site to direct emergency operations. 3) If incident appears to be terrorism-related, ensure law enforcement personnel are advised and respond to the incident site.
4) Isolate the area and deny entry. Reroute traffic as needed. 5) Determine and report: a) Observed indicators of use of chemical/biological weapons b) Wind direction and weather conditions
at scene c) Plume direction, if any d) Approximate number of apparent victims e) Orientation of victims f) Types of victim injuries and symptoms observed g) Observations or statements
of witnesses 6) If possible, determine type of weapon used using appropriate detection equipment, response guides, damage characteristics, and casualty symptoms 7) Establish scene control
zones (hot, warm, and cold) and determine safe access routes & location of staging area. area. Establish initial operating boundaries for crime scene and incident area. 8) Implement
crowd control measures, if necessary 9) Determine & implement requirements for protective clothing and equipment for emergency responders. 10) Establish communications among all response
groups. 11) Protect against secondary attack. 12) Activate the EOC to site support emergency operations. 13) Determine requirements for specialized response support. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V27 Annex V (Terrorist Incident) 14) Make notification to state and federal law enforcement
and emergency management agencies. 15) Obtain external technical assistance to determine potential follow-on effects. 16) Request/deploy hazardous materials response team, if appropriate.
17) Request/deploy bomb squad or ATF support, if appropriate. 18) Identify areas that may be at risk from delayed weapon effects. 19) Determine & implement protective measures for public
in those areas. 20) Determine & implement protective measures for special facilities at risk. 21) Extinguish fires and identify potential hazards such as ruptured gas lines, downed power
lines and residual hazardous materials. 22) Make notifications to adjacent jurisdictions that may be affected. 23) If the effects of the incident could adversely affect water or wastewater
systems, advise system operators to implement protective measures. B. MEDICAL MANAGEMENT 1) Advise EMS and hospitals of possibility of mass casualties/contaminated victims. 2) Establish
site for patient triage. 3) Establish site for gross decontamination (if appropriate) and a casualty collection area for decontaminated victims located away from the site of primary
emergency operation, but accessible by transport vehicles. 4) Conduct initial triage and provide basic medical aid to victims in warm zone if protective equipment is not required. 5)
Conduct gross decontamination of victims showing signs of contamination. Separate victims that show no signs of contamination for evaluation. 6) Conduct follow-on triage & treatment
of victims in cold zone. 7) Transport victims to medical facilities for further treatment. 8) Request state and/or federal medical assistance, if needed. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V28 C. FATALITY MANAGEMENT 1) Alert the Coroner of any potential mass fatality situation and arrange for temporary holding facilities
for bodies, if necessary. Highlight need to preserve evidence. 2) Coordinate with the Coroner to determine autopsy requirements for victims. 3) Transport deceased to morgue, mortuary,
or temporary holding facilities. D. OTHER RESPONSE ACTIONS 1) Request additional response resources, if needed. 2) Activate mutual aid agreements. 3) Request state or federal assistance,
as needed. 4) Designate staging areas for incoming resources from other jurisdictions, state and federal agencies, and volunteer groups separate from operational staging area. 5) If
evacuation has been recommended: a) Activate shelter/mass care facilities to house evacuees. b) Provide transportation for evacuees without vehicles. c) Provide security for shelters.
6) If evacuation of special facilities (schools, nursing homes, hospitals, correctional facilities) has been recommended: a) Assist facilities in arranging suitable transportation and
carrying out evacuation. b) Assist facilities in arranging suitable temporary reception facilities. 7) Provide information and instructions to the public. 8) Activate emergency public
information operation. 9) Identify facilities for use by media. 10) Identify, collect, and control evidence and conduct investigations. 11) Pursue and arrest suspects. 12) Provide security
in evacuated areas, if feasible. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V29 Annex V (Terrorist Incident) 13) Establish and operate access control points for contaminated areas. 14) For incidents involving
biological agents, consider measures to restrict person-to-person transmission of disease such as quarantine, closure of schools and/or businesses, and restrictions on mass gatherings.
E. OTHER 1) Alert human resources agencies to provide disaster mental health services and human services support to victims. 2) Determine how pets, livestock, and other animals left
in evacuated or contaminated areas will be handled. 3) Decontaminate essential facilities and equipment, if feasible. 4) Request technical assistance in assessing environmental effects.
Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V30 ATTACHMENT B POINTS OF CONTACT CHEMTREC Technical assistance for hazardous materials incidents. (24 hours) CHEM-TEL Technical
assistance for hazardous materials incidents. (24 hours) National Response Center Chem-Bio Hotline Reporting center for suspected terrorist activity as well as technical assistance regarding
chemical & biological agents for state and local emergency responders. (24 hours) Department of State Health Services, Radiation Program Technical assistance for emergency responders
for incidents involving radiological materials. (24 hours) Local/Nearest DPS Office State law enforcement assistance. Local/Nearest FBI Office Federal law enforcement assistance. Local/Nearest
ATF Office Federal expertise in explosive devices. Nearest Bomb Squad Explosive ordnance disposal assistance. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V31 Annex V (Terrorist Incident) ATTACHMENT C TERRORISTS WEAPONS, EFFECTS & EMERGENCY RESPONSE NEEDS A. CONVENTIONAL WEAPONS,
EXPLOSIVES & INCENDIARY DEVICES 1) Weapon Types Conventional Weapons & Explosives Conventional weapons include guns, rocket-propelled grenades, and similar weapons. Explosives include
military and commercial explosives, such as RDX, Tritonol, dynamite, and ammonium nitrate – fuel oil (ANFO). The casualty potential of conventional explosive devices may be increased
by packing metallic materials such as bolts or nails around the explosive to generate lethal fragments that can inflict casualties at considerable distances. Incendiary Devices Incendiary
devices are designed to ignite fires. They may use liquids, such as gasoline or kerosene, or gases, such as propane, as their fuel. Incendiary devices have been a favorite weapon of
terrorists due to the ready availability of materials needed to build such devices. Combination Devices Devices Conventional explosive and incendiary materials may be used in combination
to produce blast damage and fires. 2) Weapons Effects Conventional Weapons & Explosives a) Significant blast damage to structures, including building and wall collapse, and blast casualties.
b) Fragmentation casualties from bomb fragments, debris, and broken glass. c) Fires are possible. Incendiary Devices a) Fires. b) Secondary explosions are possible. c) Burn casualties.
Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V32 Combination Devices a) Significant blast damage to structures, including building and wall collapse, and blast casualties.
b) Fires. c) Fragmentation casualties from bomb fragments, debris, and broken glass. 3) Indications of Use Conventional Weapons & Explosives a) Prior warning or threat. b) Presence of
triggering devices, such as blasting caps or timers. c) Explosive residue at scene or results from detection instruments. d) Indications of deliberately introduced fragmentation materials.
Incendiary Devices a) Prior warning or threat. b) Multiple fire locations. c) Signs of accelerants or results from detection instruments. d) Presence of propane/butane cylinders in other
than typical locations. e) Presence of containers for flammable liquids. 4) Emergency Response Guidance If hazardous materials are encountered in the response to an attack with conventional
explosives or incendiary devices, consult the US Department of Transportation Emergency Response Guidebook (ERG). 5) Response Needs a) Personal protective equipment for emergency responders.
b) Medical evacuation and treatment for mass casualties. c) Search and rescue teams for collapsed structures. d) Urban firefighting. e) Hazmat response team. f) Mortuary support for
mass fatalities. g) Evacuation assistance. h) Access control for incident site. i) Shelter and mass care for evacuees. j) Investigative resources Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V33 Annex V (Terrorist Incident) B. NUCLEAR DEVICES & MATERIALS 1) Weapons Types Radiation Dispersal Device Radioactive materials
in powder form are packed around conventional explosives. When the explosive device detonates, it disperses the radioactive material over a wide area. Such devices do not require weapons
grade radioactive materials; they may be constructed from materials obtained from medical or industrial equipment in common use. Improvised Nuclear Device (nuclear bomb) Use of this
type of device is considered unlikely. It would be extremely difficult for terrorists to build or acquire such a device because a substantial quantity of weapons-grade fissionable materials,
extensive equipment, and technical expertise would be needed. It would be extremely difficult to obtain the weapons grade fissionable material required to construct such a device. Nuclear
Weapon It is considered very unlikely that terrorists would use military nuclear weapons weapons because such weapons are normally secured, strictly controlled, and frequently incorporate
safety features to prohibit unauthorized use. 2) Weapons Effects All of the weapons listed could spread radioactive materials if detonated, which could pose immediate danger to life
at high levels and long-term adverse health effects at lower levels. In addition, each of these weapons can produce both immediate radiological effects and residual radioactive contamination.
3) Radiological Dispersal Device a) Some blast damage to structures. b) Some blast casualties. c) Some fragmentation damage to structures and casualties among people. d) Localized radiological
contamination e) Fires are possible. 4) Improvised Nuclear Device or Nuclear Weapon a) Extensive blast damage to structures, including building and wall collapse b) Significant blast
casualties. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V34 c) Significant fragmentation casualties from debris, broken glass, and other materials. d) Extensive radiological contamination.
e) Extensive fire effects. 5) Indications of Use a) Prior warning or threat. b) Reports of stolen radiological sources or nuclear materials. c) Use of these weapons may produce damage
and casualties similar to that produced by a conventional high explosive bomb. Radiological detection equipment will be needed to confirm the presence of radioactive materials. 6) Emergency
Response Guidance a) Radiation Dispersal Device – ERG Guide 163 b) Improvised Nuclear Device or Nuclear Weapon – ERG Guide 165 7) Response Needs a) Personal protective equipment for
emergency responders. b) Mass personnel decontamination. c) Medical evacuation and treatment for mass casualties. d) Urban search and rescue teams for collapsed structures. e) Firefighting.
f) Radiological monitoring and assessment teams. g) Mortuary support for mass fatalities. h) Evacuation assistance. i) Access control for incident site and contaminated areas. j) Shelter
and mass care for evacuees. C. CHEMICAL WEAPONS 1) Weapon Types. Letters in parenthesis are military designators for these agents. Nerve Agents Nerve agents are some of the most toxic
chemicals in the world; they are designed to cause death within minutes of exposure. Lethal doses may be obtained by inhaling the agent in aerosol or vapor form or having the agent deposited
on the skin in liquid form. Examples include Sarin (GB), Soman (GD), and V agent (VX), Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V35 Annex V (Terrorist Incident) Blister agents Blister agents cause blisters, skin irritation, damage to the eyes, respiratory
damage, and gastrointestinal effects. Their effect on exposed tissue is somewhat similar to that of a corrosive chemical like lye or a strong acid. Examples include Mustard (H) and Lewisite
(L). Blood Agents Blood agents disrupt the blood’s ability to carry oxygen and cause rapid respiratory arrest and death. Examples include potassium cyanide and hydrogen cyanide (AC).
Choking Agents Choking agents cause eye and airway irritation, chest tightness, and damage to the lungs. These agents include industrial chemicals such as chlorine (CL) and phosgene
(CG). Hallucinogens, Vomiting Agents, and Irritants These materials cause temporary symptoms such as hallucinations, vomiting, and burning and pain on exposed mucous membranes and skin,
eye pain and tearing, and respiratory discomfort. The effects of these agents are typically short short lived; they are generally designed to incapacitate people and typically do not
pose a threat to life. 2) Other Emergency Response Considerations. Agent Form Some nerve and blister agents are normally in liquid form. When used as weapons, most chemical agents are
delivered in aerosol form to maximize the area covered, although some may be delivered as a liquid. An aerosol is defined as a suspension or dispersion of small particles (solid or liquids)
in a gaseous medium. Dissemination methods range from spray bottles and backpack pesticide sprayers to sophisticated large-scale aerosol generators or spray systems. Persistency Chemical
agents may be either persistent or non-persistent. Nonpersistent agents evaporate relatively quickly. Persistent agents remain for longer periods of time. Hazards from both vapor and
liquid may exist for hours, days, or in exceptional cases, weeks, or months after dissemination of the agent. 3) Weapons Effects a. The primary effects of chemical agents are to incapacitate
and kill people. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V36 b) Minute doses of nerve agents cause pinpointing of the pupils (miosis), runny nose, and mild difficulty breathing. Larger
doses cause nausea, vomiting, uncontrolled movement, loss of consciousness, breathing stoppage, paralysis, and death in a matter of minutes. G-agents are non-persistent, while V agents
are persistent. c) Blister agents cause eye irritation and reddening of the skin in low doses. Larger doses produce eye and skin blisters, airway damage, and lung damage, causing respiratory
failure. Some blister agents, such as mustards, are persistent in soil, while other blister agents are considered non-persistent. d) Blood agents inhibit the transfer of oxygen in the
body and produce intense irritation of the eyes, nose, and throat, breathing tightness, convulsions, and respiratory arrest, causing death. Blood agents are considered non-persistent.
e) Choking agents produce eye and airway irritation and lung damage, which may lead to death. Choking agents are generally nonpersistent. f) Vomiting agents and Irritants have relatively
short-term incapacitating effects. These symptoms seldom persist more than a few minutes after exposure and the agents are considered non-persistent. 4) Indications of Use a) Prior warning
or threat. b) Explosions that disperse mists, gases, or oily film. c) Presence of spray devices or pesticide/chemical containers. d) Unexplained mass casualties without obvious trauma.
e) Casualties exhibit nausea, breathing difficulty, and/or convulsions. f) Odors of bleach, new mown grass, bitter almonds, or other unexplained odors. g) Dead birds, fish, or other
animals and lack of insects at the incident site and areas downwind. h) Alarms by chemical detection systems. 5) Emergency Response Guidance a) Nerve Agents. Use ERG Guide 153. Antidotes
to nerve agents, including atropine and 2-PAM Chloride, must be given shortly after exposure to be effective. b) Blister Agents. Use ERG Guide 153. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V37 Annex V (Terrorist Incident) c) Blood Agents i) If the agent is positively identified as Cyanogen chloride, use ERG Guide
125. ii) If the agent is positively identified as Hydrogen cyanide, use ERG Guide 117. iii) If you suspect a blood agent has been used, but have not positively identified it, use ERG
Guide 123. c) Choking Agents i) If the agent is positively identified as Chlorine, use ERG Guide 124. ii) If the agent is positively identified as Phosgene, use ERG Guide 125. iii) If
you suspect a choking agent has been used, but have not positively identified it, use ERG Guide 123. d) Irritants i) For tear gas or pepper spray, use ERG Guide 159. ii) For mace, use
ERG Guide 153. 6) Response Needs a) Personal protective equipment for emergency responders. b) Mass decontamination capability. c) Medical evacuation and treatment for mass casualties.
d) Hazmat response teams. e) Mortuary support for mass fatalities. f) Evacuation assistance. g) Access control for incident site and contaminated areas. h) Shelter and mass care for
evacuees. D. BIOLOGICAL WEAPONS 1) Weapon Types Biological agents are intended to disable or kill people by infecting them with diseases or introducing toxic substances into their bodies.
Such agents are generally classified in three groups: Bacteria and Rickettsia Bacteria and rickettsia are single celled organisms which cause a variety of diseases in animals, plants
and humans. Bacteria are capable of reproducing outside of living cells, while rickettsia require a living host. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V38 Both may produce extremely potent toxins inside the human body. Among the bacteria and rickettsia that have been or could
be used as weapons are: a) Anthrax b) Plague c) Tularemia or Rabbit Fever d) Q fever Viruses Viruses are much smaller than bacteria and can only reproduce inside living cells. Among
the viruses that could be used as weapons are: Smallpox Venezuelan Equine Encephalitis (VEE) Viral Hemorrhagic Fever (VHF) Toxins Toxins are potent poisons produced by a variety of living
organisms including bacteria, plants, and animals. Biological toxins are some of the most toxic substances known. Among the toxins that have been or could be used as weapons are: a)
Botulinum toxins b) Staphylococcal enterotoxins c) Ricin d) Mycotoxins 2) Other Emergency Response Considerations Means of Dissemination a) Inhalation of agent in aerosol form b) An
inhalation hazard may be created by spraying a biological agent. Many biological agents, such as viruses, may also be readily transmitted from an affected person to others in aerosol
form by coughing and sneezing. This can result in the rapid spread of disease-causing agents. c) Ingestion in food, water, or other products that have been contaminated with agents.
d) Skin contact or injection. Some agents may be transmitted by simple contact with the skin or by injection. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V39 Annex V (Terrorist Incident) 3) Unique Aspects of A Biological Agent Attack a) As there are few detection systems for biological
agents available, an attack with biological agents may not be discovered until public health authorities or medical facilities observe people becoming sick with unusual illnesses. Casualties
may occur hours, days, or weeks after exposure. Medical investigators will normally undertake to determine the source and cause of such illnesses and how it is spread. b) In the aftermath
of an attack with biological agents, public health agencies will normally take the lead in determining actions that must be taken to protect the public, although state and local governments
may implement those actions. c) There may be no local crime scene or incident site; the initial dissemination of the agent may have occurred in another city or another country and affected
travelers may bring disease into the local area. d) As people affected by some biological agents, such as viruses, are capable of spreading disease to others, the emergency response
to a biological attack may have to include medical isolation of affected patients and quarantines or other restrictions on movement of people or animals. It may also be necessary to
restrict opportunities for person-to-person transmission by closing schools and businesses or curtailing mass gatherings such as sporting events. 4) Weapon Effects Biological agents
are used to both incapacitate and to kill. Some agents make people seriously ill, but rarely kill those affected; these may create a public health emergency. Others, such as anthrax
and many toxins, kill those affected and may create both a public health emergency and a mass fatality situation. 5) Indications of Use If there is a local incident site, the following
may be indicators of the use of biological weapons: a) Advance warning or threat. b) Unusual dead or dying animals c) Unusual casualties – pattern inconsistent with natural disease or
disease that does not typically occur in the local area. d) Aerosol containers or spray devices found in other than typical locations of use. e) Presence of laboratory glassware or specialized
containers. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V40 f) Biohazard labels on containers. g) Evidence of tampering with foodstuffs and water distribution systems. h) Indications
of tampering with heating/air conditioning systems. i) For many biological agent attacks, medical assessment of affected people, autopsy results, and follow-on medical investigation
will be required to confirm the use of biological agents. 6) Emergency Response Needs a) Personal protective equipment for emergency responders. b) Chemical, biological, and radiological
detection equipment. c) Decontamination capability. d) Specialized pharmaceuticals. e) Medical evacuation and treatment for mass casualties. f) Public health prevention programs. g)
Mortuary support for mass fatalities. h) Access control for incident site, if one exists. i) Personnel support for quarantine operations. j) Public health investigative resources. Redacted
Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V41 Annex V (Terrorist Incident) ATTACHMENT D SPECIALIZE RESPONSE RESOURCES During the response to a terrorist incident, the local
resources used for most emergency situations will be used. Because of the potentially great damage, contamination, casualties, and fatalities that may be generated by large-scale terrorist
incidents, specialized response resources may be needed from the state and federal government to supplement those available locally. Some of those resources are outlined below. Requests
for state or federal resources should be channeled to the MT SECC. Hazardous Materials Response Teams (All Montana teams accessed through MTDES at 406-324-4777) Bozeman HazMat Team Bozeman
Fire Department 406 Helena HazMat Team Helena Fire Department Missoula HazMat Team Missoula Rural Fire District Billings HazMat Team Billings Fire Department Great Falls HazMat Team
Great Falls Fire Department Kalispell HazMat Team Kalispell Fire Department 83rd Civil Support Team Montana National Guard 4 101st Civil Support Team Idaho National Guard 84th Civil
Support Team Wyoming National Guard 3 81st Civil Support Team North Dakota National Guard 82nd Civil Support Team South Dakota National Guard # Explosives Teams Missoula Bomb Squad Missoula
County Sheriff Billings Bomb Squad Billings Police Department 341st Civil Engineer Squadron (EOD) Malmstrom Air Force Base Urban Search and Rescue Teams Utah Task Force 1 (UT-TF1) Salt
Lake Fire Department Puget Sound Task Force (WA-TF1) Pierce County Emergency Mgmt Colorado Task Force 1 (CO-TF1) State of Colorado Nebraska Task Force 1 (NE-TF1) Lincoln Fire Department
Disaster Mortuary Operational Response Teams (DMORT) Portable Disaster Morgue Unit Rockville, MD Portable Disaster Morgue Unit San Jose, CA Disaster Medical Assistance Team (DMAT) Washington
DMAT (WA-1) Seattle, WA Oregon Disaster Medical Team (OR-2) Eugene, OR Colorado Denver, CO Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V42 Special Weapons and Tactics (SWAT) Gallatin County Special Response Team Butte Silver Bow Lewis and Clark Billings Missoula
Kalispell Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V43 ATTACHMENT E HAZARD BOUNDARY Hot Zone The area that contains the hazardous material or device. This area will encompass the
entire area that may contain dangerous levels of the product or is within range of the hazard, and must not be entered without the appropriate level of personal protective equipment.
This area may be oval shaped due to prevailing winds. Warm Zone The area immediately surrounding the Hot Zone. This area is technically clear of all hazards and is where personnel making
entry into the Hot Zone decontaminate themselves upon exit. Entry into this area is limited to those entering the Hot Zone or working in Decon. Annex V (Terrorist Incident) Cold Zone
The area immediately surrounding the Warm Zone. This area is clear of hazards and access is limited to personnel working on the incident. Typically all equipment and personnel supporting
the incident are located here. The public is not allowed in the Cold Zone. Encourage the reporting reporting of suspicious activity to local law enforcement. The Montana All Threat Intelligence
Center (MATIC) in administered by the Montana Department of Justice. The MATIC operates XXX to receive and respond to reports. The MATIC is staffed by local, state, and federal law enforcement
officers and analysts. When warranted, the MATIC disseminates actionable intelligence and investigates. Redacted Version
Gallatin County EMP, Annex V (Terrorist Incident), Page V44 ATTACHMENT F MONTANA ALL THREATS INTELLIGENCE CENTER (MATIC) The Montana All Threats Intelligence Center (MATIC) is the fusion
center for the State of Montana. MATIC is hosted by the Montana Department of Justice, Division of Criminal Investigation. The MATIC monitors intelligence from within the state and around
the country to connect information together. MATIC is staffed with analysts from local, state, and federal agencies. These analysts monitor intelligence information on an ongoing basis,
and also provide specific intelligence and threat assessments upon request. MATIC is also the Montana Point of Contact for Interpol. Law enforcement information needed from overseas
agencies, or to be provided overseas is funneled through MATIC. Redacted Version
CONTENTS Section 1 Organization Section 2 Purposes Section 3 Membership and chapters Section 4 Board of Governors Section 5 Powers Section 6 Emblem, badge, and brassard Section 7 Annual
meeting Section 8 Buildings Section 9 Endowment fund Section 10 Annual report and audit Section 11 Authority of the Comptroller General of the United States Section 12 Office of the
Ombudsman Section 13 Reservation of right to amend or repeal Related Provisions of the United States Criminal Code Use of the American National Red Cross in Aid of the Armed Forces May
2007 Page 1 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter of the American National Red Cross
CONGRESSIONAL CHARTER OF THE AMERICAN NATIONAL RED CROSS (a) FEDERAL CHARTER. The American National Red Cross (in this chapter, the "corporation") is a Federally chartered instrumentality
of the United States and a body corporate and politic in the District of Columbia. (b) NAME. The name of the corporation is "The American National Red Cross". The corporation may conduct
its business and affairs, and otherwise hold itself out, as the ‘American Red Cross’ in any jurisdiction. (c) PERPETUAL EXISTENCE. Except as otherwise provided, the corporation has perpetual
existence. The purposes of the corporation are: (1) to provide volunteer aid in time of war to the sick and wounded of the armed forces, in accordance with the spirit and conditions
of: (A) the conference of Geneva of October, 1863; (B) the treaties of the Red Cross, or the treaties of Geneva, of August 22, 1864, July 27, 1929, and august 12, 1949, to which the
United States of America has given its adhesion; and (C) any other treaty, convention, or protocol similar in purpose to which the United States of America has given or may give its
adhesion; (2) in carrying out the purposes described in clause (1) of this section, to perform all the duties devolved on a national society by each nation that has acceded to any of
those treaties, conventions, or protocols; (3) to act in matters of voluntary relief and in accordance with the military authorities as a medium of communication between the people of
the United States and the armed forces of the United States and to act in those matters between similar national societies of governments of other countries through the International
Committee of the Red Cross and the Government, the people, and the armed forces of the United States; May 2007 Page 2 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter
of the American National Red Cross
(4) to carry out a system of national and international relief in time of peace, and apply that system in mitigating the suffering caused by pestilence,
famine, fire, floods, and other great national calamities, and to devise and carry out measures for preventing those calamities; and (5) to conduct other activities consistent with the
foregoing purposes. (a) MEMBERSHIP. Membership in the corporation is open to all the people of the United States and its territories and possessions, on payment of an amount specified,
or as otherwise provided, in the bylaws. (b) CHAPTERS. (1) The chapters of the corporation are the local units of the corporation. The corporation shall prescribe policies and regulations
related to: (A) granting charters to the chapters and revoking those charters; (B) territorial jurisdiction of the chapters; (C) the relationship of the chapters to the corporation;
and (D) compliance by the chapters with the policies and regulations of the corporation. (2) The policies and regulations shall require that each chapter adhere to the democratic principles
of election specified in the bylaws in electing the governing body of the chapter and selecting delegates to the annual meeting of the corporation. (a) BOARD OF GOVERNORS--(1) IN GENERAL.—The
board of governors is the governing body of the corporation with all powers of governing and directing, and of overseeing the management of the business and affairs of, the corporation.
(2) NUMBER.—The board of governors shall fix by resolution, from time to time, the number of members constituting the entire board of governors, provided that— (A) as of March 31, 2009,
and thereafter, there shall be no fewer than 12 and no more than 25 members; and May 2007 Page 3 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter of the American National
Red Cross
(B) as of March 31, 2012, and thereafter, there shall be no fewer than 12 and no more than 20 members constituting the entire board. Procedures to implement the preceding sentence shall
be provided in the bylaws. (3) APPOINTMENT.—The governors shall be appointed or elected in the following manner: (A) CHAIRMAN.— (i) IN GENERAL.—The board of governors, in accordance
with procedures provided in the bylaws, shall recommend to the President an individual to serve as chairman of the board of governors. If such recommendation is approved by the President,
the President shall appoint such individual to serve as chairman of the board of governors. (ii) VACANCIES.—Vacancies in the office of the chairman, including vacancies resulting from
the resignation, death, or removal by the President of the chairman, shall be filled in the same manner described in clause (i) (iii) DUTIES.—the chairman shall be a member of the board
of governors and, when present, shall preside at meetings of the board of governors and shall have such other duties and responsibilities as may be provided in the bylaws or a resolution
of the board of governors. (B) OTHER MEMBERS.— (i) IN GENERAL.—Members of the board of governors other than the chairman shall be elected at the annul meeting of the corporation in accordance
with such procedures as may be provided in the bylaws. (ii) VACANCIES.—Vacancies in any such elected board position and in any newly created board position may be filled by a vote of
the remaining members of the board of governors in accordance with such procedures as may be provided in the bylaws. (b) TERMS OF OFFICE.— (1) IN GENERAL.—The term of office of each
member of the board of governors shall be 3 years, except that— (A) the board of governors may provide under the bylaws that the terms of office of members of the board of governors
elected to the board of governors before March 31, 2012, may be less than 3 years in order to implement the provisions of subparagraphs (A) and (B) of subsection (a)(2); and (B) any
member of the board of governors elected by the board to fill a vacancy in a board position arising before the expiration of its term may, as determined by the board, serve for the remainder
of that term or until the next annual meeting of the corporation. (2) STAGGERED TERMS.—The terms of office of members of the board of governors (other than the chairman) shall be staggered
such that, by March 31, 2012, and thereafter, 1/3 of the entire board (or as near to May 2007 Page 4 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter of the American National
Red Cross
1/3 as practicable) shall be elected at each successive annual meeting of the corporation with the term of office of each member of the board of governors elected at an annual meeting
expiring at the third annual meeting following the annual meeting at which such member was elected. (3) TERM LIMITS.—No person may serve as a member of the board of governors for more
than such number of terms of office or years as may be provided in the bylaws. (c) COMMITTEES AND OFFICERS.—The board— (1) may appoint, from its own members, an executive committee to
exercise such powers of the board when the board is not in session as may be provided in the bylaws; (2) may appoint such other committees or advisory councils with such powers as may
be provided in the bylaws or a resolution of the board of governors; (3) shall appoint such officers of the corporation, including a chief executive officer, with such duties, responsibilities,
and terms of office as may be provided in the bylaws or a resolution of the board of governors; and (4) may remove members of the board of governors (other than the chairman), officers,
and employees under such procedures as may be provided in the bylaws or a resolution of the board of governors. (d) ADVISORY COUNCIL.— (1) ESTABLISHMENT.—There shall be an advisory council
to the board of governors. (2) MEMBERSHIP; APPOINTMENT BY PRESIDENT.— (A) IN GENERAL.—The advisory council shall be composed of no fewer than 8 and no more than 10 members, each of whom
shall be appointed by the President from principal officers of the executive departments and senior officers of the Armed Forces whose positions and interests qualify them to contribute
to carrying out the programs and purposes of the corporation. (B) MEMBERS FROM THE ARMED FORCES.—At least 1, but not more than 3, of the members of the advisory council shall be selected
from the Armed Forces. (3) DUTIES.—The advisory council shall advise, report directly to, and meet, at least 1 time per year with the board of governors, and shall have such name, functions
and be subject to such procedures as may be provided in the bylaws. (e) ACTION WITHOUT MEETING.—Any action required or permitted to be taken at any meeting of the board of governors
or of any committee thereof may be taken without a meeting if all members of the board or committee, as the case may be, consent thereto in writing, or by electronic transmission and
the writing or writings or electronic transmission or transmissions are filed with the minutes of proceedings of the board or committee. Such filing shall be in paper form if the minutes
are maintained in paper form and shall be in electronic form if the minutes are maintained in electronic form. May 2007 Page 5 36 U.S.C. §§300101-300111 recodified 2007 Congressional
Charter of the American National Red Cross
(f) VOTING BY PROXY.— (1) IN GENERAL.—Voting by proxy is not allowed at any meeting of the board, at the annual meeting, or at any meeting of a chapter. (2) EXCEPTION.—The board may
allow the election of governors by proxy during any emergency. (g) BYLAWS.— (1) IN GENERAL.—The board of governors may— (A) at any time adopt bylaws; and (B) at any time adopt bylaws
to be effective only in an emergency. (2) EMERGENCY BYLAWS.—Any bylaws adopted pursuant to paragraph (1)(B) may provide special procedures necessary for managing the corporation during
the emergency. All provisions of the regular bylaws consistent with the emergency bylaws remain effective during the emergency. (h) DEFINITIONS.—For purposes of this section— (1) the
term ‘entire board’ means the total number of members of the board of governors that the corporation would have if there were no vacancies; and (2) the term ‘emergency’ shall have such
meaning as may be provided in the bylaws. (a) GENERAL. The Corporation may: (1) adopt policies and regulations; (2) adopt, alter and destroy a seal; (3) own and dispose of property to
carry out the purposes of the corporation; (4) accept gifts, devises, and bequests of property to carry out the purposes of the corporation; (5) sue and be sued in courts of law and
equity, State or Federal, within the jurisdiction of the United States; and (6) do any other act necessary to carry out this chapter and promote the purposes of the corporation. May
2007 Page 6 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter of the American National Red Cross
(b) DESIGNATION. The corporation is designated as the organization which is authorized to act in matters of relief under the treaties of Geneva, August 22, 1864, July 27, 1929, and August
12, 1949. Section 6—Emblem, Badge, and Brassard (a) EMBLEM AND BADGE. In carrying out its purposes under this chapter, the corporation may have and use, as an emblem and badge, a Greek
red cross on a white ground, as described in the treaties of Geneva, August 22, 1864, July 27, 1929, and August 12, 1949, and adopted by the nations acceding to those treaties. (b) DELIVERY
OF BRASSARD. In accordance with those treaties, the delivery of the brassard allowed for individuals neutralized in time of war shall be left to military authority. (a) IN GENERAL.—The
annual meeting of the corporation is the annual meeting of delegates of the chapters. (b) TIME OF MEETING.—The annual meeting shall be held as determined by the board of governors. (c)
PLACE OF MEETING.—The board of governors is authorized to determine that the annual meeting shall not be held at any place, but may instead be held solely by means of remote communication
subject to such procedures as are provided in the bylaws. (d) VOTING.— (1) IN GENERAL.—In matters requiring a vote at the annual meeting, each chapter is entitled to at least 1 vote,
and voting on all matters may be conducted by mail, telephone, telegram, cablegram, electronic mail, or any other means of electronic or telephone transmission, provided that the person
voting shall state, or submit information from which it can be determined, that the method of voting chosen was authorized by such person. (2) ESTABLISHMENT OF NUMBER OF VOTES.— (A)
IN GENERAL.—The board of governors shall determine on an equitable basis the number of votes that each chapter is entitled to cast, taking into consideration the size of the membership
of the chapters, the populations served by the chapters, and such other factors as may be determined by the board. (B) PERIODIC REVIEW.—The board of governors shall review the allocation
of votes at least every 5 years. May 2007 Page 7 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter of the American National Red Cross
(a) OWNERSHIP. The United States Government shall retain ownership of the corporation’s permanent headquarters, comprised of buildings erected on square 172 in the District of Columbia,
including: (1) the memorial building to commemorate the service and sacrifice of the women of the United States, North and South, during the Civil War, erected for the use of the corporation;
(2) the memorial building to commemorate the service and sacrifice of the patriotic women of the United States, its territories and possessions, and the District of Columbia during World
War I, erected for the use of the corporation; and (3) the permanent building erected for the use of the corporation in connection with its work in cooperation with the Government. (b)
MAINTENANCE AND EXPENSES. Those buildings shall remain under the supervision of the Administrator of General Services. However, the corporation shall care for and maintain the buildings
without expense to the Government. The endowment fund of the corporation shall be kept kept and invested under the management and control of a board of trustees elected by the board
of governors. The corporation shall prescribe policies and regulations on terms and tenure of office, accountability, and expenses of the board of trustees. (a) SUBMISSION OF REPORT.—As
soon as practicable after the end of the corporation’s fiscal year, which may be changed from time to time by the board of governors, the corporation shall submit a report to the Secretary
of Defense on the activities of the corporation during such fiscal year, including a complete, itemized report of all receipts and expenditures. (b) AUDITING OF REPORT AND SUBMISSION
TO CONGRESS. The Secretary shall audit the report and submit a copy of the audited report to Congress. (c) PAYMENT OF AUDIT EXPENSES. The corporation shall reimburse the Secretary each
year for auditing its accounts. The amount paid shall be deposited in the Treasury of the United States as a miscellaneous receipt. May 2007 Page 8 36 U.S.C. §§300101-300111 recodified
recodified 2007 Congressional Charter of the American National Red Cross
Section 11—Authority of the Comptroller General of the United States The Comptroller General of the United States is authorized to review the corporation’s involvement in any Federal
program or activity the Government carries out under law. Section 12—Office of the Ombudsman (a) ESTABLISHMENT.—The corporation shall establish an Office of the Ombudsman with such duties
and responsibilities as may be provided in the bylaws or a resolution of the board of governors. (b) REPORT.— (1) IN GENERAL.—The Office of the Ombudsman shall submit annually to the
appropriate Congressional committees a report concerning any trends and systemic matters that the Office of the Ombudsman has identified as confronting the corporation. (2) APPROPRIATE
CONGRESSIONAL COMMITTEES.—For purposes of paragraph (1), the appropriate Congressional committees are the following committees of Congress: (A) SENATE COMMITTEES.—The appropriate Congressional
committees of the Senate are— (i) the Committee on Finance; (ii) the Committee on Foreign Relations; (iii) the Committee on Health, Education, Labor, and Pensions; (iv) the Committee
on Homeland Security and Governmental Affairs; and (v) the Committee on the Judiciary. (B) HOUSE COMMITTEES.—The appropriate Congressional committees of the House of Representatives
are— (i) the Committee on Energy and Commerce; (ii) the Committee on Foreign Affairs; (iii) the Committee on Homeland Security; May 2007 Page 9 36 U.S.C. §§300101-300111 recodified 2007
Congressional Charter of the American National Red Cross
(iv) the Committee on the Judiciary; and (v) the Committee on Ways and Means.’’. Section 13—Reservation of Right to Amend or Repeal Congress reserves the right to amend or repeal the
provisions of this chapter. [The Act approved January 5, 1905 (33 Stat. 599), as amended by the Acts approved June 23, 1910 (36 Stat. 604), December 10, 1912 (37 Stat. 647), February
27, 1917 (39 Stat. 946), March 3, 1921 (41 Stat. 1354), June 7, 1924 (43 Stat. 665), February 7, 1930 (46 Stat. 66), May 8, 1947 (61 Stat. 80), June 25, 1948 (62 Stat. 862), July 17,
1953 (67 Stat. 179), August 12, 1998 (112 Stat. 1494.), and May 11, 2007.] May 2007 Page 10 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter of the American National Red
Cross
Related Provisions of the United States Criminal Code Whoever wears or displays the sign of the Red Cross or any insignia colored in imitation thereof for the fraudulent purpose of inducing
the belief that he is a member of or an agent for the American National Red Cross; or Whoever, whether a corporation, association, or person, other than the American National Red Cross
and its duly authorized employees and agents and the sanitary and hospital authorities of the armed forces of the United States, uses the emblem of the Greek red cross on a white ground,
or any sign or insignia made or colored in imitation thereof or the words "Red Cross" or "Geneva Cross" or any combination of these words— Shall be fined not more than $250 or imprisoned
not more than six months, or both. This section shall not make unlawful the use of any such emblem, sign, insignia, or words which was lawful on the date of enactment of this title.
[Sec. 706, Title 18, U.S.C.] Whoever, within the United States, falsely or fraudulently holds himself out as or represents or pretends himself to be a member of or an agent for the American
National Red Cross for the purpose of soliciting, collecting, or receiving money or material, shall be fined not more than $500 or imprisoned not more than one year, or both. [Sec. 917,
Title 18, U.S.C.] Use of the American National Red Cross in Aid of the Armed Forces (a) Whenever the President finds it necessary, he may accept the cooperation and assistance of the
American National Red Cross, and employ it under the armed forces under regulations to be prescribed by the Secretary of Defense. (b) Personnel of the American National Red Cross who
are performing duties in connection with its cooperation and assistance under subsection (a) may be furnished— (1) transportation, at the expense of the United States, while traveling
to and from, and while performing, those duties, in the same manner as civilian employees of the armed forces; (2) meals and quarters, at their expense or at the expense of the American
National Red Cross, except that where civilian employees of the armed forces are quartered without charge, employees of the American National Red Cross may also be quartered without
charge; and (3) available office space, warehousing, wharfage, and means of communication, without charge. (c) No fee may be charged for a passport issued to an employee of the American
National Red Cross for travel outside the United States to assume or perform duties under this section. (d) Supplies of the American National Red Cross, including gifts for the use of
the armed forces, may be transported at the expense of the United States, if it is determined under regulations prescribed under subsection (a) that they are necessary to the cooperation
and assistance accepted under this section. (e) For the purposes of this section, employees of the American National Red Cross may not be considered as employees of the United States.
[Sec. 2602, Title 10, U.S.C.] Note: As contemplated by the above-quoted statutes, the assistance of the American National Red Cross was tendered to and formally accepted by the President
of the United States as of July 17, 1953. May 2007 Page 11 36 U.S.C. §§300101-300111 recodified 2007 Congressional Charter of the American National Red Cross
CLEAN AIR ACT OF MONTANA TITLE 75. ENVIRONMENTAL PROTECTION CHAPTER 2. AIR QUALITY With revisions from the 61th Legislative session -2009 Montana Department of Environmental Quality
1520 East Sixth Avenue Helena, Montana 59620
CHAPTER 2 AIR QUALITY Part 1 — General Provisions and Administration 75-2-101. Short title. 75-2-102. Intent — policy and purpose. 75-2-103. Definitions. 75-2-104. Limitations — personal
cause of action unabridged — venue. 75-2-105. Confidentiality of records. 75-2-106. Small business compliance assistance advisory council — duties — secretary — meetings. 75-2-107. Small
business stationary source technical and environmental compliance assistance program—duties. 75-2-108. Small business stationary sources — exceptions — waivers. 75-2-109. Small business
stationary source representative — duties. 75-2-110 reserved. 75-2-111. Powers of board. 75-2-112. Powers and responsibilities of department. 75-2-113. Terminated. 75-2-114. Terminated.
75-2-115 through 75-2-120 reserved. 75-2-121. Advisory council. 75-2-122. Presiding officer — secretary. 75-2-123. Meetings. Part 2 — Standards, Permits, and Variances 75-2-201. Classifying
and reporting air contaminant sources. 75-2-202. Board to set ambient air quality standards. 75-2-203. Board to set emission levels. 75-2-204. Rules relating to construction, installation,
alteration, operation, or use. 75-2-205. Public hearings on rules. 75-2-206. Study of effects of sulfur dioxide on health and environment. 75-2-207. State regulations no more stringent
than federal regulations or guidelines — exceptions — procedure. 75-2-208 through 75-2-210 reserved. 75-2-211. Permits for construction, installation, alteration, or use. 75-2-212. Variances
— renewals — filing fees. 75-2-213. Energy development project — hearing and procedures. 75-2-214 reserved. 75-2-215. Solid or hazardous waste incineration — additional permit requirements.
75-2-216. Adoption of rules for solid or hazardous waste incinerator permits. 75-2-217. Operating permit program — exemptions — general requirements — duration. 75-2-218. Permits for
operation—application completeness—action by department—application shield—review by board. 75-2-219. Permits for operation — limitations. 75-2-220. Fees — special assessments — late
payment assessments — credit. 75-2-221. Deposit of air quality permitting fees. 75-2-222 and 75-2-223 reserved. 75-2-224. Definitions. 75-2-225. Amount and duration of credit — how claimed.
75-2-226. Credit for use of postconsumer glass. 75-2-227. Postconsumer glass qualifying for credit — rulemaking. 75-2-228 and 75-2-229 reserved. 75-2-230. Commercial hazardous waste
incinerators — additional permit requirements. 75-2-231. Medical waste and hazardous waste incineration — additional permit requirements. 75-2-232. Disclosure statement required. 75-2-233.
Denial or modification of permit — mitigating factors. 75-2-234. Registration. Part 3 — Local Air Pollution Control 75-2-301. Local air pollution control programs — consistency with
state and federal regulations — procedure for public notice and comment required. 75-2-302. State and federal aid. Part 4 — Enforcement, Appeal, and Penalties 75-2-401. Enforcement —
notice — order for corrective action — administrative penalty. 75-2-402. Emergency procedure. 75-2-403. Inspections. 75-2-404 through 75-2-410 reserved. 75-2-411. Judicial review. 75-2-412.
Criminal penalties — injunction preserved. 2009 MCA 17 AIR QUALITY
75-2-413. Civil penalties — venue — effect of action — presumption of continuing violation under certain circumstances. 75-2-414 through 75-2-420 reserved. 75-2-421. Persons subject
to noncompliance penalties — exemptions. 75-2-422. Amount of noncompliance penalty — late charge. 75-2-423. Manner of making payment. 75-2-424. Adjustment of fee. 75-2-425. Notice of
noncompliance — challenge. 75-2-426. Hearing on challenge. 75-2-427. Deposit of noncompliance penalty fees. 75-2-428. Effect of new standards on noncompliance penalty. 75-2-429. Effect
of noncompliance penalty on other remedies. Part 5 — Asbestos Control 75-2-501. Short title. 75-2-502. Definitions. 75-2-503. Rulemaking authority — issuance of permits. 75-2-504. Facility
permits. 75-2-505 through 75-2-507 reserved. 75-2-508. Asbestos control account. 75-2-509 and 75-2-510 reserved. 75-2-511. Accreditation requirements — restrictions. 75-2-512. Repealed.
75-2-513. Records. 75-2-514. Civil penalties — venue for actions to recover. 75-2-515. Administrative enforcement. 75-2-516. Criminal penalties. 75-2-517. Injunctions. 75-2-518. Inspections
— sampling. 75-2-519. Cleanup orders. —————————— Chapter Cross-References Local government smoke abatement programs, Title 7, ch. 31, part 1. Nuisances, Title 27, ch. 30. Montana Clean
Indoor Air Act of 1979, Title 50, ch. 40. Penalties, fees, and interest, Title 75, ch. 1, part 10. Energy emergency provisions — exclusion, 90-4-310. Part 1 General Provisions and Administration
75-2-101. Short title. Parts 1 through 4 of this chapter are known andmay be cited as the “Clean Air Act of Montana”. History: En. Sec. 1, Ch. 313, L. 1967; R.C.M. 1947, 69-3904; amd.
Sec. 264, Ch. 42, L. 1997. 75-2-102. Intent—policy and purpose. (1) The legislature, mindful of its constitutional obligations under Article II, section 3, and Article IX of the Montana
constitution, has enacted the Clean Air Act of Montana. It is the legislature’s intent that the requirements of parts 1 through 4 of this chapter provide adequate remedies for the protection
of the environmental life support system from degradation and provide adequate remedies to prevent unreasonable depletion and degradation of natural resources. (2) It is the public policy
of this state and the purpose of this chapter to achieve and maintain levels of air quality that will protect human health and safety and, to the greatest degree practicable, prevent
injury to plant and animal life and property, foster the comfort and convenience of the people, promote the economic and social development of this state, and facilitate the enjoyment
of the natural attractions of this state. This policymust be balanced by the legislature with the policy of protecting the ability of the people to pursue life’s basic necessities and
to acquire property and to use that property in all lawful ways. (3) Local and regional air pollution control programs must be supported to the extent practicable as essential instruments
for the securing and maintenance of appropriate levels of air quality. (4) To these ends it is the purpose of this chapter to: (a) provide for a coordinated statewide programof air pollution
prevention, abatement, and control; 2009 MCA 75-2-101 ENVIRONMENTAL PROTECTION 18
(b) provide for an appropriate distribution of responsibilities among the state and local units of government; (c) facilitate cooperation across jurisdictional lines in dealingwith problems
of air pollution not confined within single jurisdictions; and (d) provide a framework within which all values may be balanced in the public interest. History: En. Sec. 2, Ch. 313, L.
1967; R.C.M. 1947, 69-3905; amd. Sec. 7, Ch. 361, L. 2003. Cross-References Beauty of state, Preamble, Mont. Const. Right to clean and healthful environment, Art. II, sec. 3, Mont. Const.
Duty to maintain clean and healthful environment, Art. IX, sec. 1, Mont. Const. 75-2-103. Definitions. Unless the context requires otherwise, in this chapter, the following definitions
apply: (1) “Advisory council” means the air pollution control advisory council provided for in 2-15-2106. (2) “Air contaminant”means dust, fumes,mist,smoke, other particulatematter,
vapor, gas, odorous substances, or any combination thereof. (3) “Air pollutants” means one or or more air contaminants that are present in the outdoor atmosphere, including those pollutants
regulated pursuant to section 7412 and Subchapter V of the federal Clean Air Act, 42 U.S.C. 7401, et seq. (4) “Air pollution”means the presence of air pollutants in a quantity and for
a duration that are or tend to be injurious to human health or welfare, animal or plant life, or property or that would unreasonably interfere with the enjoyment of life, property, or
the conduct of business. (5) “Associated supporting infrastructure” means: (a) electric transmission and distribution facilities; (b) pipeline facilities; (c) aboveground ponds and reservoirs
and underground storage reservoirs; (d) rail transportation; (e) aqueducts and diversion dams; (f) devices or equipment associated with the delivery of an energy form or product produced
at an energy development project; or (g) other supporting infrastructure, as defined by board rule, that is necessary for an energy development project. (6) “Board” means the board of
environmental review provided for in 2-15-3502. (7) (a) “Commercial hazardous waste incinerator” means: (i) an incinerator that burns hazardous waste; or (ii) a boiler or industrial
furnace subject to the provisions of 75-10-406. (b) Commercial hazardous waste incinerator does not include a research and development facility that receives federal or state research
funds and that burnshazardous waste primarily to test and evaluate waste treatment remediation technologies. (8) “Department” means the department of environmental quality provided for
in 2-15-3501. (9) “Emission” means a release into the outdoor atmosphere of air contaminants. (10) (a) “Energy development project” means each plant, unit, or other development and associated
developments, including any associated supporting infrastructure, designed for or capable of: (i) generating electricity; (ii) producing gas derived from coal; (iii) producing liquid
hydrocarbon products; (iv) refining crude oil or natural gas; (v) producing alcohol to be blended for ethanol-blended gasoline and that are eligible for a tax incentive pursuant to Title
15, chapter 70, part 5; (vi) producing biodiesel and that are eligible for a tax incentive for the production of biodiesel pursuant to 15-32-701; or (vii) transmitting electricity through
an electric transmission line with a design
capacity of equal to or greater than 50 kilovolts. (b) The term does not include a nuclear facility as defined in 75-20-1202. 2009 MCA 19 AIR QUALITY 75-2-103
(11) “Environmental protection law” means a law contained in or an administrative rule adopted pursuant to Title 75, chapter 2, 5, 10, or 11. (12) “Hazardous waste” means: (a) a substance
defined as hazardous under 75-10-403 or defined as hazardous in department administrative rules adopted pursuant to Title 75, chapter 10, part 4; or (b) a waste containing 2 parts or
more per million of polychlorinated biphenyl (PCB). (13) (a) “Incinerator” means any single-or multiple-chambered combustion device that burns combustible material, alone or with a supplemental
fuel or with catalytic combustion assistance, primarily for the purpose of removal, destruction, disposal, or volume reduction of any portion of the input material. (b) Incinerator does
not include: (i) safety flares used to combust or dispose of hazardous or toxic gases at industrial facilities, such as refineries, gas sweetening plants, oil and gas wells, sulfur recovery
plants, or elemental phosphorus plants; (ii) space heaters that burn used oil; (iii) wood-fired boilers; or (iv) wood waste burners, such as tepee, wigwam, truncated cone, or silo burners.
(14) “Medical waste” means any waste that is generated in the diagnosis, treatment, or immunization of human beings or animals, in medical research on humans or animals, or in the production
or testing of biologicals. The term includes: (a) cultures and stocks of infectious agents; (b) human pathological wastes; (c) waste human blood or products of human blood; (d) sharps;
(e) contaminated animal carcasses, body parts, and bedding that were known to have been exposed to infectious agents during research; (f) laboratory wastes and wastes from autopsy or
surgery that were in contact with infectious agents; and (g) biological waste and discarded material contaminated with blood, excretion, exudates, or secretions from humans or animals.
(15) (a) “Oil or gas well facility” means a well that produces oil or natural gas. The term includes: (i) equipment associated with the well and used for the purpose of producing, treating,
separating, or storing oil, natural gas, or other liquids produced by the well; and (ii) a group of wells under common ownership or control that produce oil or natural gas and that share
commonequipment used for the purpose of producing, treating, separating, or storing oil, natural gas, or other liquids produced by the wells. (b) The equipment referred to in subsection
(15)(a) includes but is not limited to wellhead assemblies, amine units, prime mover engines, phase separators, heater treater units, dehydrator units, tanks, and connecting tubing.
(c) The term does not include equipment such as compressor engines used for transmission of oil or natural gas. (16) “Person” means an individual, a partnership, a firm, an association,
a municipality, a public or private corporation, the state or a subdivision or agency of the state, a trust, an estate, an interstate body, the federal government or an agency of the
federal government, or any other legal entity and includes persons resident in Canada. (17) “Principal” means a principal of a corporation, including but not limited to a partner, associate,
officer, parent corporation, or subsidiary corporation. (18) “Small business stationary source” means a stationary source that: (a) is owned or operated by a person who employs 100 or
fewer individuals; (b) is a small business concern as defined in the SmallBusinessAct, 15U.S.C. 631, et seq.; (c) is not amajor stationary source as defined in Subchapter V of the federal
Clean Air Act, 42 U.S.C. 7661, et seq.; (d) emits less than 50 tons per year of an air pollutant; (e) emits less than a total of 75 tons per year of all air pollutants combined; and
2009 MCA 75-2-103 ENVIRONMENTAL PROTECTION 20
(f) is not excluded from this definition under 75-2-108(3). (19) (a) “Solid waste” means all putrescible and nonputrescible solid, semisolid, liquid, or gaseous wastes, including but
not limited to garbage; rubbish; refuse; ashes; swill; food wastes; commercial or industrial wastes; medical waste; sludge from sewage treatment plants, water supply treatment plants,
or air pollution control facilities; construction, demolition, or salvage wastes; dead animals, dead animal parts, offal, animal droppings, or litter; discarded home and industrial appliances;
automobile bodies, tires, interiors, or parts thereof;wood products or wood byproducts and inert materials; styrofoam and other plastics; rubber materials; asphalt shingles; tarpaper;
electrical equipment, transformers, or insulated wire; oil or petroleum products or oil or petroleum products and inert materials; treated lumber and timbers; and pathogenic or infectious
waste. (b) Solid waste does not include municipal sewage, industrialwastewater effluents, mining wastes regulated under the mining and reclamation laws administered by the department
of environmental quality, or slash and forest debris regulated under laws administered by the department of natural resources and conservation. History: En. Sec. 3, Ch. 313, L. 1967;
amd. Sec. 13, Ch. 349, L. 1974; amd. Sec. 1, Ch. 308, L. 1977; R.C.M. 1947, 69-3906; amd. Sec. 1, Ch. 129, L. 1993; amd. Sec. 1, Ch. 502, L. 1993; amd. Sec. 1, Ch. 639, L. 1993; amd.
Sec. 178, Ch. 418, L. 1995; amd. Secs. 523, 568, Ch. 546, L. 1995; amd. Sec. 1, Ch. 236, L. 2005; amd. Sec. 4, Ch. 445, L. 2009. Compiler’s Comments 2009 Amendment: Chapter 445 inserted
definitions of associated supporting infrastructure and energy development project; and made minor changes in style. Amendment effective May 5, 2009. Applicability: Section 12, Ch. 445,
L. 2009, provided: “[This act] applies to judicial and board of environmental review hearing and appeal proceedings initiated on or after [the effective date of this act].” Effective
May 5, 2009. 75-2-104. Limitations — personal cause of action unabridged — venue. (1) This chapter may not be construed to: (a) grant to the board any jurisdiction or authority with
respect to air contamination existing solely within commercial and industrial plants, works, or shops; (b) affect the relations between employers and employees with respect to or arising
out of any condition of air contamination or air pollution; (c) supersede or limit the applicability of any law or ordinance relating to sanitation, industrial health, or safety; or
(d) abridge, limit, impair, create, enlarge, or otherwise affect substantively or procedurally the right of a person to damages or other relief on account of injury to persons or property
and to maintain an action or other appropriate proceeding. (2) Ajudicial challenge to a permit issued pursuant to this chapter by a party other than the permit applicant or permitholdermust
include the party to whom the permit was issued unless otherwise agreed to by the permit applicant or permitholder. All judicial challenges of permits for projects with a project cost,
as determined by the court, of more than $1 million must have precedence over any civil cause of a different nature pending in that court. If the court determines that the challenge
was without merit or was for an improper purpose, such as to harass, to cause unnecessary delay, or to impose needless or increased cost in litigation, the court may award attorney fees
and costs incurred in defending the action. (3) An action to challenge a permit decision pursuant to this chapter must be brought in the county in which the permitted activity will occur.
If an activity will occur in more than one county, the action may be brought in any of the counties in which the activity will occur. (4) A judicial action or proceeding pursuant to
this chapter for an equine slaughter or processing facility must comply with 81-9-240 and 81-9-241. History: (1) thru (3)En. Sec. 19, Ch. 313, L. 1967; Sec. 69-3922, R.C.M. 1947; (4)En.
Sec. 18, Ch. 313, 313, L. 1967; amd. Sec. 24, Ch. 349, L. 1974; Sec. 69-3921, R.C.M. 1947; R.C.M. 1947, 69-3921(4), 69-3922; amd. Sec. 8, Ch. 361, L. 2003; amd. Sec. 5, Ch. 337, L. 2005;
amd. Sec. 4, Ch. 416, L. 2009. Compiler’s Comments 2009 Amendment: Chapter 416 inserted (4) requiring that a judicial action for an equine slaughter or processing facility must comply
with 81-9-240 and 81-9-241. Amendment effective October 1, 2009. Cross-References Indemnification for damage to air resources, Title 15, ch. 38. Workers’ compensation — liability, Title
39, ch. 71, part 4. Workers’ compensation — claim, Title 39, ch. 71, part 6. Montana Clean Indoor Air Act of 1979, Title 50, ch. 40. 2009 MCA 21 AIR QUALITY 75-2-104
Occupational safety and health, Title 50, ch. 71. Mine safety, Title 50, ch. 72. Mining operation — preventive measures, 82-4-231. 75-2-105. Confidentiality of records. (1) Records or
other information concerning air pollutant sources that are furnished to or obtained by the board or department are a matter of public record and open to public use. However, any information
unique to the owner or operator of an air pollutant source that would, if disclosed, reveal methods or processes entitled to protection as trade secrets must be maintained as confidential
if so determined by a court of competent jurisdiction. The owner or operator shall file a declaratory judgment action to establish the existence of a trade secret if the owner or operator
wishes the information to enjoy confidential status.The departmentmust be served in the action andmay intervene as a party in the action. A trade secret not intended to be public when
submitted to the board or department must be submitted in writing and clearly marked as as confidential. However, emission data and operating permits issued by the department pursuant
to 75-2-217 through 75-2-219 may not be considered confidential for the purposes of this section. (2) This section does not prevent the use of records or information by the board or
department in compiling or publishing analyses or summaries relating to the general condition of the outdoor atmosphere if the analyses or summaries do not identify an owner or operator
or reveal information otherwise made confidential by this section. History: En. Sec. 15, Ch. 313, L. 1967; amd. Sec. 22, Ch. 349, L. 1974; amd. Sec. 1, Ch. 248, L. 1975; R.C.M. 1947,
69-3918; amd. Sec. 2, Ch. 502, L. 1993. Cross-References Right of privacy, Art. II, sec. 10, Mont. Const. Uniform Declaratory Judgments Act — procedure, Title 27, ch. 8, part 3. Uniform
Trade Secrets Act, Title 30, ch. 14, part 4. 75-2-106. Small business compliance assistance advisory council — duties — secretary — meetings. (1) The small business compliance assistance
advisory council, established in 2-15-2110, shall: (a) render advisory opinions concerning the effectiveness of the small business stationary source technical and environmental compliance
assistance program administered by the department; (b) make periodic reports to the appropriate federal agency concerning the compliance of the small business stationary source technical
and environmental compliance assistance program with the requirements of the federal Clean Air Act, 42 U.S.C. 7401, et seq.; (c) review information for small business stationary sources
to ensure that the information is understandable by the lay person and recommend changes to make the information understandable; (d) consult with the small business stationary source
representative provided for in 75-2-109 regarding problems faced by small business stationary sources concerning the implementation and application of the requirements of this chapter;
and (e) perform other duties necessary to meet the requirements of the federal Clean Air Act. (2) The council shall elect a presiding officer from among its membership. (3) The secretary
of the council must be an employee of the department assigned to the small business stationary source technical and environmental compliance assistance program. The secretary shall keep
all records of meetings and actions taken by the council and is responsible for the development and dissemination of any reports and advisory opinions of the council. (4) The council
shall hold at least one regular meeting each calendar year and keep a summary record of its proceedings that is open to the public for inspection. Specialmeetingsmay be called by the
presiding officer or a majority of the council members. The secretary shall provide advance notice of the time and place for meetings to each member of the council. History: En. Sec.
15, Ch. 502, L. 1993. 75-2-107. Small business stationary source technical and environmental compliance assistance program — duties. (1) The department shall establish a small business
stationary source technical and environmental compliance assistance program. (2) The program shall: 2009 MCA 75-2-105 ENVIRONMENTAL PROTECTION 22
(a) provide information to small business stationary sources on compliance methods and technologies, pollution prevention, and accidental release detection and prevention; (b) assist
small business stationary sources in determining applicable requirements under this chapter and in receiving permits in a timely and efficient manner; (c) provide small business stationary
sources timely notice of their rights and obligations under this chapter; (d) provide information to small business stationary sources regarding the availability of audit services that
are useful for determining compliance status with the requirements of this chapter; and (e) perform other duties asmay be necessary to meet the requirements of the federal Clean Air
Act, 42 U.S.C. 7401, et seq. History: En. Sec. 16, Ch. 502, L. 1993. 75-2-108. Small business stationary sources — exceptions — waivers. (1) Upon petition, the department may designate
a source to be a small business stationary source for purposes of receiving assistance from the small business stationary source technical and environmental compliance assistance program
if the stationary source does not emitmore than 100 tons per year of all air pollutants and: (a) is a major stationary source as defined in Subchapter V of the federal Clean Air Act,
42 U.S.C. 7661, et seq.; (b) emits 50 tons or more per year of an air pollutant; or (c) emits more than 75 tons per year of all air pollutants. (2) After notice and an opportunity for
public comment, the department may grant a petition submitted under subsection (1) upon finding that the source of air pollutants does not have sufficient technical and financial capabilities
to meet the requirements of this chapter without the assistance of the small business stationary source technical and environmental compliance assistance program. (3) After notice and
opportunity for public comment, the departmentmay exclude from the definition of small business stationary source in 75-2-103 a category or subcategory of sources that the department
determines to have sufficient technical and financial capabilities to meet the requirements of this chapter without the assistance of the small business stationary source technical and
environmental compliance assistance program. The department may make this determination only after consulting with the appropriate federal agencies under Subchapter V of the federal
Clean Air Act. History: En. Sec. 17, Ch. 502, L. 1993. 75-2-109. Small business stationary source representative — duties. (1) The department shall establish a small business stationary
source representative position that is not located in a regulatory program of the department and not subject to direct supervision by a regulatory program of the department. (2) The
small business stationary source representative shall represent the interests of small business stationary sources before the department and other appropriate local, state, and federal
agencies concerning the implementation and application of the requirements of this chapter. In addition, the representative shall provide assistance to small business stationary sources
in meeting the requirements of this chapter. In carrying out these activities, the representative shall: (a) monitor the activities of the small business stationary source technical
and environmental compliance assistance program; (b) review and provide comments and recommendations to the department, local air pollution control programs, and the appropriate federal
agencies regarding the development and implementation of regulations pertaining to air quality that impact small business stationary sources; (c) facilitate and promote the participation
of small business stationary sources in the development of new regulations pertaining to air quality that impact small business stationary sources; (d) assist in the preparation and
dissemination of reports and other information regarding the applicability of the requirements of this chapter to small business stationary sources; 2009 MCA 23 AIR QUALITY 75-2-109
(e) assist in the preparation of guideline documents by the small business stationary source technical and environmental compliance assistance program to ensure that these documents
are readily understandable by the lay person; (f) assist small business stationary sources and their trade associations to encourage voluntary compliance with the requirements of this
chapter; (g) cooperatewith appropriate local, state, and federal agencies and private sector financial institutions to assist small business stationary sources in locating financial
assistance necessary for compliance with the requirements of this chapter; (h) consult with the small business compliance assistance advisory council regarding problems faced by small
business stationary sources concerning the implementation and application of the requirements of this chapter; and (i) perform other duties asmay be necessary to meet the requirements
of the federal Clean Air Act, 42 U.S.C. 7401, et seq. (3) Subject to Article II, section 9, of the Montana Montana constitution, the small business stationary source representative may
not provide information that the representative obtains from a small business stationary source to the department for use in any administrative or judicial action to enforce the requirements
of this chapter, unless the information discloses a violation that constitutes an imminent and substantial danger to human health, safety, or the environment. History: En. Sec. 18, Ch.
502, L. 1993; amd. Sec. 1, Ch. 491, L. 2001. 75-2-110 reserved. 75-2-111. Powers of board. The board shall, subject to the provisions of 75-2-207: (1) adopt, amend, and repeal rules
for the administration, implementation, and enforcement of this chapter, for issuing orders under and in accordance with 42 U.S.C. 7419, and for fulfilling the requirements of 42 U.S.C.
7420 and regulations adopted pursuant to that section, except that, for purposes other than agricultural open burning, the boardmay not adopt permitting requirements or any other rule
relating to: (a) a) any agricultural activity or equipment that is associated with the use of agricultural land or the planting, production, processing, harvesting, or storage of agricultural
crops by an agricultural producer and that is not subject to the requirements of 42 U.S.C. 7475, 7503, or 7661a; or (b) a commercial operation relating to the activities or equipment
referred to in subsection (1)(a) that remains in a single location for less than 12 months and is not subject to the requirements of 42 U.S.C. 7475, 7503, or 7661a; (2) hold hearings
relating to any aspect of or matter in the administration of this chapter at a place designated by the board. The board may compel the attendance of witnesses and the production of evidence
at hearings. The board shall designate an attorney to assist in conducting hearings and shall appoint a reporter who must be present at all hearings and take full stenographic notes
of all proceedings, transcripts ofwhich will be available to the public at cost. (3) issue orders necessary to effectuate the purposes of this chapter; (4) by rule require access to
records relating to emissions; (5) by rule adopt a schedule of fees required for permits, permit applications, and registrations consistent with this chapter; (6) have the power to issue
orders under and in accordance with 42 U.S.C. 7419. History: En. Sec. 6,Ch. 313, L. 1967; amd. Sec. 17, Ch. 349, L. 1974; R.C.M. 1947, 69-3909(1) thru (4); amd. Sec. 1, Ch. 560, L. 1979;
amd. Sec. 1, Ch. 652, L. 1991; amd. Sec. 7, Ch. 471, L. 1995; amd. Sec. 1, Ch. 231, L. 2003; amd. Sec. 1, Ch. 256, L. 2007; amd. Sec. 100, Ch. 2, L. 2009. Compiler’s Comments 2009 Amendment:
Chapter 2 in (1)(a) at end and in (1)(b) at end substituted “7661a” for “7661”. Amendment effective October 1, 2009. Cross-References Montana Administrative Procedure Act — adoption
of rules, Title 2, ch. 4, part 3. Board of Environmental Review, 2-15-3502. 75-2-112. Powers and responsibilities of department. (1) The department is responsible for the administration
of this chapter. ((2) The department shall: 2009 MCA 75-2-111 ENVIRONMENTAL PROTECTION 24
(a) by appropriate administrative and judicial proceedings, enforce orders issued by the board; (b) secure necessary scientific, technical, administrative, and operational services,
including laboratory facilities, by contract or otherwise; (c) prepare and develop a comprehensive plan for the prevention, abatement, and control of air pollution in this state; (d)
encourage voluntary cooperation by persons and affected groups to achieve the purposes of this chapter; (e) encourage local units of government to handle air pollution problems within
their respective jurisdictions on a cooperative basis and provide technical and consultative assistance for this. If local programs are financed with public funds, the departmentmay
contract with the local government to share the cost of the program. However, the state sharemay not exceed 30% of the total cost. (f) encourage and conduct studies, investigations,
and research relating to air contamination and air pollution and their causes, effects, prevention, abatement, and control; (g) determine, bymeans of field studies and sampling, the
degree of air contamination and air pollution in the state; (h) make a continuing study of the effects of the emission of air contaminants from motor vehicles on the quality of the outdoor
atmosphere of this state and make recommendations to appropriate public and private bodies with respect to this; (i) collect and disseminate information and conduct educational and training
programs relating to air contamination and air pollution; (j) advise, consult, contract, and cooperate with other agencies of the state, local governments, industries, other states,
interstate and interlocal agencies, the United States, and any interested persons or groups; (k) consult, on request,with any person proposing to construct, install, or otherwise acquire
an air contaminant source or device or system for the control thereof concerning the efficacy of this device or system or the air pollution problems whichmay be related to the source,
device, or system. system. Nothing in this consultation relieves a person from compliance with this chapter, rules in force under it, or any other provision of law. (l) accept, receive,
and administer grants or other funds or gifts from public or private agencies, including the United States, for the purpose of carrying out this chapter. Funds received under this section
shall be deposited in the state treasury to the account of the department. (3) The department may assess fees to the applicant for the analysis of the environmental impact of an application
to redesignate the classification of any area, except those areas within the exterior boundaries of a reservation of a federally recognized Indian tribe, under the classifications established
by 42 U.S.C. 7470 through 7479 (prevention of significant deterioration of air quality).The determination ofwhether or not a feewill be assessed is to be on a case-by-case basis. History:
(1)En. Sec. 4, Ch. 313, L. 1967; amd. Sec. 14, Ch. 349, L. 1974; Sec. 69-3907, R.C.M. 1947; (2)En. 69-3909.1 bySec. 18, Ch. 349, L. 1974; Sec. 69-3909.1, R.C.M. 1947; R.C.M. 1947, 69-3907,
69-3909.1; (3)En. Sec. 2, Ch. 560, L. 1979. Cross-References Montana Administrative Procedure Act, Title 2, ch. 4. Eligibility for state aid, 75-2-302. Enforcement by Department, 75-2-401.
75-2-113. Terminated. Sec. 5, Ch. 673, L. 1989. History: En. Sec. 1, Ch. 673, L. 1989. 75-2-114. Terminated. Sec. 5, Ch. 673, L. 1989. History: En. Sec. 2, Ch. 673, L. 1989. 75-2-115
through 75-2-120 reserved. 75-2-121. Advisory council. The advisory council shall act in an advisory capacity to the department on matters relating to air pollution. History: En. Sec.
5, Ch. 313, L. 1967; amd. Sec. 16, Ch. 349, L. 1974; R.C.M. 1947, 69-3908(4). 2009 MCA 25 AIR QUALITY 75-2-121
Cross-References Composition of Council, 2-15-2106. 75-2-122. Presiding officer — secretary. (1) A presiding officer must be elected by the advisory council from among its number. (2)
The secretary of the advisory council must be a member of the staff of the department, designated by the director. The secretary shall keep all records ofmeetings of and actions taken
by the council. The secretary shall keep the advisory council advised as to actions taken by persons in response to recommendations and orders issued under this chapter and shall perform
other duties as determined by the advisory council, not inconsistent with rules and policies adopted under this chapter or specific authority otherwise given the advisory council. History:
En. Sec. 5,Ch. 313, L. 1967; amd. Sec. 16, Ch. 349, L. 1974; R.C.M. 1947, 69-3908(1), (3); amd. Sec. 2489, Ch. 56, L. 2009. Compiler’s Comments 2009 Amendment: Chapter 56 made section
gender neutral; and made minor changes in style. Amendment effective October 1, 2009. Cross-References Term of office, 2-15-2106. 75-2-123. Meetings. The advisory council shall hold
at least two regular meetings each calendar year and shall keep a summary record of its proceedings that must be open to the public for inspection. Specialmeetingsmay be called by the
presiding officer andmust be called by the presiding officer on receipt of a written request signed by two or more members of the advisory council. Notice of the time and place formeetingsmust
be given in advance to eachmember of the advisory council by the secretary. History: En. Sec. 5, Ch. 313, L. 1967; amd. Sec. 16, Ch. 349, L. 1974; R.C.M. 1947, 69-3908(2); amd. Sec.
2490, Ch. 56, L. 2009. Compiler’s Comments 2009 Amendment: Chapter 56 made section gender neutral; and made minor changes in style. Amendment effective October 1, 2009. Cross-References
Right of public participation in government, Art. II, sec. 8, Mont. Const. Public participation in governmental operations, Title 2, ch. 3. Part 2 Standards, Permits, and Variances Part
Cross-References Montana Administrative Procedure Act — adoption of rules, Title 2, ch. 4, part 3. Energy emergency — power of Governor to suspend pollution control standards, 90-4-310.
75-2-201. Classifying and reporting air contaminant sources. (1) The board may classify air contaminant sources which in its judgment may cause or contribute to air pollution according
to levels and types of emissions and other characteristics which relate to air pollution andmay require reporting for any such class or classes. Such classifications shall be made with
special reference to effects on health, economic and social factors, and physical effects on property and may be applied to the state as a whole or to any designated area. (2) Any person
operating or responsible for the operation of air contaminant sources of any class for which the rules of the boardmay require reporting shallmake reports containing such information
as may be required concerning location, size and height of contaminant outlets, processes employed, fuels used, and the nature and time periods or duration of emissions and any other
matter relevant to air pollution which is available or reasonably capable of being assembled. History: En. Sec. 7, Ch. 313, L. 1967; R.C.M. 1947, 69-3910. 75-2-202. Board to set ambient
air quality standards. (1) The board shall establish ambient air quality standards for the state. (2) Ambient air quality standards for fluorides shall be established through limitations
upon the concentration of fluorides in forage grasses, hay, and silage. History: En. Sec. 6, Ch. 313, L. 1967; amd. Sec. 17, Ch. 349, L. 1974; R.C.M. 1947, 69-3909(5); amd. Sec. 1, Ch.
565, L. 1981. Cross-References
Compliance with air standards for facility siting, 75-20-401. 2009 MCA 75-2-122 ENVIRONMENTAL PROTECTION 26
75-2-203. Boardto set emission levels. (1)The boardmay establish the limitations of the levels, concentrations, or quantities ofemissions of various pollutants from any source necessary
to prevent, abate, or control air pollution. Except as otherwise provided in or pursuant to this section, such levels, concentrations, or quantities shall be controlling, and no emission
in excess thereof shall be lawful. (2) In any area where the concentration of air pollution sources or of population or where the nature of the economy or of land and its uses so require,
the board may fix more stringent requirements governing the emission of air pollutants than those in effect pursuant to subsection (1) of this section. (3) The board may by rule use
any widely recognized measuring system for measuring emission of air contaminants. (4) Should federalminimumstandards of air pollution be set by federal law, the boardmay, if necessary
in some localities of this state, set more stringent standards by rule. History: En. Sec. 10, Ch. 313, L. 1967; R.C.M. 1947, 69-3913. Cross-References Montana Administrative Procedure
Act — adoption of rules, Title 2, ch. 4, part 3. 75-2-204. Rules relating to construction, installation, alteration, operation, or use. The board may by rule prohibit the construction,
installation, alteration, operation, or use of a machine, equipment, device, or facility that it finds may directly or indirectly cause or contribute to air pollution or that is intended
primarily to prevent or control the emission of air pollutants, unless the owner or operator has obtained a permit under this part or has registered the source of air contaminants with
the department if the source is in a category for which only registration is required by the rules adopted to implement this part. History: En. Sec. 8, Ch. 313, L. 1967; amd. Sec. 1,
Ch. 185, L. 1975; amd. Sec. 4, Ch. 140, L. 1977; R.C.M. 1947, 69-3911(1); amd. Sec. 3, Ch. 502, L. 1993; amd. Sec. 2, Ch. 231, L. 2003. Cross-References Montana Administrative Procedure
Act — adoption of rules, Title 2, ch. 4, part 3. 75-2-205. Public hearings on rules. No rule and no amendment or repeal thereof may take effect except after public hearing on due notice
and after the advisory council has been given, at the time of publication, the proposed text to comment thereon. Such notice shall be given and any hearing conducted in accordance with
the provisions of the Montana Administrative Procedure Act and rules made pursuant thereto. History: En. Sec. 14, Ch. 313, L. 1967; amd. Sec. 9, Ch. 140, L. 1977; R.C.M. 1947, 69-3917(1);
amd. Sec. 3, Ch. 560, L. 1979. Cross-References Montana Administrative Procedure Act — adoption and publication of rules, Title 2, ch. 4, part 3. 75-2-206. Study of effects of sulfur
dioxide on health and environment. (1) To the extent that funds are available, the board shall conduct an ongoing study in areas of Montana where there are major industrial sources of
sulfur dioxide. The study shall concentrate on the effects on human health and the environment of ambient sulfur dioxide concentrations separately and in conjunction with particulates.
(2) Notwithstanding other funding sources to pay for the study, the board may accept funds and grants from private and public sources. History: En. Sec. 2, Ch. 504, L. 1987. 75-2-207.
State regulations no more stringent than federal regulations or guidelines — exceptions — procedure. (1) After April 14, 1995, except as provided in subsections (2) and (3) or unless
required by state law, the board or departmentmay not adopt a rule to implement this chapter that is more stringent than the comparable federal regulations or guidelines that address
the same circumstances. The board or department may incorporate by reference comparable federal regulations or guidelines. (2) (a) The board or department may adopt a rule to implement
this chapter that is more stringent than comparable federal regulations or guidelines only if: (i) a public hearing is held; (ii) public comment is allowed; and 2009 MCA 27 AIR QUALITY
75-2-207
(iii) the board or the department makes a written finding after the public hearing and comment period that is based on evidence in the record that the proposed standard or requirement:
(A) protects public health or the environment; (B) can mitigate harm to the public health or the environment; and (C) is achievable with current technology. (b) The written finding required
under subsection (2)(a)(iii)must reference information and peer-reviewed scientific studies contained in the record that form the basis for the board’s or the department’s conclusion.
The written finding must also include information from the hearing record regarding costs to the regulated community that are directly attributable to the proposed standard or requirement.
(c) (i) A person or entity affected by a rule of the board or department adopted after January 1, 1990, and before April 14, 1995, that the person or entity believes is more stringent
than comparable federal regulations or guidelines may petition the board or department to review the rule. (ii) If the board or department determines that the rule is more stringent
than comparable federal regulations or guidelines, the board or department shall either revise the rule to conform to the federal regulations or guidelines or follow the process provided
in subsections (2)(a) and (2)(b) within a reasonable period of time, not to exceed 6 months after receiving the petition. (iii) Apetition under this section does not relieve the petitioner
of the duty to comply with the challenged rule. The board or department may charge a petition filing fee in an amount not to exceed $250. (iv) A person may also petition the board or
department for a rule review under subsection (2)(a) if the board or department adopts a rule after January 1, 1990, in an area in which no federal regulations or guidelines existed
and the federal government subsequently establishes comparable regulations or guidelines that are less stringent than the previously adopted board or department rule. (3) This section
does not apply to a rule adopted under the emergency rulemaking provisions of 2-4-303(1). History: En. Sec. 2, Ch. 471, L. 1995; amd. Sec. 1, Ch. 536, L. 2001. 75-2-208 through 75-2-210
reserved. 75-2-211. Permits for construction, installation, alteration, or use. (1) The board shall by rule provide for the issuance, modification, suspension, revocation, and renewal
of a permit issued under this part. (2) (a) Except as provided in 75-1-208(4)(b), 75-2-234, and subsections (2)(b) and (2)(c) of this section, not later than 180 days before construction,
installation, or alteration begins or as a condition of use of any machine, equipment, device, or facility that the board findsmay directly or indirectly cause or contribute to air pollution
or that is intended primarily to prevent or control the emission of air pollutants, the owner or operator shall file with the department the appropriate permit application on forms available
from the department. (b) Except as provided in subsection (2)(e), the owner or operator of an oil or gas well facility shall file the permit application with the department no later
than January 3, 2006, or 60 days after the initial well completion date, whichever is later. For purposes of this section, the initial well completion date for an oil or gas well facility
is: (i) for an oil or gas well facility producing oil, the datewhen the first oil is produced through wellhead equipment into lease tanks from the ultimate producing interval after casing
has been run; and (ii) for an oil or gas well facility producing gas, the date when the oil or gas well facility is capable of producing gas through wellhead equipment from the ultimate
producing interval after casing has been run. (c) An owner or operator who complies with subsection (2)(b) may construct, install, or use equipment necessary to complete or operate an
oil or gas well facility without a permit until the department’s decision on the application is final. If the owner or operator does not comply with subsection (2)(b), the owner or operatormay
not operate the oil or gas well facility and is liable for a violation of this section for every day of construction, installation, or operation of the facility. 2009 MCA 75-2-211 ENVIRONMENTAL
PROTECTION 28
(d) The board shall adopt rules establishing air emission control requirements applicable to an oil or gas well facility during the time from the initial well completion date until the
department’s decision on the application is final. (e) The provisions of subsections (2)(b) and (2)(c) do not apply to an oil or gas well facility subject to the federal air permitting
provisions of 42 U.S.C. 7475 or 7503. (3) The permit program administered by the department pursuant to this section must include the following: (a) requirements and procedures for permit
applications, including standard application forms; (b) requirements and procedures for submittal of information necessary to determine the location, quantity, and type of emissions;
(c) procedures for public notice and opportunity for comment or public hearing, as appropriate; (d) procedures for providing notice and an opportunity for comment to contiguous states
and federal agencies, as appropriate; (e) requirements for inspection, monitoring, recordkeeping, recordkeeping, and reporting; (f) procedures for the transfer of permits; (g) requirements
and procedures for suspension, modification, and revocation of permits by the department; (h) requirements and procedures for appropriate emission limitations and other requirements,
including enforceable measures necessary to ensure compliance with those limitations and requirements; (i) requirements and procedures for permit modification and amendment; and (j)
requirements and procedures for issuing a single permit authorizing emissions from similar operations at multiple temporary locations, which permit may include conditions necessary to
ensure compliancewith the requirements of this chapter at all authorized locations and a requirement that the owner or operator notify the department in advance of each change in location.
(4) This section does not restrict the board’s authority to adopt regulations providing for a single air quality permit system. (5) Department approval of an application to transfer
a portable emission source from one location to another is exempt from the provisions of 75-1-201(1). (6) The departmentmay, for good cause shown,waive or shorten the time required for
filing the appropriate applications. (7) The department shall require that applications for permits be accompanied by any plans, specifications, and other information that it considers
necessary. (8) An application is not considered filed until the applicant has submitted all fees required under 75-2-220 and all information and completed application forms required
pursuant to subsections (2), (3), and (7) of this section. If the department fails to notify the applicant in writing within 30 days after the purported filing of an application that
the application is incomplete and fails to list the reasons why the application is considered incomplete, the application is considered filed as of the date of the purported filing.
(9) (a) Except as provided in 75-1-205(4) and 75-1-208(4)(b), if an application for a permit requires the preparation preparation of an environmental impact statement under the Montana
Environmental Policy Act, Title 75, chapter 1, parts 1 through 3, the department shall notify the applicant in writing of the approval or denial of the application: (i) within 180 days
after the department’s receipt of a filed application, as provided in subsection (8), if the department prepares the environmental impact statement; (ii) within 30 days after issuance
of the final environmental impact statement by the lead agency if a state agency other than the department has been designated by the governor as lead agency for preparation of the environmental
impact statement; or (iii) if the application is for amachine, equipment, a device, or a facility at an operation that requires a permit under Title 82, chapter 4, part 1, 2, or 3, within
30 days of issuance of the final environmental impact statement in accordance with time requirements of Title 82, chapter 4, part 1, 2, or 3. 2009 MCA 29 AIR QUALITY 75-2-211
(b) If an application does not require the preparation of an environmental impact statement, is not subject to the provisions of 75-2-215, and is not subject to the federal air quality
permitting provisions of 42 U.S.C. 7475, 7503, or 7661a, the department shall notify the applicant in writing within 60 days after its receipt of a filed application, as provided in
subsection (8), of its approval or denial of the application, except as provided in subsection (14). (c) If an application does not require the preparation of an environmental impact
statement and is subject to the federal air permitting provisions of 42 U.S.C. 7475, 7503, or 7661a, the department shall notify the applicant, in writing, within 75 days after its receipt
of a filed application, as provided in subsection (8), of its approval or denial of the application. (d) Except as provided in subsection (9)(e), if an application does not require the
preparation of an environmental impact statement and is subject to the provisions of 75-2-215, the the department shall notify the applicant of its approval or denial of the application,
in writing, within 75 days after its receipt of a filed application, as provided in subsection (8). (e) If an application for a permit is for the construction, installation, alteration,
or use of a source that is also required to obtain a license pursuant to 75-10-221 or a permit pursuant to 75-10-406, the department shall prepare a single environmental review document
pursuant to Title 75, chapter 1, for the permit required under this section and the license or permit required under 75-10-221 or 75-10-406 and act on the applications within the time
period provided for in 75-2-215(3)(e). (f) The time for notification may be extended for 30 days by written agreement of the department and the applicant. Additional 30-day extensionsmay
be granted by the department upon the request of the applicant. Notification of approval or denial may be served personally or by certified mail on the applicant or the applicant’s agent.
(g) g) Failure by the department to act in a timely manner does not constitute approval or denial of the application. This does not limit or abridge the right of any person to seek available
judicial remedies to require the department to act in a timely manner. (10) Except as provided in 75-2-213, when the department approves or denies the application for a permit under
this section, a personwho is directly and adversely affected by the department’s decisionmay request a hearing before the board. The request for hearing must be filed within 15 days
after the department renders its decision. An affidavit setting forth the grounds for the request must be filed within 30 days after the department renders its decision. The contested
case provisions of theMontana Administrative Procedure Act, Title 2, chapter 4, part 6, apply to a hearing before the board under this subsection. (11) Except as provided in 75-2-213:
(a) the department’s decision on the application is not final until 15 days have elapsed from the date of the decision; (b) the filing of a request for hearing does not stay the department’s
decision. However, the boardmay order a stay upon receipt of a petition and a finding, after notice and opportunity for hearing, that: (i) the person requesting the stay is entitled
to the relief demanded in the request for a hearing; or (ii) continuation of the permit during the appeal would produce great or irreparable injury to the person requesting the stay.
(c) upon granting a stay, the board may require a written undertaking to be given by the party requesting the stay for the payment of costs and damages incurred by the permit applicant
and its employees if the board determines that the permit was properly issued.When requiring an undertaking, the board shall use the same procedures and limitations as are provided in
27-19-306(2) through (4) for undertakings on injunctions. (12) The board shall provide, by rule, a period of 30 days in which the public may submit comments on draft air quality permits
for applications that: (a) are subject to the federal air quality permitting provisions of 42 U.S.C. 7475, 7503, or 7661a; (b) are subject to the requirements of 75-2-215; or (c) require
the preparation of an environmental impact statement. 2009 MCA 75-2-211 ENVIRONMENTAL PROTECTION 30
(13) The board shall provide, by rule, a period of 15 days in which the public may submit comments on draft air quality permits not subject to subsection (12). (14) The board shall provide,
by rule, the basis upon which the departmentmay extend by 15 days: (a) the period as provided in subsection (13) in which the public may submit comments on draft air quality permits
not subject to subsection (12); and (b) the period for notifying an applicant of its final decision on approval or denial of an application, as provided in subsection (9)(b). (15) (a)
The board may adopt rules for issuance, modification, suspension, revocation, renewal, or creation of: (i) general permits covering multiple similar sources; or (ii) other permits covering
multiple similar sources. (b) Rules adopted pursuant to subsection (15)(a) may provide for construction and operation under the permit upon authorization by the department or upon notice
to the department. History: En. Sec. 8, Ch. 313, L. 1967; amd. Sec. 1, Ch. 185, L. 1975; amd. Sec. 4, Ch. 140, L. 1977; R.C.M. 1947, 69-3911(part); amd. Sec. 4, Ch. 560, L. 1979; amd.
Sec. 1, Ch. 196, L. 1983; amd. Sec. 1, Ch. 277, L. 1983; amd. Sec. 2, Ch. 652, L. 1991; amd. Sec. 4, Ch. 502, L. 1993; amd. Sec. 2, Ch. 639, L. 1993; amd. Sec. 1, Ch. 85, L. 1995; amd.
Sec. 1, Ch. 273, L. 1997; amd. Sec. 1, Ch. 221, L. 1999; amd. Sec. 4, Ch. 299, L. 2001; amd. Sec. 1, Ch. 588, L. 2001; amd. Sec. 1, Ch. 99, L. 2003; amd. Sec. 3, Ch. 231, L. 2003; amd.
Sec. 1, Ch. 188, L. 2005; amd. Sec. 2, Ch. 236, L. 2005; amd. Sec. 6, Ch. 337, L. 2005; amd. Sec. 101, Ch. 2, L. 2009; amd. Sec. 5, Ch. 445, L. 2009. Compiler’s Comments 2009 Amendments—Composite
Section: Chapter 2 in (9)(b) near middle, in (9)(c) near middle, and in (12)(a) at end substituted “7661a” for “7661”. Amendment effective October 1, 2009. Chapter 445 in (10) in first
sentence at beginning inserted exception clause, and substituted “directly and adversely affected” for “jointly or severally adversely affected”; in (11) inserted exception clause; and
made minor changes in style. Amendment effective May 5, 2009. Applicability: Section 12, Ch. 445, L. 2009, provided: “[This act] applies to judicial and board of environmental review
hearing and appeal proceedings initiated on or after [the effective date of this act].” Effective May 5, 2009. Cross-References Montana Administrative Procedure Act — contested cases,
Title 2, ch. 4, part 6. Air pollution control equipment — determination of use for tax purposes, 15-6-135. Fund structure, 17-2-102. Environmental impact statement, 75-1-201. Requirement
that siting of facility includes air permit — application — decision, 75-20-211, 75-20-401. Dairy products manufacturing plant — approval of air pollutant control by Department of Environmental
Quality, 81-22-403. 75-2-212. Variances—renewals—filing fees. (1)Aperson who owns or is in control of a plant, building, structure, process, or equipment may apply to the board for an
exemption or partial exemption from rules governing the quality, nature, duration, or extent of emissions of air pollutants. The application must be accompanied by information and data
that the board may require. The board may grant an exemption or partial exemption if it finds that: (a) the emissions occurring or proposed to occur do not constitute a danger to public
health or safety; and (b) compliance with the rules from which an exemption is sought would produce hardship without equal or greater benefits to the public. (2) An exemption or partial
exemption may not be granted pursuant to this section except after public hearing on due notice and until the board has considered the relative interests of the applicant, other owners
or property likely to be affected by the emissions, and the general public. (3) The exemption or partial exemption may be renewed if a complaint is not made to the board because of it
or if, after the complaint has been made and duly considered at a public hearing held by the board on due notice, the board finds that renewal is justified.A renewalmay not be granted
except on application. An application must be made at least 60 days before the expiration of the exemption or partial exemption. Immediately before application for renewal, the applicant
shall give public notice of the application in accordance with rules of the board. A renewal pursuant to this subsection must be on the same grounds and subject to the same limitations
and requirements as provided in subsection (1). (4) An exemption, partial exemption, or renewal is not a right of the applicant or holder but may be granted at the discretion of the
board. However, a person adversely affected by an 2009 MCA 31 AIR QUALITY 75-2-212
exemption, partial exemption, or renewal granted by the board may obtain judicial review as provided by 75-2-411. (5) This section and an exemption, partial exemption, or renewal granted
pursuant to this sectionmay not be construed to prevent or limit the application of the emergency provisions and procedures of 75-2-402 to a person or the person’s property. (6) A person
who owns or is in control of a plant, building, structure, process, or equipment, which are called facilities, who applies to the board for an exemption or partial exemption or a renewal
of an exemption or partial exemption from a rule governing the quality, nature, duration, or extent of emissions of air pollutants shall submit with the application for variance a sum
of not less than $500 or 2% of the cost of the equipment to bring the facility into compliance with the rule for which a variance is sought,whichever is greater, but not to exceed $80,000.
The department shall prepare a statement of actual costs, and funds in excess of this must be returned to the applicant. The person requesting the variance shall describe the facility
in sufficient detail, with accompanying estimates of cost and verifying materials, to permit the department to determine with reasonable accuracy the sum of the fee. For a renewal of
an exemption or partial exemption, if a public hearing, environmental impact statement, or appreciable investigation by the department is not necessary, the minimum filing fee applies
or the fee may be waived by the department. The filing fee must be deposited in the state special revenue fund provided for in 17-2-102. It is the intent of the legislature that the
revenue derived from the filing fees must be used by the department to: (a) compile the information required for rendering a decision on the request; (b) compile the information necessary
for any environmental impact statements; (c) offset the costs of a public hearing, printing, or mailing; and (d) carry out its other responsibilities under this chapter. History: En.
Sec. 13, Ch. 313, L. 1967; amd. Sec. 1, Ch. 186, L. 1975; amd. Sec. 8, Ch. 140, L. 1977; R.C.M. 1947, 69-3916; amd. Sec. 1, Ch. 265, L. 1983; amd. Sec. 1, Ch. 277, L. 1983; amd. Sec.
2491, Ch. 56, L. 2009. Compiler’s Comments 2009 Amendment: Chapter 56 made section gender neutral; and made minor changes in style. Amendment effective October 1, 2009. 75-2-213. Energy
development project—hearing and procedures. (1) (a) When the department approves or denies the application for a permit under 75-2-211 for an energy development project, the applicant
or a person who has provided the department with formal comments and who is directly and adversely affected by the department’s decisionmay request a hearing before the board. If the
department provided an opportunity for public comment on the application, the request for a hearingmust be limited to those issues raised in commentsmade to the department during the
comment period unless the issues are related to amaterial change in federal or state law made during the comment period, to a judicial decision issued after the comment period, or to
a material change to the draft permit, which was submitted for public comment,made by the department in the final permit decision and upon which the public did not have ameaningful opportunity
to comment.The request for hearingmust be filedwithin 30 days after the department renders its decision. An affidavit setting forth the grounds for the request must be filed with the
request for a hearing. (b) (i) If a hearing is requested by a person other than the applicant for or permittee of an energy development project, the applicant or permitteemay, by filing
a written electionwith the board within 15 days of receipt of the request for hearing, elect to have the matter proceed to hearing before the board or to have the matter submitted directly
to the district court for judicial review of the agency decision. The party who requests the hearingmay elect to have thematter submitted either to the board for a hearing or to the
district court for for judicial review by submitting a written election to the board with the request for hearing. If there are conflicting elections between the parties, the matter
must proceed to district court. (ii) If the applicant or permittee is not the personwho requested the hearing and has elected to have the matter submitted to the district court, the
person who submitted the request for a hearing shall file a petition for review of the permit decision within 15 days of receipt of notice from the permittee. If the person who requested
the hearing has elected to have the matter proceed to district court, that person shall file a petition in district court within 15 days of filing the request. 2009 MCA 75-2-213 ENVIRONMENTAL
PROTECTION 32
(iii) The petition must be limited to matters raised in the request for hearing and must be filed in the county in which the facility is located. (iv) If a party does not elect to submit
the matter directly to district court, the matter must proceed through the contested case process before the board pursuant to the Montana Administrative Procedure Act. (v) The board
or the district court shall apply the laws and rules in place when the department issued its decision, and the board or the district court may not consider any issue that was not presented
to the department for the department’s consideration during the formal comment period unless the issue is related to a material change in federal or state law made during the comment
period, to a judicial decision issued after the comment period, or to a material change to the draft permit, which was submitted for public comment, made by the department in the final
permit decision and upon which the public did not have a meaningful opportunity to comment. (c) c) (i) Except as provided in subsection (1)(c)(ii), if the person requesting the hearing
is not the applicant or permittee of an energy development project, the board or the district court shall require a written undertaking to be given by the party requesting the hearing
for the payment of costs and damages incurred by the permit applicant and its employees if the request for a hearing or judicial review was for an improper purpose designed to harass,
cause unnecessary delay, or improperly interfere with the issuance of the permit without a reasonable basis in law or fact. (ii) The board or the district court may not require a written
undertaking if the party requesting the hearing is an indigent person. (d) If grounds for requesting the hearing are based on alleged error in applying best available control technology
requirements, the board or the district court shall give deference to the best available control technology determination made by the department. The board or the district court may
not reject reject the best available control technology determination unless the determination was incorrect as a matter of law or the factual basis for the determination was clearly
erroneous. (2) The board shall issue a final
decision within 4 months from the close of the hearing on themerits or, if no hearing is held, within 3months from the date that briefing by the parties is complete unless the applicant
or permittee and the party other than the applicant or permittee agree in writing to an extension of time. The board shall require the parties to prepare the case for hearing without
unreasonable delay. (3) (a) Any requirement in a permit to commence construction, installation, or alteration within a certain time period is tolled during a contested case or judicial
review proceeding, but not bymore than 12months, unless the applicant or permittee in its discretion waives the tolling in writing. (b) If there are multiple appeals of one permit, tolling
under this subsection (3) may not exceed a total of 12 months for all appeals. (c) The applicant may not engage in construction during the period that the time period is tolled under
subsection (3)(a). (4) The department shall, for good cause shown,waive for up to 1 year any requirement that construction of an energy development project must proceed with due diligence.
During the period that a waiver is in effect, an air quality permit does not expire because construction of an energy development project failed to proceed with due diligence. History:
En. Sec. 1, Ch. 445, L. 2009. Compiler’s Comments Effective Date: Section 11, Ch. 445, L. 2009, provided that this section is effective on passage and approval. Approved May 5, 2009.
Applicability: Section 12, Ch. 445, L. 2009, provided: “[This act] applies to judicial and board of environmental review hearing and appeal proceedings initiated on or after [the effective
date of this act].” Effective May 5, 2009. 75-2-214 reserved. 75-2-215. Solid or hazardous waste incineration — additional permit requirements. (1) Until the department has issued an
air quality permit pursuant to 75-2-211 that includes the conditions required by this section, a personmay not construct, install, alter, or 2009 MCA 33 AIR QUALITY 75-2-215
use a solid or hazardous waste incinerator or a boiler or industrial furnace subject to the provisions of 75-10-406, except as provided in subsection (2). (2) An existing or permitted
solid or hazardous waste incinerator or a boiler or industrial furnace subject to the provisions of 75-10-406 is subject to the provisions of subsection (1) only if it incinerates or
uses as fuel or would incinerate or use as fuel solid or hazardous waste in an amount, form, kind, or content that changes the nature, character, or composition of its emissions from
its design or permitted operation. (3) The department may not issue a permit to a facility described in subsection (1) until: (a) the owner or operator has provided to the department’s
satisfaction: (i) a characterization of emissions and ambient concentrations of air pollutants, including hazardous air pollutants, from any existing emission source at the facility;
and (ii) an estimate of emissions and ambient concentrations of air pollutants, including hazardous air pollutants, from the incineration of solid or hazardous waste or the use of hazardous
waste as fuel for a boiler or industrial furnace, as proposed in the permit application or modification; (b) if a license is required pursuant to 75-10-221 or a permit is required pursuant
to 75-10-406, the applicant has published, in the county where the project is proposed, at least three notices, in accordance with the procedures identified in 7-1-4127, describing the
proposed project; (c) if a license is required pursuant to 75-10-221 or a permit is required pursuant to 75-10-406, the department has conducted a public hearing on an environmental
review prepared pursuant to Title 75, chapter 1, and, as appropriate, provided additional opportunities for the public to review and comment on the permit application or modification;
(d) the department has reached a determination that the projected emissions and ambient concentrations will constitute a negligible risk to the public health, safety, andwelfare and
to the environment; and (e) the department has issued a license pursuant to 75-10-221 or a permit pursuant to 75-10-406, if a license or permit is required. The decision to issue, deny,
or alter a permit pursuant to 75-2-211 and this section must be made within 30 days from when the department issues a license pursuant to 75-10-221 or a permit pursuant to 75-10-406
or within 90 days after the receipt of a complete application for a permit or a permit alteration under 75-2-211 and this section, whichever is later. (4) The department shall require
the application of air pollution control equipment, engineering, or other operating procedures as necessary to provide reductions of air pollutants, including hazardous air pollutants,
equivalent to or more stringent than those achieved through the best available control technology. (5) The board may by rule provide for general air quality permits under the provisions
of 75-2-211 and this section. The rules must cover numerous similar classes or categories of incinerators and boilers or industrial furnaces. (6) This section does not relieve an owner
or operator of a solid or hazardous waste incinerator or a boiler or industrial furnace that is not included under subsection (1) from the obligation to obtain any permit otherwise required
under this chapter or rules implementing this chapter. History: En. Sec. 5, Ch. 696, L. 1989; amd. Sec. 1, Ch. 605, L. 1991; amd. Sec. 2, Ch. 129, L. 1993; amd. Sec. 3, Ch. 639, L. 1993;
amd. Sec. 69, Ch. 354, L. 2001. 75-2-216. Adoption of rules for solid or hazardous waste incinerator permits. The department shall proceed in a reasonable and timely manner in adopting
rules implementing 75-2-215. History: En. Sec. 1, Ch. 16, Sp. L. July 1992; amd. Sec. 16, Ch. 112, L. 1997. 75-2-217. Operating permit program — exemptions — general requirements — duration.
(1) The board shall provide by rule for the issuance, expiration, modification, amendment, suspension, revocation, and renewal of operating permits as part of an operating permit program
to be administered by the department under this chapter. The board shall promulgate rules that are consistent with the operating permit framework and guidelines outlined in Subchapter
V of the federal Clean Air Act and implementing regulations. 2009 MCA 75-2-216 ENVIRONMENTAL PROTECTION 34
(2) This section applies to all sources of air pollutants that are subject to the provisions of Subchapter V of the federal Clean Air Act, 42 U.S.C. 7661, et seq. (3) Aperson may not
violate any requirement of an operating permit issued under 75-2-218 and this section or operate any source required to have a permit under this section without having complied with
the requirements of the operating permit program administered by the department pursuant to 75-2-218, 75-2-219, and this section. (4) The board may by rule provide for the exemption
of one or more source categories, in whole or in part, from all or part of the requirements of this section if the board determines that compliance with the requirements of this section
is impracticable, infeasible, or unnecessarily burdensome for the sources. The board may premise this determination upon a similar determination by the appropriate federal agency acting
pursuant to the federal CleanAir Act, 42 U.S.C. 7401, et seq. (5) The boardmay by rule provide for general operating permits coveringnumerous similar sources. (6) An operating permit
issued by the department under 75-2-218 and this section is effective for a period not to exceed 5 years and may be renewed. (7) The operating permit program administered by the department
pursuant to this section must include the following: (a) adequate procedures that are streamlined and reasonable for: (i) expeditiously determining when applications are complete; (ii)
processing applications; and (iii) expeditiously reviewing permit actions, including application renewals or revisions; (b) requirements and procedures for submittal of information necessary
to determine the location, quantity, and type of emissions; (c) procedures for public notice and opportunity for comment or public hearing, as appropriate; (d) procedures for providing
notice and an opportunity for comment to contiguous states and federal agencies, as appropriate; (e) requirements for inspection, monitoring, recordkeeping, compliance certification,
and reporting; (f) deadlines for submitting permit applications and compliance plans that are not later than 12 months after the source becomes subject to the operating permit requirement;
(g) deadlines for submitting permit renewal applications that are not later than 6 months before expiration of the existing operating permit; (h) requirements for compliance plans that
must be submitted with permit and renewal applications, including schedules of compliance and progress reports; (i) requirements and procedures for periodic certification of source compliance
with permit requirements, including the prompt reporting of any deviations from permit requirements; (j) requirements for submission of any plans, specifications, or other information
that the department considers necessary under this section; (k) conditions and procedures for the transfer of operating permits; (l) requirements and procedures for suspension, modification,
amendment, and revocation of permits by the department for cause, including the modification modification or amendment of permits before renewal or termination to incorporate applicable
limitations or requirements effective after permit issuance; (m) requirements and procedures for incorporating into permits and permit renewals all applicable emission limitations and
other requirements, including enforceable measures necessary to ensure compliance with those limitations and requirements; (n) requirements and procedures for permit modification and
amendment; (o) procedures for tracking activities conducted under general permits; (p) requirements and procedures for issuing a single operating permit authorizing emissions from similar
operations at multiple temporary locations, which permit may include conditions necessary to ensure compliance with the requirements of this chapter at all authorized locations and a
requirement that the owner or operator notify the department in advance of each change in location; 2009 MCA 35 AIR QUALITY 75-2-217
(q) requirements and procedures for allowing changes within a permitted facility without requiring a permit amendment if the changes are not prohibited under this chapter and do not
exceed the emissions allowable under the permit; and (r) other requirements necessary for the department to obtain the authorization to administer an operating permit program under the
provisions of Subchapter V of the federal Clean Air Act. History: En. Sec. 9, Ch. 502, L. 1993. Cross-References Adoption and publication of rules, Title 2, ch. 4, part 3. 75-2-218.
Permits for operation — application completeness — action by department—application shield—review by board. (1) An application for an operating permit or renewal is not considered filed
until the department has determined that it is complete. An application is complete if all fees required under 75-2-220 and all information and completed application forms required under
75-2-217 have been submitted. A complete applicationmust contain all of the information required for for the department to begin processing the application. If the department fails to
notify the applicant in writing within 60 days after submittal of an application that the application is incomplete and fails to list the reasonswhy the application is considered incomplete,
the application is considered filed on the date of the department’s receipt of the application. The department may request additional information after a completeness determination has
been made. The board shall adopt rules that contain criteria for use in determining both when an application is complete and when additional information is required after a completeness
determination has been made. (2) Except as provided in 75-1-208(4)(b) and subsection (3) of this section, the department shall, consistent with the procedures established under 75-2-217,
approve or disapprove a complete application for an operating permit or renewal and shall issue or deny the permit or renewal within 18 months after the date of filing. Failure of the
department to act in a timely manner does not constitute approval or denial of the application. This does not limit or abridge the right of any person to seek available judicial remedies
to require the department to act in a timely manner. (3) The board may by rule provide for a transition schedule for both the submittal to the department of initial applications for
operating permits by existing sources and action by the department on these initial permit applications. The board may require that one-third of all operating permit applications required
for existing sources be submitted within the first calendar year after the adoption of rules implementing an operating permit program under 75-2-217. (4) If an applicant submits a timely
and complete application for an operating permit, the applicant’s failure to hold a valid operating permit is not a violation of 75-2-217. If an applicant submits a timely and complete
application for an operating permit renewal, the expiration of the applicant’s existing operating permit is not a violation of 75-2-217. The applicant shall continue to be subject to
the terms and conditions of the expired operating permit until the operating permit is renewed and is subject to the application of 75-2-217. The applicant is not entitled to the protection
of this subsection if the delay in final action by the department on the application results from the applicant’s failure to submit in a timely manner information requested by the department
to process the application. (5) Except as provided in subsection (8), if the department approves or denies an application for an operating permit or the renewal,modification, or amendment
of a permit under 75-2-217 and this section, any person that participated in the public comment process required under 75-2-217(7) may request a hearing before the board. The request
for a hearing must be filed within 30 days after the department renders its decision and must include an affidavit setting forth the grounds for the request. The contested case provisions
of the Montana Administrative Procedure Act, Title 2, chapter 4, part 6, apply to a hearing before the board under this subsection. (6) (a) Except as provided in subsection (8), the
department’s decision on any application is not final until 30 days have elapsed from the date of the decision. 2009 MCA 75-2-218 ENVIRONMENTAL PROTECTION 36
(b) Except as provided in subsection (8), the filing of a request for hearing does not stay the department’s decision. However, the board may order a stay upon receipt of a petition
and a finding, after notice and opportunity for an informal hearing, that: (i) the person requesting the hearing is entitled to the relief demanded in the request for a hearing; or (ii)
continuation of the permit during the appeal would produce great or irreparable injury to the person requesting the hearing. (c) Upon granting a stay, the board may require a written
undertaking to be given by the party requesting the stay for the payment of costs and damages incurred by the permit applicant and its employees if the board determines that the permit
was properly issued.When requiring an undertaking, the board shall use the same procedures and limitations as are provided in 27-19-306(2) through (4) for undertakings on injunctions.
(7) The requirements of subsections (5) and (6) also apply to any action initiated by the department to suspend, revoke,modify, or amend an operating permit issued under this section.
(8) The denial by the department of an application under 75-2-217 and this section is not subject to review by the board or judicial review if the basis for denial is the written objection
of the appropriate federal agency acting pursuant to the federal Clean Air Act, 42 U.S.C. 7401, et seq.(9) Compliance with an operating permit granted or renewed under 75-2-217 and this
section is considered to be compliance with the requirements of this chapter only if the permit expressly includes those requirements or an express determination that those requirements
are not applicable. This subsection does not apply to general permits provided for under 75-2-217. History: En. Sec. 10, Ch. 502, L. 1993; amd. Sec. 5, Ch. 299, L. 2001; amd. Sec. 2,
Ch. 491, L. 2001; amd. Sec. 4, Ch. 231, L. 2003; amd. Sec. 3, Ch. 236, L. 2005. Cross-References Adoption and publication of rules, Title 2, ch. 4, part 3. 75-2-219. Permits for operation
— limitations. Sections 75-2-217 and 75-2-218 may not be construed to: (1) affect the department’s issuance of a permit for the construction, installation, alteration, or use of a source
of air pollutants pursuant to 75-2-211 or 75-2-215; (2) restrict the board’s authority to adopt regulations providing for a single air quality permit system; or (3) affect permits, allowances,
phase II compliance schedules, or other acid rain provisions under Subchapter IV of the federal Clean Air Act, 42 U.S.C. 7651, et seq. History: En. Sec. 11, Ch. 502, L. 1993. Cross-References
Adoption and publication of rules, Title 2, ch. 4, part 3. 75-2-220. Fees — special assessments — late payment assessments — credit. (1) Concurrent with the submittal of a permit application
required under this chapter and annually for the duration of the permit, the applicant shall submit to the department a fee sufficient to cover the reasonable costs, direct and indirect,
of developing and administering the permitting requirements in this chapter, including: (a) reviewing and acting upon the application; (b) implementing and enforcing the terms and conditions
of the permit. This amount does not include any court costs or other costs associated with an enforcement action. If the permit is not issued, the department shall return this portion
of the fee to the applicant. (c) emissions and ambient monitoring; (d) preparing generally applicable regulations or guidance; (e) modeling, analysis, and demonstrations; (f) preparing
inventories and tracking emissions; (g) providing support to sources under the small business stationary source technical and environmental compliance assistance program; and (h) all
other costs required to be recovered pursuant to Subchapter V of the federal Clean Air Act, 42 U.S.C. 7661, et seq. (2) In recovering the costs described in subsection (1), the department
may assess an application fee based on estimated actual emissions or an annual fee based on actual emissions 2009 MCA 37 AIR QUALITY 75-2-220
of air pollutants regulated under this chapter, including but not limited to volatile organic compounds, each air pollutant regulated under section 7411 or 7412 of the federal CleanAir
Act, 42 U.S.C. 7401, et seq., and each air pollutant subject to a national primary ambient air quality standard. (3) The board shall by rule provide for the annual adjustment of all
fees assessed for operating permit applications under 75-2-217 and 75-2-218 to account for changes to the consumer price index, as required by Subchapter V of the federal Clean Air Act.
(4) In addition to the fee required under subsection (1), the board may order the assessment of additional fees required to fund specific activities of the department that are directed
at a particular geographic area if the legislature authorizes the activities and appropriates funds for the activities, including emissions or ambientmonitoring,modeling analysis or
demonstrations, oremissions inventories or tracking.Additional assessmentsmaybe levied only on those sources that are within or are believed by the department to be impacting the geographic
area. Before the board may require the fees, it shall first determine, after opportunity for hearing, that the activities to be funded are necessary for the administration or implementation
of this chapter, that the amount of the requested fees is appropriate, that the assessments apportion the required funding in an equitable manner, and that the department has obtained
the necessary appropriation. The contested case provisions of the Montana Administrative Procedure Act, Title 2, chapter 4, part 6, apply to a hearing before the board under this subsection.
(5) (a) If the applicant or permitholder fails to pay in a timelymanner a fee required under subsection (1), in addition to the fee, the department may: (i) impose a penalty not to exceed
50% of the fee, plus interest on the required fee computed as provided in 15-1-216; or (ii) revoke the permit consistent with those procedures established under this chapter for permit
revocation. (b) Within 1 year of revocation, the department may reissue the revoked permit after the applicant or permitholder has paid all outstanding fees required under subsections
(1) and (4), including all penalties and interest provided for under this subsection (5). In reissuing the revoked permit, the departmentmay modify the terms and conditions of the permit
as necessary to account for changes in air quality occurring since revocation. (c) The board shall by rule provide for the implementation of this subsection (5), including criteria for
imposition of the sanctions described in this subsection (5). (6) The board may by rule allow the reduction of a fee required under this section for an operating permit or permit renewal
to account for the financial resources of a category of small business stationary sources. (7) As a condition of the continuing validity of a permit issued by the department under this
chapter prior to October 1, 1993, the board may by rule require the permitholder to pay the fees under subsections (1) and (4). (8) For an existing source of air pollutants that is subject
to Subchapter V of the federal Clean Air Act and that is not required to hold an air quality permit from the department as of October 1, 1993, the board may, as a condition of continued
operation, require by rule that the owner or operator of the source pay the fees under subsections (1) and (4). (9) (a) The department shall givewritten notice of the fee to be assessed
and the basis for the department’s fee assessment under this section to the owner or operator of the air pollutant source. The owner or operatormay appeal the department’s fee assessment
to the board within 20 days after receipt of the written notice. (b) An appeal must be based upon the allegation that the fee assessment is erroneous or excessive. An appeal may not
be based on the amount of the fee contained in the schedule adopted by the board. (c) If any part of the fee assessment is not appealed, itmust be paid to the department upon receipt
of of the notice required in subsection (9)(a). (d) The contested case provisions of the Montana Administrative Procedure Act, Title 2, chapter 4, part 6, apply to a hearing before the
board under this subsection (9). (10) The departmentmay not chargemore than one fee annually to a source of air pollutants for the costs identified in subsection (1). 2009 MCA 75-2-220
ENVIRONMENTAL PROTECTION 38
(11) The total of the fees charged to an applicant under subsections (1) and (4) of this section must be reduced by the amount of any credit accruing to the applicant under 75-2-225.
The department may not increase fee assessments beyond legislative appropriation levels to adjust for any credit claimed under 75-2-225. The credit applied under 75-2-225 may not limit
the department’s ability to collect fees sufficient to cover the reasonable costs, both direct and indirect, of developing and administering the permitting requirements of this chapter.
History: En. Sec. 12, Ch. 502, L. 1993; amd. Sec. 5, Ch. 51, L. 1997; amd. Sec. 53, Ch. 427, L. 1999; amd. Sec. 5, Ch. 516, L. 2001. Compiler’s Comments Termination Provision Repealed:
Section 3, Ch. 159, L. 2009, repealed sec. 9, Ch. 712, L. 1991, secs. 4 and 5, Ch. 542, L. 1995, sec. 1, Ch. 411, L. 1997, secs. 4, 5, 6, and 7, Ch. 398, L. 2001, sec. 8, Ch. 516, L.
2001, secs. 3 and 5, Ch. 129, L. 2005, and secs. 1, 2, 3, 4, 5, 6, 7, and 8, Ch. 569, Laws of 2005, which terminated amendments to this section December 31, 2011. Effective July 1, 2009.
Cross-References Adoption and publication of rules, Title 2, ch. 4, part 3. Uniform penalty and interest assessments for violation of tax provisions, 15-1-216. 75-2-221. Deposit of air
quality permitting fees. (1) All money collected by the department pursuant to 75-2-111 and 75-2-220 must be deposited in an account in the state special revenue fund to be appropriated
by the legislature to the department for the development and administration of the permitting requirements of this chapter. (2) Upon request, the expenditure by the department of funds
in this account may be audited by a qualified auditor at the end of each fiscal year. The cost of the audit must be paid by the person requesting the audit. History: En. Sec. 13, Ch.
502, L. 1993; amd. Sec. 2, Ch. 221, L. 1999; amd. Sec. 5, Ch. 231, L. 2003. 75-2-222 and 75-2-223 reserved. 75-2-224. Definitions. For the purposes of 75-2-224 through 75-2-227, unless
otherwise required by the context, the following definitions apply: (1) “Applicant” means a person submitting a permit application for which the person is required to pay a fee under
75-2-220 and includes a permitholder who pays an annual fee. (2) “Postconsumer glass” means glass or glass-like material that has: (a) served its final intended use; (b) been discarded
by an individual, commercial enterprise, or other entity after having fulfilled its intended application or use in Montana; (c) useful physical or chemical properties remaining after
having served a specific purpose and that would normally be disposed of as solid waste, as defined in 75-10-203, by a consumer, processor, or manufacturer. (3) (a) “Recycledmaterial”
means a substance, compound, conglomeration,mixture, or the like that is composed, in whole or in part, of postconsumer glass. (b) Material that contains postconsumer glass is recycled
material for the purposes of this section if the postconsumer glass is used as or is a component of: (i) fill, aggregate, or surface material used in construction or road construction;
(ii) sandblasting material; (iii) landscaping material; or (iv) a sandstone replacement in the manufacture of cement. (c) The uses included in subsection (3)(b) are not exclusive, and
other uses of postconsumer glass as a substitute for the use or consumption of new material may also be considered by the department as recycled material. History: En. Sec. 1, Ch. 516,
L. 2001. Compiler’s Comments Termination Provision Repealed: Section 3, Ch. 159, L. 2009, repealed sec. 9, Ch. 712, L. 1991, secs. 4 and 5, Ch. 542, L. 1995, sec. 1, Ch. 411, L. 1997,
secs. 4, 5, 6, and 7, Ch. 398, L. 2001, sec. 8, Ch. 516, L. 2001, secs. 3 and 5, Ch. 129, L. 2005, and secs. 1, 2, 3, 4, 5, 6, 7, and 8, Ch. 569, Laws of 2005, which terminated this
section December 31, 2011. Effective July 1, 2009. 75-2-225. Amount and duration of credit — how claimed. (1) An applicant may receive a credit against the fees imposed in 75-2-220 for
using postconsumer glass in recycled material if the applicant qualifies under 75-2-226. 2009 MCA 39 AIR QUALITY 75-2-225
(2) An applicant qualifying for a credit under 75-2-226 is entitled to claim a credit, as provided in subsection (3) of this section, for using postconsumer glass in recycled material
in the calendar year subsequent to the calendar year in which the postconsumer glass was used in recycled material. (3) (a) The amount of the credit thatmay be claimed under this section
is $8 for each ton of postconsumer glass that was used as a substitute for nonrecycledmaterial in the calendar year prior to the calendar year for which the applicant is paying fees
for permits under 75-2-220. (b) The maximum credit allowable in any calendar year for fees payable under 75-2-220 is $2,000 or the total amount of fees due, whichever is less. History:
En. Sec. 2, Ch. 516, L. 2001; amd. Sec. 1, Ch. 129, L. 2005; amd. Sec. 1, Ch. 159, L. 2009. Compiler’s Comments 2009 Amendment: Chapter 159 in (2) at beginning deleted “Subject to 75-2-226(2)”;
and made minor changes in style. Amendment effective July 1, 2009. Termination Provision Repealed: Section 3, Ch. 159, L. 2009, repealed sec. 9, Ch. 712, L. 1991, secs. 4 and 5, Ch.
542, L. 1995, sec. 1, Ch. 411, L. 1997, secs.
4, 5, 6, and 7, Ch. 398, L. 2001, sec. 8, Ch. 516, L. 2001, secs. 3 and 5, Ch. 129, L. 2005, and secs. 1, 2, 3, 4, 5, 6, 7, and 8, Ch. 569, Laws of 2005, which terminated this section
December 31, 2011. Effective July 1, 2009. 75-2-226. Credit for use of postconsumer glass. (1) The following requirements must be met for an applicant to be entitled to a credit for
the use of postconsumer glass: (a) The postconsumer glassmust have been used in recycled material in the calendar year prior to the calendar year in which the applicant is applying for
and paying for permits under 75-2-220. (b) (i) The applicant claiming a credit must be a person who, as an owner, including a contract purchaser or lessee, or who pursuant to an agreement
owns, leases, or has a beneficial interest in a business that uses postconsumer glass in recycled materials. The use of postconsumer glass as recycled material may be a minor or nonprofit
part of a business otherwise engaged in a business activity. (ii) The applicant may but need not operate or conduct a business that uses postconsumer glass as recycledmaterial. Ifmore
than one person has an interest in a business with qualifying uses of postconsumer glass, they may allocate all or any part of the allowable credit among themselves and their successors
or assigns. (c) The business must have been owned or leased by the applicant claiming the credit during the calendar year prior to the calendar year for which the permit fees are due
under 75-2-220, except as otherwise provided in subsection (1)(b), and must have used postconsumer glass in recycledmaterial during the calendar year prior to the calendar year forwhich
the credit is claimed. (d) The postconsumer glass used in recycled material may not be an industrial waste generated by the person claiming the credit unless: (i) the person generating
the waste historically has disposed of the waste onsite or in a licensed landfill; and (ii) standard industrial practice has not generally included the reuse of the waste in the manufacturing
process. (2) The credit provided by this section is not in lieu of any other incentive to which the applicant otherwise may be entitled under Title 15 or this chapter. (3) A credit otherwise
allowable under this section that is not used by the applicant in the calendar year for which the permits are applied may not be: (a) carried forward to offset an applicant’s permit
fees for any succeeding calendar year; or (b) carried back to offset an applicant’s permit fees for any preceding calendar year. History: En. Sec. 3, Ch. 516, L. 2001; amd. Sec. 2, Ch.
129, L. 2005; amd. Sec. 2, Ch. 159, L. 2009. Compiler’s Comments 2009 Amendment: Chapter 159 deleted former (2) that read: “(2) A credit under this section may be claimed by an applicant
for a business only if the qualifying postconsumer glass was used in recycled material before January 1, 2010”; and made minor changes in style. Amendment effective July 1, 2009. Termination
Provision Repealed: Section 3, Ch. 159, L. 2009, repealed sec. 9, Ch. 712, L. 1991, secs. 4 and 5, Ch. 542, L. 1995, sec. 1, Ch. 411, L. 1997, secs. 4, 5, 6, and 7, Ch. 398, L. 2001,
sec. 8, Ch. 516, L. 2001, secs. 3 and 5, Ch. 129, L. 2005, and secs. 1, 2, 3, 4, 5, 6, 7, and 8, Ch. 569, Laws of 2005, which terminated this section December 31, 2011. Effective July
1, 2009. 2009 MCA 75-2-226 ENVIRONMENTAL PROTECTION 40
75-2-227. Postconsumer glass qualifying for credit — rulemaking. (1) The department shall adopt rules describing postconsumer glass and recycled material that qualify for the credit
authorized by 75-2-226. (2) In addition to the public participation provisions of Title 2, chapter 4, the department shallmaintain a register of interested persons and experts in the
field of recycling postconsumer glass. The department shall mail a notice to the interested persons identified under this subsection of the department’s contemplated actions, soliciting
their views on possible solutions or courses of action. History: En. Sec. 4, Ch. 516, L. 2001. Compiler’s Comments Termination Provision Repealed: Section 3, Ch. 159, L. 2009, repealed
sec. 9, Ch. 712, L. 1991, secs. 4 and 5, Ch. 542, L. 1995, sec. 1, Ch. 411, L. 1997, secs. 4, 5, 6, and 7, Ch. 398, L. 2001, sec. 8, Ch. 516, L. 2001, secs. 3 and 5, Ch. 129, L. 2005,
and secs. 1, 2, 3, 4, 5, 6, 7, and 8, Ch. 569, Laws of 2005, which terminated this section December 31, 2011. Effective July 1, 2009. Cross-References Interested persons’ rulemaking
notice, 2-4-302. 75-2-228 and 75-2-229 reserved. 75-2-230. Commercial hazardous waste incinerators — additional permit requirements. (1) In addition to the requirements under 75-2-231,
the department shall require the owner or operator of an existing commercial hazardous waste incinerator or an applicant for an air quality permit for a commercial hazardous waste incinerator
to submit a plan that requires the cessation of the burning of hazardous waste if site-specific monitoring determines that inversion conditions, as defined by department rule, exist.
The department shall consider the proximity of the commercial hazardous waste incinerator to populated areas when determining the appropriate plan content. The plan must include a site-specific
ambient air quality and meteorological monitoring program in order to establish the conditions under which the burning of commercial hazardous waste must be halted and conditions under
which the burning of commercial hazardous waste may be resumed. Conditions of the plan must be incorporated as a condition of the facility’s permit. (2) When, because of the proximity
of a commercial hazardous waste incinerator to populated areas, the department determines that continuing monitoring is appropriate, the department shall require the owner or operator
of an existing commercial hazardous waste incinerator or an applicant for an air quality permit for a commercial hazardous waste incinerator to provide telemetering service to the department
with an immediate notification system activated when emissions approach or exceed permitted limits. History: En. Sec. 1, Ch. 498, L. 1995. 75-2-231. Medical waste and hazardous waste
incineration — additional permit requirements. (1) Because of the potential emission of chlorinated dioxins, furans, heavy metals, and carcinogens as a result of the incineration of
medical waste and hazardous waste and the potential health risk these chemicals pose, the board shall adopt rules establishing additional permit requirements for commercial medicalwaste
and commercial hazardouswaste incinerators. For the purposes of this section, the term “commercial medical waste incinerator” does not include hospital ormedical facility incinerators
that primarily incineratemedicalwaste generated onsite. The board shall adopt rules that: (a) regulate the type and amount of plastic and othermaterials in themedical waste stream and
hazardous waste stream thatmay be a source of chlorine, in order to minimize the potential emission of chlorinated dioxins, furans, and carcinogens; (b) require commercial medical waste
and commercial hazardous waste incinerators to achieve the lowest achievable emission rate to prevent the public health risk from air emissions or ambient concentrations from exceeding
the negligible risk standard required by 75-2-215 and any applicable federal allowable intake standards, as determined pursuant to subsection (3), for dioxins, furans, heavy metals,
and other hazardous hazardous air pollutants; (c) implement the requirements of subsection (2), including establishing procedures and standards for the collection of high-quality scientific
information and for the submission of the information by the applicant; (d) establish procedures for the monitoring, testing, and inspection of: 2009 MCA 41 AIR QUALITY 75-2-231
(i) the medical waste stream and hazardous waste stream, including heavy metals and possible precursors to the formation of chlorinated dioxins, furans, and carcinogens; (ii) combustion,
including destruction and removal efficiencies; and (iii) emissions, including continuous emissionmonitoring and air pollution control devices; and(e) are necessary to implement the
provisions of this section and to coordinate the requirements under this section with the requirements contained in 75-2-211 and 75-2-215. (2) A person who applies for an air quality
permit or alteration pursuant to 75-2-211 and 75-2-215 for a commercial medicalwaste incinerator or commercial hazardouswaste incinerator shall provide, to the satisfaction of the department,
the following information: (a) a dispersion model of emissions, using approved methods, and those studies that are necessary to identify the potential community exposure; (b) an analysis
of the potential pathways for human exposure to air contaminants, particularly chlorinated dioxins, furans, heavy metals, and other carcinogens, including the potential for inhalation,
ingestion, and physical contact by the affected communities; and (c) a quantitative analysis of the estimated total possible human exposure to chlorinated dioxins, furans, heavy metals,
and carcinogens for the affected communities. (3) The department may not issue or alter an air quality permit pursuant to this chapter until the department has determined, based upon
an analysis of the information provided by the applicant pursuant to subsection (2) and other necessary and relevant data, that the public health risk from air emissions or ambient concentrations
of chlorinated dioxins, furans, heavy metals, and other hazardous air pollutantswill not exceed the negligible risk standard required by 75-2-215 and any applicable federal standards
for allowable intake, as determined by the department after a review of established and relevant federal standards and guidelines. (4) This section may not be construed in any way to:
(a) require the board to promulgate standards for the allowable intake of any substances for which the federal government has not established standards; (b) allow the board to promulgate
standards for the allowable intake of any substances for which the federal government has established standards that are more stringent than the federal standards; or (c) limit or otherwise
impair the duty of the department under 75-2-215 to determine that emissions and ambient concentrations will constitute a negligible risk as required by 75-2-215(3)(d), including emissions
and ambient concentrations of dioxins, furans, heavy metals, and carcinogens, before issuing an air quality permit pursuant to 75-2-211 and 75-2-215. History: En. Sec. 4, Ch. 639, L.
1993; amd. Sec. 2, Ch. 498, L. 1995. Cross-References Adoption and publication of rules, Title 2, ch. 4, part 3. 75-2-232. Disclosure statement required. (1) An air quality permit for
a commercial medical waste or commercial hazardous waste incinerator may not be issued, issued, transferred, or altered pursuant to 75-2-211 and 75-2-215 without an application under
this section. Before an application for the issuance, transfer, or alteration of a permit under 75-2-211 and 75-2-215 for a commercial medical waste or commercial hazardous waste incinerator
may be approved, the applicant and each principal with respect to the applicant shall submit to the department a disclosure statement containing the following information: (a) the name,
business address, and social security number of the applicant and each principal; (b) a description of any civil and administrative complaint filed within 5 years before the date of
the application against the applicant or a principal for the violation of an environmental protection law and whether the complaint resulted in a civil or administrative penalty; (c)
a description of all judgments of criminal conviction entered against the applicant or a principal for the violation of an environmental protection law within 5 years before the date
of of the application; and (d) a description of all judgments of criminal conviction entered against the applicant or a principal for the violation of an environmental protection law
within 5 years before the date of the application in another state that resulted fromthe operation of a medical waste incinerator or a commercial hazardous waste incinerator. For the
purposes of this subsection (d), an 2009 MCA 75-2-232 ENVIRONMENTAL PROTECTION 42
environmental protection law of another state means a law or administrative rule adopted pursuant to a law regulating solid or hazardous waste or underground storage tanks or protecting
the air or water resource. (2) A disclosure statement, as required in subsection (1), must be executed under oath or affirmation and is subject to the penalty for perjury. The departmentmay
verify and investigate the information contained in a statement required under this section. (3) A person required to file a disclosure statement under this section shall provide assistance
or information requested by the department that is related to the statement and shall cooperate in an inquiry or investigation conducted by the department under subsection (2). History:
En. Sec. 5, Ch. 639, L. 1993. 75-2-233. Denial or modification of permit—mitigating factors. (1) The department may deny an application for the issuance, transfer, or alteration of a
permit under 75-2-211 and 75-2-215 for a commercial medical waste or commercial hazardous waste incinerator or impose additional conditions on a permit pursuant to subsection (2) if
within 5 years before the date of the application: (a) a judgment of criminal conviction of an environmental protection law has been entered against the applicant or a principal; (b)
a civil or administrative complaint for a violation of an environmental protection law has resulted in the assessment of a penalty against the applicant or a principal; (c) the applicant
or a principal has a history of repeated violations of environmental protection laws; or (d) a judgment or criminal conviction for a violation described in 75-2-232(1)(d) has been entered
against the applicant or a principal. (2) As provided under subsection (1), the departmentmay impose additional conditions on a permit related to permit length, inspections, monitoring,
recordkeeping, and reporting. (3) In making the decision to deny an application or to impose conditions on a permit pursuant to subsection (1), the department shall consider the following
mitigating factors: (a) the nature and gravity of the violation of environmental protection laws or violations described in 75-2-232(1)(d); (b) the degree of culpability of the applicant
or a principal; (c) the applicant’s or principal’s cooperation with the state or federal agencies involved in the complaints and convictions referred to in 75-2-232; and (d) the applicant’s
or principal’s dissociation from other persons or entities convicted of acts referred to in 75-2-232. History: En. Sec. 6, Ch. 639, L. 1993. 75-2-234. Registration. The board may adopt
rules for the registration of certain classes of sources of air contaminants in lieu of a permit application required under 75-2-211(2). History: En. Sec. 7, Ch. 231, L. 2003. Part 3
Local Air Pollution Control 75-2-301. Local air pollution control programs — consistency with state and federal regulations — procedure for public notice and comment required. (1) After
public hearing, a municipality or county may establish and administer a local air pollution control program if the program is consistent with this chapter and is approved by the board.
(2) If a local air pollution control program established by a county encompasses all or part of amunicipality, the county and each municipality shall approve the program in accordance
with subsection (1). (3) (a) Except as provided in subsection (5), the board by order may approve a local air pollution control program that: (i) subject to subsection (4), provides
by rule, ordinance, or local law for requirements compatible with, more stringent than, or more extensive than those imposed by 75-2-203, 75-2-204, 75-2-211, 75-2-212, 75-2-215, 75-2-217
through 75-2-219, and 75-2-402 and rules adopted under these sections; 2009 MCA 43 AIR QUALITY 75-2-301
(ii) provides for the enforcement of requirements established under subsection (3)(a)(i) by appropriate administrative and judicial processes; and (iii) provides for administrative organization,
staff, financial resources, and other resources necessary to effectively and efficiently carry out the program. As part of meeting these requirements, a local air pollution control program
may administer the permit fee provisions of 75-2-220. The permit fees collected by a local air pollution control program must be deposited in a county special revenue fund to be used
by the local air pollution control program for administration of permitting activities. (b) Board approval of a rule, ordinance, or local law that is more stringent than the comparable
state law is subject to the provisions of subsection (4). (4) (a) A local air pollution control program may, subject to approval by the board, adopt a rule, ordinance, or local law to
implement this chapter that is more stringent than comparable state or federal regulations or guidelines only if: (i) a public hearing is held; (ii) public comment is allowed; and (iii)
the board or the local air pollution control program makes a written finding after the public hearing and comment period that is based on evidence in the record that the proposed local
standard or requirement: (A) protects public health or the environment of the area; (B) can mitigate harm to the public health or the environment; and (C) is achievable with current
technology. (b) The written finding required under subsection (4)(a)(iii)must reference information and peer-reviewed scientific studies contained in the record that form the basis for
the board’s or the local air pollution control program’s conclusion. The written finding must also include information from the hearing record regarding costs to the regulated community
that are directly attributable to the proposed local standard or requirement. (c) (i) Aperson or entity affected by a rule, ordinance, or local lawapproved or adopted after January 1,
1996, and before May 1, 2001, that the person or entity believes is more stringent than comparable state or federal regulations or guidelines may petition the board or the local air
pollution control program to review the rule, ordinance, or local law. (ii) If the board or local air pollution control program determines that the rule, ordinance, or local law is more
stringent than state or federal regulations or guidelines, the board or local air pollution control program shall either revise the rule, ordinance, or local law to conform to the state
or federal regulations or guidelines or follow the process provided in subsections (4)(a) and (4)(b) within a reasonable period of time, not to exceed 6 months after receiving the petition.
(5) Except for those emergency powers provided for in 75-2-402, the board may not delegate to a local air pollution control program the authority to control any air pollutant source
that: (a) requires the preparation of an environmental impact statement in accordance with Title 75, chapter 1, part 2; (b) is subject to regulation under theMontana MajorFacility SitingAct,
as provided inTitle 75, chapter 20; or (c) has the potential to emit 250 tons a year or more of any pollutant subject to regulation under this chapter, including fugitive emissions,
unless the authority to control the source was delegated to a local air pollution control program prior to January 1, 1991. (6) If the board finds that the location, character, or extent
of particular concentrations of population, air pollutant sources, or geographic, topographic, or meteorological considerations or any combination of these make impracticable the maintenance
of appropriate levels of air quality without an areawide air pollution control program, the board may determine the boundaries within which the program is necessary and require it as
the only acceptable alternative to direct state administration. (7) If the board has reason to believe that any part of an air pollution control program in force under this section is
either inadequate to prevent and control air pollution in the jurisdiction to which the program relates or is being administered in amanner inconsistentwith this chapter, the board shall,
on notice, conduct a hearing on the matter. 2009 MCA 75-2-301 ENVIRONMENTAL PROTECTION 44
(8) If, after the hearing, the board determines that any part of the program is inadequate to prevent and control air pollution in the jurisdiction to which it relates or that it is
not accomplishing the purposes of this chapter, it shall require that necessary corrective measures be taken within a reasonable time, not to exceed 60 days. (9) If the jurisdiction
fails to take thesemeasureswithin the time required, the department shall administerwithin that jurisdiction all of the provisions of this chapter, including the terms contained in any
applicable board order, that are necessary to correct the deficiencies found by the board. The department’s control program supersedes all municipal or county air pollution laws, rules,
ordinances, and requirements in the affected jurisdiction. The cost of the department’s action is a charge on the jurisdiction. (10) If the board finds that the control of a particular
air pollutant source because of its complexity or magnitude is beyond the reasonable capability of the the local jurisdiction or may be more efficiently and economically performed at
the state level, it may direct the department to assume and retain control over that air pollutant source. A charge may not be assessed against the jurisdiction. Findings made under
this subsectionmay be either on the basis of the nature of the sources involved or on the basis of their relationship to the size of the communities in which they are located. (11) Ajurisdiction
inwhich the department administers all or part of its air pollution control program under subsection (9) may, with the approval of the board, establish or resume an air pollution control
program that meets the requirements of subsection (3). (12) Amunicipality or countymay administer all or part of its air pollution control program in cooperation with one or more municipalities
or counties of this state or of other states. (13) Local air pollution control programs established under this section shall provide procedures for public notice, public hearing, public
comment, and appeal for any proposed newor revised rules, ordinances, or local laws adopted pursuant to this section. The procedures must comply with the following requirements: (a)
The local air pollution control program shall create and maintain a list of interested persons who wish to be informed of actions related to rules, ordinances, or local laws adopted
by the local air pollution control program. (b) At least 30 days prior to the adoption, revision, or repeal of a rule, ordinance, or law, the local air pollution control program shall
give written notice of its intended action. (c) The notice required under subsection (13)(b) must include: (i) a statement of the terms or substance of the intended action or a description
of the subjects and issues affected by the intended action; (ii) an explanation of the procedure for a person to be included on the list of interested persons established pursuant to
subsection (13)(a); (iii) an explanation of the procedures and deadlines for presentation of oral or written comments related to the intended action; (iv) an explanation of the process
for requesting a public hearing as provided in subsection (13)(f); and (v) the rationale for the intended action. The rationale must: (A) include an explanation ofwhy the intended action
is reasonably necessary to implement the goals and purposes of the local air pollution control program; (B) specifically address those intended actions for which there are no similar
state or federal regulations or guidelines; and (C) be written in plain, easily understood language. (d) For the purposes of subsection (13)(c)(v), a statement of authority to adopt
a rule, ordinance, or local law does not, standing alone, constitute a showing of reasonable necessity for the intended action. (e) The local air pollution control program shallmail
a copy of the proposed rule, ordinance, or local law to all interested persons on the list established pursuant to subsection (13)(a) who have made timely requests to be included on
the list. (f) If at least 10 of the persons who will be directly affected by the proposed rule, ordinance, or local law request a public hearing, the local air pollution control program
shall hold a hearing to hear comments from the public on the intended action. 2009 MCA 45 AIR QUALITY 75-2-301
(g) The local air pollution control program shall prepare a written response to all comments submitted in writing or presented at the public hearing for consideration prior to adoption,
revision, or repeal of the proposed rule, ordinance, or local law. (h) A person who submits a written comment on a proposed action or who attends a public hearing in regard to a proposed
action must be informed of the final action. History: En. Sec. 16, Ch. 313, L. 1967; amd. Sec. 23, Ch. 349, L. 1974; R.C.M. 1947, 69-3919; amd. Sec. 5, Ch. 560, L. 1979; amd. Sec. 1,
Ch. 141, L. 1991; amd. Sec. 19, Ch. 502, L. 1993; amd. Sec. 8, Ch. 471, L. 1995; amd. Sec. 2, Ch. 536, L. 2001. Cross-References Montana Administrative Procedure Act — legislative review
of rules — application, Title 2, ch. 4. State regulations no more stringent than federal regulations or guidelines, 75-2-207. 75-2-302. State and federal aid. (1) Any local air pollution
control program meeting the requirements of this chapter and rules made pursuant thereto shall be eligible for state aid in an amount up to 30% of the locally funded annual operating
cost thereof. (2) Federal aid granted to the state for developing or maintaining a local air pollution control program that is subsequently granted to a local program is not considered
state aid. (3) Subdivisions of the statemay make application for, receive, administer, and expend any federal aid for the control of air pollution or the development and administration
of programs related to air pollution control, provided the program is currently approved by the board under 75-2-301. History: En. Sec. 17, Ch. 313, L. 1967; R.C.M. 1947, 69-3920; amd.
Sec. 2, Ch. 141, L. 1991. Part 4 Enforcement, Appeal, and Penalties 75-2-401. Enforcement — notice — order for corrective action — administrative penalty. (1)When the department believes
that a violation of this chapter, a rule adopted under this chapter, or a condition or limitation imposed by a permit issued pursuant to this chapter has occurred, it may cause written
notice to be served personally or by certified mail on the alleged violator or the violator’s agent. The noticemust specify the provision of this chapter, the rule, or the permit condition
or limitation alleged to be violated and the facts alleged to constitute a violation. The notice may include an order to take necessary corrective action within a reasonable period of
time stated in the order or an order to pay an administrative penalty, or both. The order becomes final unless, within 30 days after the notice is received, the person named requests
in writing a hearing before the board. On receipt of the request, the board shall schedule a hearing. (2) If, after a hearing held under subsection (1), the board finds that violations
have occurred, it shall issue an appropriate order for the prevention, abatement, or control of the emissions involved or for the taking of other corrective action or assess an administrative
penalty, or both. As appropriate, an order issued as part of a notice or after a hearing may prescribe the date by which the violation must cease; time limits for particular action in
preventing, abating, or controlling the emissions; or the date by which the administrative penaltymust be paid. If, after a hearing on an order contained in a notice, the board finds
that a violation has not occurred or is not occurring, it shall rescind the order. (3) (a) An action initiated under this sectionmay include an administrative civil penalty of notmore
than $10,000 for each day of each violation, not to exceed a total of $80,000. If an order issued by the board under this section requires the payment of an administrative civil penalty,
the board shall state findings and conclusions describing the basis for its penalty assessment. (b) Administrative
penalties collected under this section must be deposited in the alternative energy revolving loan account established in 75-25-101. (c) Penalties imposed by an administrative order under
this sectionmay not be assessed for any day of violation that occurredmore than 2 years prior to the issuance of the initial notice and order by the department under subsection (1).
(d) In determining the amount of penalty to be assessed for an alleged violation under this section, the department or board, as appropriate, shall consider the penalty factors in 75-1-1001.
(e) The department may bring a judicial action to enforce a final administrative order issued pursuant to this section. The action must be filed in the district court of the county in
2009 MCA 75-2-302 ENVIRONMENTAL PROTECTION 46
which the violation occurred or, ifmutually agreed on by the parties in the action, in the district court of the first judicial district, Lewis and Clark County. (4) The contested case
provisions of the Montana Administrative Procedure Act, Title 2, chapter 4, part 6, apply to a hearing conducted under this section. (5) Instead of issuing the order provided for in
subsection (1), the departmentmay either: (a) require that the alleged violators appear before the board for a hearing at a time and place specified in the notice and answer the charges
complained of; or (b) initiate action under 75-2-412 or 75-2-413. (6) This chapter does not prevent the board or department from making efforts to obtain voluntary compliance through
warning, conference, or any other appropriate means. (7) In connection with a hearing held under this section, the boardmay and on application by a party shall compel the attendance
of witnesses and the production of evidence on behalf of the parties. History: En. Sec. 11, Ch. 313, L. 1967; amd. Sec. 20, Ch. 349, L. 1974; amd. Sec. 6, Ch. 140, L. 1977; R.C.M. 1947,
69-3914; amd. Sec. 6, Ch. 560, L. 1979; amd. Sec. 1, Ch. 218, L. 1983; amd. Sec. 5, Ch. 502, L. 1993; amd. Sec. 21, Ch. 591, L. 2001; amd. Sec. 5, Ch. 487, L. 2005. Cross-References
Montana Administrative Procedure Act — contested cases — application, Title 2, ch. 4, part 6. Montana Administrative Procedure Act — judicial review of agency action, Title 2, ch. 4,
part 7. 75-2-402. Emergency procedure. (1) Any other law to the contrary notwithstanding, if the department finds that a generalized condition of air pollution exists and that it creates
an emergency requiring immediate action to protect human health or safety, the department shall order persons causing or contributing to the air pollution to immediately reduce or discontinue
the emission of air contaminants. Upon issuance of this order, the department shall fix a place and time within 24 hours for a hearing to be held before the board. Within 24 hours after
the commencement of the hearing and without adjournment, the board shall affirm, modify, or set aside the order of the department. (2) In the absence of a generalized condition such
as that referred to in subsection (1), if the department finds that emissions from the operation of one ormore air contaminant sources are causing imminent danger to human health or
safety, itmay order the person responsible for the operation in question to reduce or discontinue emissions immediately, without regard for 75-2-401. In this event, the requirements
for hearing and affirmance, modification, or setting aside of orders as provided in subsection (1) apply. (3) This section does not limit any power which the governor or any other officermay
have to declare an emergency and act on the basis of this declaration, whether the power is conferred by statute or constitutional provisions or inheres in the office. (4) Nothing in
75-2-205 may be construed to require a hearing before the issuance of an emergency order pursuant to this section. section. History: (1) thru (3)En. Sec. 12, Ch. 313, L. 1967; amd. Sec.
21, Ch. 349, L. 1974; amd. Sec. 7, Ch. 140, L. 1977; Sec. 69-3915, R.C.M. 1947; (4)En. Sec. 14, Ch. 313, L. 1967; amd. Sec. 9, Ch. 140, L. 1977; Sec. 69-3917, R.C.M. 1947; R.C.M. 1947,
69-3915, 69-3917(2). Cross-References Declaration of emergency — authority of Governor, 10-3-104. Local emergency — declaration, 10-3-402. Energy emergencies — suspension of controls
by Governor, 90-4-310. 75-2-403. Inspections. (1) The department or an authorized representative, for the purpose of ascertaining the state of compliance with this chapter or a rule,
order, or permit in force under this chapter,may enter and inspect, at any reasonable time, any property, premises, or place, except a private residence, on or at which: (a) an air contaminant
source is located or is being constructed or installed; (b) an emissions-related activity is conducted, such as air contaminant emissions or ambient concentration sampling, testing,
or monitoring, or an activity in which samples are gathered, processed, or stored; or (c) records are kept as required under this chapter or a rule, order, or permitmade or issued under
this chapter, for the purpose of inspecting those records. The authority granted under this subsection (c) does not limit the department’s right to inspect any property, premises, or
place, 2009 MCA 47 AIR QUALITY 75-2-403
except a private residence, under subsections (1)(a) and (1)(b) if records are also kept at those sites. (2) A person may not refuse entry or access to an authorized representative of
the department who presents appropriate credentials when the department requests entry for purposes of inspection. A person may not obstruct, hamper, or interfere with an inspection.
(3) The department or an authorized representative must be provided access and must be allowed to copy, at reasonable times, any record that is required to be kept under this chapter
or a rule, order, or permit made or issued under this chapter. (4) The department or an authorized representativemay inspect, at reasonable times, any facility, equipment, practices,
or operations regulated or required under this chapter or a rule, order, or permit made or issued under this chapter. (5) The department or an authorized representativemust be allowed
to sample ormonitor, at reasonable times, substances or parameters for the purpose of ensuring compliance compliance with the provisions of this chapter or a rule, order, or permit made
or issued under this chapter. (6) At the owner’s or operator’s request, the owner or operator of the premises shall receive a report stating all facts found that relate to compliance
status. (7) Inspections under this section must be conducted in compliance with all applicable federal or state rules or requirements for workplace safety and with all source-specific
facility workplace safety rules or requirements. The source shall inform the inspector of all applicable workplace safety rules or requirements at the time of the inspection. History:
En. Sec. 9, Ch. 313, L. 1967; amd. Sec. 19, Ch. 349, L. 1974; amd. Sec. 5, Ch. 140, L. 1977; R.C.M. 1947, 69-3912; amd. Sec. 2, Ch. 218, L. 1983; amd. Sec. 2, Ch. 85, L. 1995. Cross-References
Searches and seizures — right of private individuals to be secure, Art. II, sec. 11, Mont. Const. 75-2-404 through 75-2-410 reserved. 75-2-411. Judicial review. (1) A person aggrieved
by an order of of the board or local control authoritymay apply for rehearing upon one or more of the following grounds and upon no other grounds: (a) the board or local control authority
acted without or in excess of its powers; (b) the order was procured by fraud; (c) the order is contrary to the evidence; (d) the applicant has discovered new evidence, material to the
applicant, that the applicant could not with reasonable diligence have discovered and produced at the hearing; or (e) competent evidence was excluded to the prejudice of the applicant.
(2) The petition must be in a form and filed at a time that the board prescribes. (3) (a) Within 30 days after the application for rehearing is denied or, if the application is granted,
within 30 days after the decision on the rehearing, an aggrieved partymayappeal to the district court of the judicial district of the state that is the situs of property affected by
the order. (b) The appeal must be taken by serving awritten notice of appeal upon the presiding officer of the board. Servicemust bemade by the delivery of a copy of the notice to the
presiding officer and by filing the original with the clerk of the court to which the appeal is taken. Immediately after service upon the board, the board shall certify to the district
court the entire record and proceedings, including all testimony and evidence taken by the board. Immediately upon receiving the certified record, the district court shall fix a day
for filing of briefs and hearing arguments on the cause and shall cause a notice of the dates to be served upon the board and the appellant. (c) The court shall hear and decide the cause
upon the record of the board. The court shall determinewhether or not the board regularly pursued its authority, whether or not the findings of the board were supported by substantial
competent evidence, and whether or not the board made errors of law prejudicial to the appellant. (4) Either the board or the person aggrieved may appeal from the decision of the district
court to the supreme court.The proceedings before the supreme courtmust be limited to a review of the record of the hearing before the board and of the district court’s review of that
record. History: En. Sec. 14, Ch. 313, L. 1967; amd. Sec. 9, Ch. 140, L. 1977; R.C.M. 1947, 69-3917(3) thru (5); amd. Sec. 2492, Ch. 56, L. 2009. 2009 MCA 75-2-411 ENVIRONMENTAL PROTECTION
48
Compiler’s Comments 2009 Amendment: Chapter 56 made section gender neutral; and made minor changes in style. Amendment effective October 1, 2009. Cross-References Montana Administrative
Procedure Act — judicial review, Title 2, ch. 4, part 7. 75-2-412. Criminal penalties — injunction preserved. (1) A person is guilty of an offense under this section if that person knowingly:
(a) violates a provision of this chapter or a rule, order, or permitmade or issued under this chapter; (b) makes a false material statement, representation, or certification on a form
required under this chapter or in a notice or report required by a permit under this chapter; or (c) renders inaccurate a monitoring device or method required under this chapter. (2)
A person guilty of an offense under subsection (1) is subject to a fine of not more than $10,000 per violation or imprisonment for a period not to exceed 2 years, or both. This offense
must be classified as amisdemeanor.Each day of each violation constitutes a separate violation. (3) Fines collected under this section, except fines collected by an approved local air
pollution control program, must be deposited in the state general fund. (4) Action under this section is not a bar to enforcement of this chapter or of a rule, order, or permit made
or issued under it by injunction or other appropriate civil or administrative remedy. The department may institute and maintain in the name of the state any enforcement proceedings.
History: En. Sec. 18, Ch. 313, L. 1967; amd. Sec. 24, Ch. 349, L. 1974; R.C.M. 1947, 69-3921(1) thru (3), (5); amd. Sec. 3, Ch. 218, L. 1983; amd. Sec. 42, Ch. 557, L. 1987; amd. Sec.
6, Ch. 502, L. 1993. Cross-References Injunctions — Supreme Court jurisdiction, 3-2-205. Collection and disposition of fines, penalties, forfeitures, and fees, 3-10-601. Injunctions,
Title 27, ch. 19. Execution of fine, 46-19-102. 75-2-413. Civil penalties—venue—effect of action—presumption of continuing violation under certain circumstances. (1) (a) A person who
violates any provision of this chapter, a rule adopted under this chapter, or any order or permit made or issued under this chapter is subject to a civil penalty not to exceed $10,000
for each violation. Each day of each violation constitutes a separate violation. The department may institute and maintain in the name of the state any enforcement proceedings under
this section. Upon request of the department, the attorney general or the county attorney of the county of violation shall petition the district court to impose, assess, and recover
the civil penalty. The civil penalty is in lieu of the criminal penalty provided for in 75-2-412, except for civil penalties for violation of the operating permit program required by
Subchapter V of the federal Clean Air Act. (b) Penalties assessed under this subsection (1)must be determined in accordance with the penalty factors in 75-1-1001. (2) (a) Action under
subsection (1) is not a bar to enforcement of this chapter or of a rule, order, or permit made or issued under this chapter by injunction or other appropriate civil remedies. (b) An
action under subsection (1) or to enforce this chapter or a rule, order, or permitmade or issued under this chaptermay be brought in the district court of any countywhere a violation
occurs or is threatened or, ifmutually agreed on by the parties in the action, in the district court of the first judicial district, Lewis and Clark County. (3) If the department has
notified a person operating a commercial hazardous waste incinerator of a violation and if the departmentmakes a prima facie showing that the conduct or events giving rise to the violations
are likely to have continued or recurred past the date of notice, the days of violation are presumed to include the date of the notice and every day after the notice until the person
establishes that continuous compliance has been achieved. This presumption may be overcome to the extent that the person operating a commercial hazardous waste incinerator can prove
by a preponderance of evidence that there were intervening days when a violation did not occur, that the violation was not continuing in nature, or that the telemetering device was compromised
or otherwise tampered with. 2009 MCA 49 AIR QUALITY 75-2-413
(4) Money collected under this sectionmust be deposited in the alternative energy revolving loan account established in 75-25-101. This subsection does not apply to money collected by
an approved local air pollution control program. History: En. 69-3921.1 by Sec. 1, Ch. 98, L. 1975; amd. Sec. 2, Ch. 308, L. 1977; R.C.M. 1947, 69-3921.1; amd. Sec. 16, Ch. 560, L. 1979;
amd. Sec. 4, Ch. 218, L. 1983; amd. Sec. 7, Ch. 502, L. 1993; amd. Sec. 3, Ch. 85, L. 1995; amd. Sec. 3, Ch. 498, L. 1995; amd. Sec. 22, Ch. 591, L. 2001; amd. Sec. 6, Ch. 487, L. 2005.
Cross-References Duties related to state matters, 7-4-2716. Injunctions, Title 27, ch. 19. 75-2-414 through 75-2-420 reserved. 75-2-421. Persons subject to noncompliance penalties—exemptions.
(1) Except as provided in subsection (2), the departmentmay assess and collect a noncompliance penalty from any person who owns or operates: (a) a stationary source (other than a primary
nonferrous smelter that has received a nonferrous smelter order under 42 U.S.C. 7419) that is not in compliance with any emission limitation specified in an order of the board, emission
standard, or compliance schedule under the state implementation plan approved by the federal environmental protection agency; (b) a stationary source that is not in compliance with an
emission limitation, emission standard, standard of performance, or other requirement under this chapter or 42 U.S.C. 7411, 7412, 7477, or 7603; (c) a stationary source that is not in
compliance with any other requirement under this chapter or any requirement of Subchapter V of the federal Clean Air Act, 42U.S.C. 7661, et seq.; or (d) any source referred to in subsections
(1)(a), (1)(b), or (1)(c) that has been granted an exemption, extension, or suspension under subsection (2) or that is covered by a compliance order, or a primary nonferrous smelter
that has received a primary nonferrous smelter order under 42 U.S.C. 7419, if that source is not in compliance with any interim emission control requirement or schedule of compliance
compliance under the extension, order, or suspension. (2) Notwithstanding the requirements of subsection (1), the department may, after notice and opportunity for a public hearing, exempt
any source from the requirements of 75-2-421 through 75-2-429 with respect to a particular instance of noncompliance that: (a) the department finds is de minimis in nature and in duration;
(b) is caused by conditions beyond the reasonable control of the source and is of no demonstrable advantage to the source; or (c) is exempt under 42 U.S.C. 7420(a)(2)(B) of the federal
Clean Air Act. (3) Any person who is jointly or severally adversely affected by the department’s decision may request, within 15 days after the department renders its decision, upon
affidavit setting forth the grounds for it, a hearing before the board. A hearing must be held under the provisions of the Montana Administrative Procedure Act, Title 2, chapter 4, part
6. History: En. Sec. 7, Ch. 560, L. 1979; amd. Sec. 8, Ch. 502, L. 1993. Cross-References Montana Administrative Procedure Act — hearing, 2-4-612. 75-2-422. Amount of noncompliance penalty
— late charge. (1) The amount of the penaltywhich shall be assessed and collected with respect to any source under 75-2-421 through 75-2-429 shall be equal to: (a) the amount determined
in accordance with the rules adopted by the board, which shall be no less than the economic value which a delay in compliance after July 1, 1979, may have for the owner of such source,
including the quarterly equivalent of the capital costs of compliance and debt service over a normal amortization period not to exceed 10 years, operation and maintenance costs foregone
as a result of noncompliance, and any additional economic value which such a delay may have for the owner or operator of such source; minus (b) the amount of any expenditure made by
the owner or operator of that source during any such quarter for the purpose of bringing that source into andmaintaining compliance with such requirement, to the extent that such expenditures
have not been taken into account in the calculation of the penalty under subsection (1)(a). 2009 MCA 75-2-421 ENVIRONMENTAL PROTECTION 50
(2) To the extent that any expenditure under subsection (1)(b) made during any quarter is not subtracted for such quarter from the costs under subsection (1)(a), such expendituremay
be subtracted for any subsequent quarter from such costs. In no event may the amount paid be less than the quarterly payment minus the amount attributed to actual cost of construction.
(3) If the owner or operator of any stationary source towhomnotice is issued under 75-2-425 does not submit a timely petition under 75-2-425(2)(b) or submits a petitionwhich is denied
and if the owner or operator fails to submit a calculation of the penalty assessment, a schedule for payment, and the information necessary for independent verification thereof, the
department may enter into a contractwith any person who has no financial interest in the matter to assist in determining the amount of the penalty assessment or payment schedule with
respect to such source. The cost of carrying out such contract may be added to the penalty to be assessed against the owner or operator of such source. (4) Any person who fails to pay
the amount of any penalty with respect to any source under 75-2-421 through 75-2-429 on a timely basis shall be required to pay in addition a quarterly nonpayment penalty for each quarter
during which such failure to pay persists. Such nonpayment penalty shall be equal to 20% of the aggregate amount of such person’s penalties and nonpayment penalties with respect to such
source which are unpaid as of the beginning of such quarter. History: En. Sec. 8, Ch. 560, L. 1979. Cross-References Montana Administrative Procedure Act — rulemaking, Title 2, ch. 4,
part 2. 75-2-423. Manner of making payment. (1) The assessed penalty required under 75-2-421 through 75-2-429 shall be paid in quarterly installments for the period of covered noncompliance.
All quarterly payments, determined without regard to any adjustment or any subtraction under 75-2-422(1)(b), after the first payment shall be equal. (2) The first payment shall be due
on the date 6 months after the date of issuance of the notice of noncompliance under 75-2-425 with respect to any source. Such first payment shall be in the amount of the quarterly installment
for the upcoming quarter, plus the amount owed for any preceding period within the period of covered noncompliance for such source. (3) For the purpose of this section, the term “period
of covered noncompliance” means the period which begins on the date of issuance of the notice of noncompliance under 75-2-425 and ends on the date onwhich such source comes into or,
for the purpose of establishing the schedule of payments, is estimated to come into compliance with such requirement. History: En. Sec. 9, Ch. 560, L. 1979. 75-2-424. Adjustment of fee.
(1) The department shall adjust from time to time the amount of the penalty assessment calculated or the payment schedule proposed by such owner or operator under 75-2-425(2)(a) if the
department finds after notice and opportunity for a hearing on the record that the penalty or schedule does not meet the requirements of 75-2-421 through 75-2-429. (2) Upon making a
determination that a source with respect to which a penalty has been paid under 75-2-421 through 75-2-429 is in compliance and is maintaining compliance with the applicable requirement,
the department shall review the actual expenditures made by the owner or operator of such source for the purpose of attaining and maintaining compliance and shall make a final adjustment
within 180 days after such source comes into compliance and: (a) provide reimbursement with interest to be paid by the state at appropriate prevailing rates for overpayment by such person;
or (b) assess and collect an additional payment with interest at appropriate prevailing rates for any underpayment by such person. History: En. Sec. 10, Ch. 560, L. 1979. Cross-References
Montana Administrative Procedure Act — contested cases — hearing procedure, Title 2, ch. 4, part 6. 75-2-425. Notice of noncompliance—challenge. (1) The department shall give a brief
but reasonably specific notice of noncompliance to each person who owns or operates a source subject to 75-2-421(1) which is not in compliance as provided in that subsection, within
30 days after the department has discovered the noncompliance. 2009 MCA 51 AIR QUALITY 75-2-425
(2) Each person to whom notice has been given pursuant to subsection (1) shall: (a) calculate the amount of penalty owed (determined in accordance with 75-2-422(1)) and the schedule
of payments (determined in accordance with 75-2-423) for each source and, within 45 days after issuance of the notice of noncompliance, submit that calculation and proposed schedule,
togetherwith the information necessary for an independent verification thereof, to the department; or (b) submit to the board a petition within 45 days after the issuance of such notice,
challenging such notice of noncompliance or alleging entitlement to an exemption under 75-2-421(2) with respect to a particular source. (3) Each person to whom notice of noncompliance
is given shall pay the department the amount determined under 75-2-422 as the appropriate penalty unless there has been a final determination granting a petition filed pursuant to subsection
(2)(b). History: En. Sec. 11, Ch. 560, L. 1979. Cross-References Montana Administrative Procedure Act — contested cases — hearing procedure, Title 2, ch. 4, part 6. 75-2-426. Hearing
on challenge. (1) The board shall provide a hearing on the record and make a decision (including findings of fact and conclusions of law) not later than 90 days after the receipt of
any petition under 75-2-425(2)(b) with respect to such source. (2) If the petition is denied, the petitioner shall submit the material required by 75-2-425(2)(a) to the department within
45 days of the date of decision. History: En. Sec. 12, Ch. 560, L. 1979. Cross-References Montana Administrative Procedure Act — contested cases — applicability, Title 2, ch. 4, part
6. 75-2-427. Deposit of noncompliance penalty fees. All noncompliance penalties collected by the department pursuant to 75-2-421 through 75-2-429 shall be deposited in the state special
revenue fund until a final determination and adjustment have been made as provided in 75-2-424 and amounts have been deducted by the department for costs attributable to implementation
of 75-2-421 through 75-2-429 and for contract costs incurred pursuant to 75-2-422(3), if any. After a final determination has been made and additional payments or refunds have been made,
the penaltymoney remaining shall be transferred to the state general fund. History: En. Sec. 13, Ch. 560, L. 1979; amd. Sec. 1, Ch. 277, L. 1983. Cross-References Fund structure, 17-2-102.
75-2-428. Effect of new standards on noncompliance penalty. In the case of any emission limitation, emission standard, or other requirement approved or adopted by the board under this
chapter after July 1, 1979, and approved by the federal environmental protection agency as an amendment to the state implementation plan, which is more stringent than the emission limitation
or requirement for the source in effect prior to such approval or promulgation, if any, or where there was no emission limitation, emission standard, or other requirement approved or
adopted before July 1, 1979, the date for imposition of the noncompliance penalty under 75-2-421 through 75-2-429 shall be the date onwhich the source is required to be in full compliance
with such emission limitation, emission standard, or other requirement or 3 years after the approval or promulgation of such emission limitation or requirement, whichever is sooner.
History: En. Sec. 14, Ch. 560, L. 1979. 75-2-429. Effect of noncompliance penalty on other remedies. (1) Any orders, payments, sanctions, or other requirements under 75-2-421 through
75-2-428 shall be in addition to any other permits, orders, payments, sanctions, or other requirements established under this chapter and shall in no way affect any civil or criminal
enforcement proceedings brought under 75-2-412 or 75-2-413. (2) The noncompliance penalties collected pursuant to 75-2-421 through 75-2-428 are intended to be cumulative and in addition
to any other remedies, procedures, and requirements authorized by this chapter. History: En. Sec. 15, Ch. 560, L. 1979. 2009 MCA 75-2-426 ENVIRONMENTAL PROTECTION 52
Part 5 Asbestos Control 75-2-501. Short title. This part may be cited as the “Asbestos Control Act”. History: En. Sec. 1, Ch. 581, L. 1989. 75-2-502. Definitions. As used in this part,
unless the context requires otherwise, the following definitions apply: (1) “Accreditation” means a certificate issued by the department that permits a person to work in an asbestos-related
occupation. (2) “Asbestos”means asbestiform varieties of chrysotile, amosite, crocidolite, anthophyllite, tremolite, or actinolite. (3) “Asbestos project” means the encapsulation, enclosure,
removal, repair, renovation, placement in new construction, demolition of asbestos in a building or other structure, or the transportation or disposal of asbestos-containingwaste. The
term does not include a project that involves less than 3 square feet in surface area or 3 linear feet of pipe. (4) “Asbestos-related occupation” means an inspector, management planner,
project designer, contractor, supervisor, or worker for an asbestos project. (5) “Department” means the department of environmental quality provided for in 2-15-3501. (6) “Person” means
an individual, partnership, corporation, sole proprietorship, firm, enterprise, franchise, association, state ormunicipal agency, political subdivision of the state, or any other entity.
History: En. Sec. 2, Ch. 581, L. 1989; amd. Sec. 179, Ch. 418, L. 1995. 75-2-503. Rulemaking authority — issuance of permits. (1) The department shall, subject to the provisions of 75-2-207,
adopt rules establishing standards and procedures for accreditation of asbestos-related occupations and control of the work performed by persons in asbestos-related occupations. The
rulesmust be consistent with federal law and include but are not limited to: (a) standards for training course review and approval; (b) standards for accreditation of applicants for
asbestos-related occupations; (c) examination requirements for accreditation of applicants for asbestos-related occupations; (d) requirements for renewal of accreditation, including
including periodic refresher courses; (e)
revocation of accreditation; (f) inspection requirements for asbestos projects and asbestos-related occupations credentials; (g) criteria to determine whether and what type of control
measures are necessary for an asbestos project and whether a project is completed in a manner sufficient to protect public health, including criteria setting allowable limits on indoor
airborne asbestos. A determination of whether asbestos abatement of a structure is necessary may not be based solely upon the results of airborne asbestos testing. (h) requirements for
issuance of asbestos project permits and conditions that permitholders shall meet; (i) standards for seeking injunctions, criminal and civil penalties, or emergency actions; (j) advance
notification procedures and issuance of permits for asbestos projects; and (k) fees, which must be commensurate with costs, for: (i) review and approval of training courses; (ii) application
for and renewal of accreditation by a person seeking to pursue an asbestos-related occupation; (iii) issuance and administration of asbestos project permits, including annual asbestos
project permits for facilities; and (iv) requested inspections of asbestos projects. (2) For asbestos projects having a cost of $3,000 or less, the department shall issue asbestos project
permits within 7 calendar days following the receipt of a properly completed permit application and the appropriate fee. 2009 MCA 53 AIR QUALITY 75-2-503
History: En. Sec. 3, Ch. 581, L. 1989; amd. Sec. 51, Ch. 16, L. 1991; amd. Sec. 9, Ch. 471, L. 1995; amd. Sec. 1, Ch. 25, L. 2003. Cross-References Montana Administrative Procedure Act
— adoption and publication of rules, Title 2, ch. 4, part 3. 75-2-504. Facility permits. The department shall provide by rule a procedure for the issuance of an annual asbestos project
permit to any facility that has an asbestos health and safety programmeeting department criteria and that continuously employs accredited asbestos workers. This permit allows a facility
to conduct asbestos projects within the confines of the facility’s controlled area during the period for which the permit is in force. The provisions of this permit may not preclude
state and federal requirements for asbestos project notification. History: En. Sec. 4, Ch. 581, L. 1989; amd. Sec. 2, Ch. 25, L. 2003. 75-2-505 through 75-2-507 reserved. 75-2-508. Asbestos
control account. (1) There is an asbestos control account in the state special revenue fund. There must be deposited in the account all money received from fees collected under this
part. (2) Funds in the account are allocated to the department for the purpose of funding the costs of implementing and operating the asbestos control program established under this
part. History: En. Sec. 1, Ch. 596, L. 1991; amd. Sec. 1, Ch. 293, L. 1999. 75-2-509 and 75-2-510 reserved. 75-2-511. Accreditation requirements—restrictions. (1) To qualify for accreditation
in a particular asbestos-related occupation, a person must: (a) (i) successfully complete an asbestos-related training course for that occupation approved by the department or the United
States environmental protection agency; and (ii) pass an examination approved by the department; (b) satisfactorily demonstrate equivalent previous training or experience in the occupation
as prescribed by department rule; or (c) have successfully completed an asbestos-related training course for that occupation, approved by the United States environmental protection agency,
during the time period immediately following the passage of this part and ending on December 31, 1989. (2) After January 1, 1990, a person may not: (a) engage in an asbestos-related
occupation unless accredited in that occupation by the department; (b) conduct an asbestos project without a permit from the department or violate the conditions of a permit; (c) contractwith
or employ in an asbestos-related occupation a person not accredited in that occupation by the department; or (d) offer a training course for an asbestos-related occupation to meet the
accreditation requirements of this section unless the department approves the course. (3) A person who applies for accreditation shall submit the fees and follow procedures prescribed
by department rule. History: En. Sec. 5, Ch. 581, L. 1989. 75-2-512. Repealed. Sec. 3, Ch. 596, L. 1991. History: En. Sec. 6, Ch. 581, L. 1989. 75-2-513. Records. A person engaged in
an asbestos project shall maintain the records required by department rule concerning the nature of project activities. History: En. Sec. 7, Ch. 581, L. 1989. 75-2-514. Civil penalties—venue
for actions to recover. (1) (a) A district court may assess a civil penalty of not more than $25,000 a day upon a person that violates any provision of this part, a rule adopted under
this part, or a permit or order issued under this part. In the case of a continuing violation, each day the violation continues constitutes a separate violation. (b) Penalties assessed
under this subsection (1)must be determined in accordance with the penalty factors in 75-1-1001. (2) An action under this section is not a bar to enforcement by injunction or other appropriate
civil or administrative remedies. 2009 MCA 75-2-504 ENVIRONMENTAL PROTECTION 54
(3) Penalties provided for in subsection (1) are recoverable in an action brought by the department. The action must be filed in the district court of the county in which the violation
occurred or, if mutually agreed on by the parties in the action, in the district court of the first judicial district, Lewis and Clark County. History: En. Sec. 9, Ch. 581, L. 1989;
amd. Sec. 2, Ch. 596, L. 1991; amd. Sec. 2, Ch. 293, L. 1999; amd. Sec. 7, Ch. 487, L. 2005. 75-2-515. Administrative enforcement. (1) The department may deny, suspend, or revoke the
accreditation of a person that: (a) fraudulently or deceptively obtains or attempts to obtain accreditation; (b) fails to meet the qualifications for accreditation or fails to comply
with the requirements of this part, a rule adopted under this part, or a permit or order issued under this part; or (c) fails to meet an applicable federal or state standard for asbestos
projects. (2) When the department believes that a violation of this part, a rule adopted under this part, or a permit or order issued under this part has occurred, itmay serve written
notice of the violation personally or by certifiedmail on the alleged violator or the violator’s agent. The notice must specify the provision of this part or the rule, permit, or order
alleged to be violated and the facts alleged to constitute a violation. The notice may include an order to take necessary corrective action within a reasonable period of time stated
in the order, an order to pay an administrative civil penalty, or both. An order becomes final unless, within 30 days after the order is received, the person that has been named requests,
in writing, a hearing before the board. (3) On receipt of a hearing request, the board shall schedule a hearing. The contested case provisions of theMontana Administrative Procedure
Act, Title 2, chapter 4, part 6, apply to any hearing conducted under this section. If, after a hearing, the board finds that a violation has not occurred or is not occurring, it shall
rescind the order. ((4) (a) An action initiated under this sectionmay include an administrative civil penalty of notmore than $10,000 for each day of each violation, not to exceed a
total of $80,000. Any order issued by the department under this section requiring payment of an administrative civil penalty must specify the basis for the penalty assessment. (b) A
penalty may not be assessed under this section for any day of violation that occurred more than 3 years prior to the department issuing the order requiring payment of the penalty. (c)
In determining the amount of a penalty assessed to a person under this section, the department shall consider the penalty factors in 75-1-1001. (5) In addition to or instead of issuing
an order under subsection (2), the departmentmay: (a) require the alleged violator to appear before the board for a hearing at a time and place specified in the notice of hearing to
answer the charges complained of; or (b) initiate action under 75-2-514. History: En. Sec. 3, Ch. 293, L. 1999; amd. Sec. 8, Ch. 487, L. 2005. 75-2-516. Criminal penalties. (1) A person
convicted of purposely or knowingly violating any provision of this part, a rule adopted under this part, or a permit or order issued under this part is guilty of a misdemeanor. (2)
A prosecution under this section is not a bar to enforcement by injunction or other appropriate civil or administrative remedies. History: En. Sec. 4, Ch. 293, L. 1999. Cross-References
Injunctions, Title 27, ch. 19. Misdemeanor penalty when none specified, 46-18-212. 75-2-517. Injunctions. The department may institute and maintain in the name of the state, actions
for injunctive relief, as provided in Title 27, chapter 19, to: (1) immediately restrain a person from engaging in an unauthorized activity that is endangering or causing damage to public
health or the environment; (2) enjoin a violation of this part, a rule adopted under this part, an order issued under this part, or a permit issued under this part, without the necessity
of prior revocation of the permit; or (3) require compliance with this part, a rule adopted under this part, or a permit or order issued under this part. History: En. Sec. 5, Ch. 293,
L. 1999. 2009 MCA 55 AIR QUALITY 75-2-517
Cross-References Remedies for public nuisances, 27-30-202. 75-2-518. Inspections—sampling. (1) (a) At any reasonable time and upon presentation of credentials, an employee or agent of
the departmentmay enter upon and inspect any place at which: (i) an asbestos project is being conducted; (ii) asbestos-containing material from an asbestos project is stored; or (iii)
records pertinent to an asbestos project are maintained. (b) The employee or agent of the departmentmay have access to andmay copy any records relating to an asbestos project for the
purpose of enforcing the provisions of this part, rules adopted under this part, or a permit or order issued under this part. (2) During an inspection under this section, the employee
or agent of the department may take samples of any suspected asbestos-containing material, including samples from any vehicle in which asbestos-containing waste materials are transported.
If the employee or agent of the department takes a sample of any suspected asbestos-containing material, prior to leaving the premises, the employee or agent shall give to the person
in charge of the asbestos project a receipt describing the sample taken and, if requested, a portion of each sample equal in volume or weight to the portion retained. If an analysis
ismade of the samples, a copy of the results of the analysis must be furnished to the person in charge of the asbestos project. History: En. Sec. 6, Ch. 293, L. 1999. 75-2-519. Cleanup
orders. The departmentmay issue a cleanup order to any person that has deposited asbestos-containing material or that has disturbed asbestos-containing material or that owns any property
where the asbestos-containing material is located when the material poses an immediate threat to public health or the environment or is likely to pose a threat to public health or the
environment in the immediate future. The order may direct the person to clean up and transport the asbestos-containing material to an authorized disposal facility, to treat the material
so as to render render it nonhazardous, or to take other necessary actions. History: En. Sec. 7, Ch. 293, L. 1999. Cross-References Contested cases, Title 2, ch. 4, part 6. CHAPTER 3
RADON CONTROL Part 1 — General Provisions (Renumbered) Part 2 — Control of Radioactive Substances (Renumbered) Part 3 — Disposal of Large Quantities of Radioactive Material (Renumbered)
Part 4 — Enforcement, Appeal, and Penalties (Renumbered) Part 5 — Northwest Interstate Compact on Low-Level Radioactive Waste Management (Renumbered) Part 6 — Montana Radon Control Act
75-3-601. Short title. 75-3-602. Definitions. 75-3-603. Radon testing and mitigation proficiency listing requirements. 75-3-604. Voluntary disclosure of information to department. 75-3-605.
Public information and education. 75-3-606. Radon disclosure statement on real estate documents — disclosure of prior radon testing — immunity from liability. 75-3-607. Radon control
account. —————————— 2009 MCA 75-2-518 ENVIRONMENTAL PROTECTION 56
Part 1 General Provisions (Renumbered) 75-3-101. Renumbered 50-79-101. Sec. 13, Ch. 73, L. 1997. 75-3-102. Renumbered 50-79-102. Sec. 13, Ch. 73, L. 1997. 75-3-103. Renumbered 50-79-103.
Sec. 13, Ch. 73, L. 1997. 75-3-104. Renumbered 50-79-104. Sec. 13, Ch. 73, L. 1997. 75-3-105. Renumbered 50-79-105. Sec. 13, Ch. 73, L. 1997. 75-3-106. Renumbered 50-79-106. Sec. 13,
Ch. 73, L. 1997. 75-3-107. Renumbered 50-79-107. Sec. 13, Ch. 73, L. 1997. 75-3-108. Renumbered 50-79-108. Sec. 13, Ch. 73, L. 1997. Part 2 Control of Radioactive Substances (Renumbered)
75-3-201. Renumbered 50-79-201. Sec. 13, Ch. 73, L. 1997. 75-3-202. Renumbered 50-79-202. Sec. 13, Ch. 73, L. 1997. 75-3-203. Renumbered 50-79-203. Sec. 13, Ch. 73, L. 1997. 75-3-204.
Renumbered 50-79-204. Sec. 13, Ch. 73, L. 1997. Part 3 Disposal of Large Quantities of Radioactive Material (Renumbered) 75-3-301. Renumbered 50-79-301. Sec. 13, Ch. 73, L. 1997. 75-3-302.
Renumbered 50-79-302. Sec. 13, Ch. 73, L. 1997. 75-3-303. Renumbered 50-79-303. Sec. 13, Ch. Ch. 73, L. 1997. 75-3-304. Renumbered 50-79-304. Sec. 13, Ch. 73, L. 1997. Part 4 Enforcement,
Appeal, and Penalties (Renumbered) 75-3-401. Renumbered 50-79-401. Sec. 13, Ch. 73, L. 1997. 75-3-402. Renumbered 50-79-402. Sec. 13, Ch. 73, L. 1997. 75-3-403. Renumbered 50-79-403.
Sec. 13, Ch. 73, L. 1997. 75-3-404. Renumbered 50-79-404. Sec. 13, Ch. 73, L. 1997. 75-3-405. Renumbered 50-79-405. Sec. 13, Ch. 73, L. 1997. 75-3-406. Renumbered 50-79-406. Sec. 13,
Ch. 73, L. 1997. 75-3-407. Renumbered 50-79-407. Sec. 13, Ch. 73, L. 1997. 75-3-408 and 75-3-409 reserved. 75-3-410. Renumbered 50-79-410. Sec. 13, Ch. 73, L. 1997. Part 5 Northwest
Interstate Compact on Low-Level Radioactive Waste Management (Renumbered) 75-3-501. Renumbered 50-79-501. Sec. 13, Ch. 73, L. 1997. 75-3-502. Renumbered 50-79-502. Sec. 13, Ch. 73, L.
1997. 2009 MCA 57 RADON CONTROL
10-3-201. Local and interjurisdictional emergency and disaster agencies and services. (1) Each political subdivision within this state shall designate a local or interjurisdictional
agency responsible for emergency and disaster prevention and preparedness and coordination of response and recovery. (2) The local or interjurisdictional disaster and emergency services
agency shall receive assistance from the division in emergency and disaster prevention, preparedness, response, and recovery to the extent of the division's authority and responsibility.
(3) Each political subdivision shall adhere to the provisions of parts 1 through 4 of this chapter and the state disaster and emergency plan and program regarding the structure and responsibilities
of the local or interjurisdictional disaster and emergency service agencies and their relationship to the division. (4) The principal executive officer of each political subdivision
shall notify the division of the manner by which the political subdivision is providing providing or securing emergency and disaster planning and services, identify the person who heads
the agency from which planning and services are obtained, and furnish additional information as the division requires. 10-3-202. Mutual aid --cooperation. (1) Political subdivisions
and governmental fire agencies organized under Title 7, chapter 33, must be encouraged and assisted by the division to conclude mutual aid arrangements with other public and private
agencies within this state or any other state or the United States pursuant to Title 10, chapter 3, part 11, for reciprocal aid and assistance in coping with incidents, emergencies,
and disasters. (2) In reviewing disaster and emergency plans and programs of political subdivisions, the division shall consider whether they contain adequate provisions for the reciprocal
mutual aid. (3) Local and interjurisdictional disaster and emergency agencies may assist in negotiation of reciprocal mutual aid agreements between the governor and the adjoining states
(including foreign states or provinces) or political subdivisions of adjoining states and shall carry out arrangements of any of the agreements relating to the local and political subdivision.
(4) In providing assistance under parts 1 through 4 of this chapter, state departments and agencies shall cooperate to the fullest extent possible with each other and with local governments
and relief agencies such as the American red cross. Parts 1 through 4 of this chapter do not list or in any way affect the responsibilities of the American red cross under its congressional
charter.
10-3-203. Acceptance of services, gifts, grants, and loans. (1) Whenever the federal government or any agency or officer of the federal government offers to the state, or through the
state to any political subdivision of the state, services, equipment, supplies, materials, or funds by way of gift, grant, reimbursement of mutual aid, or loan for purposes of emergency
or disaster services, the state, acting through the governor, or the political subdivision, acting through its executive officer or governing body, may accept the offer. Upon the acceptance,
the governor of the state or the executive officer or governing body of the political subdivision may authorize any officer of the state or of the political subdivision to receive the
services, equipment, supplies, materials, or funds on behalf of the state or political subdivision and subject to the terms of the offer and the rules, if any, of the agency making the
offer. (2) The funds, items, and services set forth in subsection (1) are statutorily appropriated, as provided in 17-7-502, to the governor for the purposes set forth in subsection
(1) or to the department of natural resources and conservation for fire suppression purposes or costs. 10-3-204. Intergovernmental arrangements. (1) This state enacts into law and enters
into the interstate mutual aid compact with all states, as defined in the compact, that have enacted or enact the compact in the form substantially contained in 10-3-207. (2) The governor
may enter into the compact with any state if the governor finds that joint action with the state is desirable in meeting common intergovernmental problems of emergency and disaster planning,
prevention, response, and recovery. (3) Subsections (1) and (2) may not be construed to limit previous or future entry of this state into the interstate mutual aid compact. (4) All interstate
mutual aid compacts and other interstate agreements dealing with disaster and emergency services must be reviewed and made current at intervals not to exceed 4 years. (5) If a person
holds a license, certificate, or other permit issued by any state or political subdivision of a state evidencing the meeting of qualifications for professional, mechanical, or other
skills, the person may render aid involving that skill in this state to meet an emergency or disaster and this state shall give due recognition to the license, certificate, or other
permit. (6) When considered of mutual benefit, the governor may, subject to limitations of law, enter into intergovernmental arrangements with neighboring provinces of Canada for the
purpose of exchanging disaster and emergency services.
10-3-205. Authority to join interstate mutual aid compact --supplemental agreements. (1) The governor of the state of Montana is hereby authorized for and in the name of the state of
Montana to join with other states in the interstate mutual aid compact. (2) The governor of the state of Montana is hereby authorized to negotiate and execute such supplemental agreements
as may be necessary and proper to fully carry into effect the terms and provisions of the interstate mutual aid compact as set forth in 10-3-207. 10-3-207. Text of compact. The interstate
mutual aid compact referred to in 10-3-204 and 10-3-205 reads as follows: INTERSTATE MUTUAL AID COMPACT Article I The purpose of this compact is to provide voluntary assistance among
participating states in responding to any disaster or imminent disaster that overextends the ability of local and state governments to reduce, counteract, or remove the danger. Assistance
may include but is not limited to rescue, fire, police, medical, communication, and transportation services and facilities to cope with problems which require use of special equipment,
trained personnel, or personnel in large numbers not locally available. Article II Article I, section 10, of the Constitution of the United States permits a state to enter into an agreement
or compact with another state, subject to the consent of congress. Congress, through enactment of 50 U.S.C. 2281(g) and 2283 (now repealed) and the executive branch, by issuance of Executive
Orders No. 10186 of December 1, 1950, encourages the states to enter into emergency, disaster, and civil defense mutual aid agreements or pacts. Article III It is agreed by participating
states that the following conditions will guide implementation of the compact: (1) Participating states through their designated officials are authorized to request and receive assistance
from a participating state. Requests will be granted only if the requesting state is committed to the mitigation of the emergency and other resources are not immediately available. (2)
Requests for assistance may be verbal or in writing. If the request is made by other than written communication, it must be confirmed in writing as soon as practical after the request.
A written request shall provide an itemization of equipment and operators, types of expertise, and personnel or other resources needed. Each request must be signed by an authorized official.
(3) Personnel and equipment of the aiding state made available to the requesting state shall, whenever possible, remain under the control and direction of the aiding state. The activities
of personnel and equipment of the aiding state must be coordinated by the requesting state. (4) An aiding state has the right to withdraw some or all of its personnel and equipment
whenever the personnel and equipment are needed by that state. Notice of intention to withdraw should be communicated to the requesting state as soon as possible. Article IV (1) The
requesting state shall reimburse the aiding state as soon as possible after the receipt by the requesting state of an itemized voucher requesting reimbursement of costs. (2) Any state
rendering aid pursuant to this compact must be reimbursed by the state receiving such aid for any damage to, loss of, or expense incurred in the operation of any equipment used in responding
to a request for aid, and for the cost incurred in connection with such requests. (3) Any state rendering aid pursuant to this compact must be reimbursed by the state receiving such
aid for the cost of compensation and death benefits to injured officers, agents, or employees and their dependents or representatives if such officers, agents, or employees sustain injuries
or are killed while rendering aid pursuant to this arrangement and such payments are made in the same manner and on the same terms as if the injury or death were sustained within the
aiding state. Article V (1) All privileges and immunities from liability, exemptions from law, ordinances, and rules and all pension, disability relief, workers' compensation, and other
benefits that apply to the activity of officers, agents, or employees when performing their respective functions within the territorial limits of their respective political subdivisions
apply to them to the same extent while engaged in the performance of any of their functions and duties extraterritorially under the provisions of this compact. (2) All privileges and
immunities from liability, exemptions from law, ordinances, and rules and workers' compensation and other benefits that apply to duly enrolled or registered volunteers when performing
their respective functions at the request of their state and within its territorial limits apply to the same extent while performing their functions extraterritorially under the provisions
of this compact. Volunteers may include but are not limited to physicians, surgeons, nurses, dentists, structural engineers, and trained search and rescue volunteers. (3) The signatory
states, their political subdivisions, municipal corporations, and other public agencies shall hold harmless the corresponding entities and personnel thereof from the other state with
respect to the acts and omissions of its own agents and employees that occur while providing assistance pursuant to the common plan. (4) Nothing in this arrangement may be construed
as repealing or impairing any existing interstate mutual aid agreements. (5) Upon enactment of this compact by two or more states, and annually by each January 1 thereafter, the participating
states will exchange with each other the names of officials designated to request and provide services under this arrangement. In accordance with the cooperative nature of this arrangement,
it is permissible and desirable for the states to exchange operational procedures to be followed followed in requesting assistance and reimbursing expenses. (6) This compact becomes
effective and is binding upon the states so acting when it has been enacted into law by any two states. Thereafter, this compact becomes effective and binding as to any other state upon
similar action by such state.
(7) This compact remains binding upon a party state until it enacts a law repealing the compact and providing for the sending of formal written notice of withdrawal from the compact
to the appropriate officials of all other party states. An actual withdrawal may not take effect until the 30th consecutive day after the notice has been sent. Such withdrawal does not
relieve the withdrawing state from its obligations assumed under this compact prior to the effective date of withdrawal. 10-3-208. Rulemaking authority. The department of military affairs
may adopt rules necessary to implement the interstate mutual aid compact. 10-3-209. Political subdivision requests for assistance --application to fire districts, fire service areas,
and fire companies in unincorporated places --immunity. (1) If an incident, emergency, or disaster occurs in a political subdivision that has not concluded a mutual aid agreement pursuant
to 10-3-202, the local or interjurisdictional agency, incident commander, or principal executive executive officer of the political subdivision may request assistance from another public
or private agency. (2) (a) The following individuals or entities may request assistance with an incident, emergency, or disaster if a mutual aid agreement has not been concluded for
protection of the area within the jurisdiction of these individuals or entities: (i) the trustees of a rural fire district created pursuant to Title 7, chapter 33, part 21, a representative
of the trustees, or an incident commander for the district; (ii) the chief of a rural fire company organized pursuant to 7-33-2311 or an incident commander for the chief; (iii) the governing
body of a fire service area created pursuant to Title 7, chapter 33, part 24, a representative of the governing body, or an incident commander for the area. (b) A request for assistance
by an individual or entity under subsection (2)(a) may be made to any of the following: (i) a fire district; (ii) an unincorporated municipality; (iii) an incorporated municipality;
(iv) a state agency; (v) a private fire prevention agency; (vi) an agency of the federal government; (vii) a fire service area; (viii) the governing body of a political subdivision;
or (ix) the governing bodies of fire protection services, emergency medical care providers, and local government subdivisions of any other state or the United States pursuant to part
11 of this chapter. (3) A public or private agency receiving a request pursuant to subsection (1) or (2) shall determine if it will provide the requested assistance or if it will provide
other assistance and shall inform the requesting local or interjurisdictional agency, principal executive officer, incident commander, or other individual or entity making the request,
as soon as possible, of that determination. The nature and
extent of assistance provided by a public or private agency may be determined only by that public or private agency. (4) The incident commander of the local or interjurisdictional agency
making a request for assistance has overall responsibility for command of the resources provided by a public or private agency responding to a request. However, operational control of
individual pieces of equipment and personnel furnished by the responding public or private agency remains with that agency. (5) This section does not waive an immunity or limitation
on liability applicable to any of the following entities or individuals requesting or receiving assistance pursuant to this section: (a) a fire district; (b) a fire service area; (c)
a fire company; (d) an unincorporated municipality, town, or village; (e) a political subdivision; or (f) an agent, employee, representative, or volunteer of an entity listed in this
subsection.
7-33-2108. Mutual aid agreements --request if no agreement exists --definitions. (1) A mutual aid agreement is an agreement for protection against disasters, incidents, or emergencies.
(2) Fire district trustees may enter mutual aid agreements with the proper authority of: (a) other fire districts; (b) unincorporated municipalities; (c) incorporated municipalities;
(d) state agencies; (e) private fire prevention agencies; (f) federal agencies; (g) fire service areas; (h) governing bodies of other political subdivisions in Montana; and (i) governing
bodies of fire protection services, emergency medical care providers, and local government subdivisions of any other state or the United States pursuant to Title 10, chapter 3, part
11. (3) If the fire district trustees have not concluded a mutual aid agreement, then the trustees, a representative of the trustees, or an incident commander may request assistance
pursuant to 10-3-209. (4) As used in this section, "incidents", "disasters", and "emergencies" have the the meanings provided in 10-3-103.
7-33-2405. Mutual aid agreements --request if no agreement exists --definitions. (1) A mutual aid agreement is an agreement for protection against disasters, incidents, or emergencies.
(2) The governing body of a fire service area may enter mutual aid agreements with the proper authority of: (a) other fire service areas; (b) unincorporated municipalities; (c) incorporated
municipalities; (d) state agencies; (e) private fire prevention agencies; (f) federal agencies; (g) fire districts; (h) governing bodies of other political subdivisions in Montana; and
(i) governing bodies of fire protection services, emergency medical care providers, and local government subdivisions of any other state or the United States pursuant to Title 10, chapter
3, part 11. (3) If the governing body of a fire service area has not concluded a mutual aid agreement, the governing body, a representative of the governing body, or an incident commander
may request assistance pursuant to 10-3-209. (4) As used in this section, "incidents", incidents", "disasters", and "emergencies" have the meanings provided in 10-3-103.
7-33-4112. Mutual aid agreements --request if no agreement exists --definitions. (1) A mutual aid agreement is an agreement for protection against disasters, incidents, or emergencies.
(2) Councils or commissions of incorporated municipalities may enter mutual aid agreements with the proper authority of: (a) other incorporated municipalities; (b) fire districts; (c)
unincorporated municipalities; (d) state agencies; (e) private fire prevention agencies; (f) federal agencies; (g) fire service areas; (h) the governing body of other political subdivisions;
or (i) governing bodies of fire protection services, emergency medical care providers, and local government subdivisions of any other state or the United States pursuant to Title 10,
chapter 3, part 11. (3) If the council or commission has not concluded a mutual aid agreement, the council or commission, a representative of the council or commission, or an incident
commander may request assistance pursuant to 10-3-209. (4) As used in this section, the terms "disasters", "emergencies", or "incidents" have the meanings provided in 10-3-103.
7-33-2202. Functions of county governing body. (1) The county governing body, with respect to rural fire control, shall carry out the specific authorities and duties imposed in this
section. (2) The governing body shall: (a) provide for the organization of volunteer rural fire control crews; and (b) provide for the formation of county volunteer fire companies. (3)
The governing body shall appoint a county rural fire chief and as many district rural fire chiefs, subject to the direction and supervision of the county rural fire chief, that it considers
necessary. (4) Pursuant to 76-13-105(3), the county governing body shall, within the limitations of 7-33-2205, 7-33-2206, 7-33-2208, and 7-33-2209, either: (a) directly protect from
fire land in the county that is not in a wildland fire protection district, as provided in 76-13-204, or under the protection of a municipality, state agency, or federal agency; or (b)
enter into an agreement for wildland fire protection with a recognized agency, as that term is defined in 76-13-102. (5) The county governing body may enter into mutual aid agreements
for itself and for county volunteer fire companies with: (a) other fire districts; (b) unincorporated municipalities; (c) incorporated municipalities; (d) state agencies; (e) private
fire prevention agencies; (f) federal agencies; (g) fire service areas; (h) governing bodies of other political subdivisions in Montana; or (i) governing bodies of fire protection services,
emergency medical care providers, and local government subdivisions of any other state or the United States pursuant to Title 10, chapter 3, part 11. (6) If the county governing body
has not concluded a mutual aid agreement, the county governing body, a representative of the county governing body, or an incident commander may request assistance pursuant to 10-3-209.
44-11-101. Mutual assistance authorized --powers and duties of assisting officers. A peace officer or any law enforcement entity of any county or municipality or a state government law
enforcement entity may request the assistance of a peace officer from another law enforcement entity within the state of Montana. A peace officer, while in the jurisdiction of the requesting
officer or entity and while on such request for assistance, has the same powers, duties, rights, privileges, and immunities as a peace officer of the requesting entity and is under the
authority of the requesting officer or entity. 44-11-102. Liability of assisted entity for obligation resulting from assistance. A law enforcement entity requesting assistance under
44-11-101 shall indemnify the assisting peace officer, the officer's legal representative in case of death, or the furnishing law enforcement entity for any liability or obligation to
indemnify created by 2-9-305 that may result from the assistance furnished. 44-11-201. Retention of rights of employment. A peace officer rendering assistance under 44-11-101 is entitled
to the same wage, salary, pension, workers' compensation, and all other service rights for service rendered under that section as for service rendered within the law enforcement entity
in which the officer is normally employed. 44-11-202. Employing entity to pay normal expenses of assisting officer --reimbursement. (1) The law enforcement entity employing a peace officer
who renders assistance shall make all wage, pension, and disability payments and payments for damage to clothing and equipment due to the officer as a result of the rendering of assistance
and shall pay any medical expense incurred by the officer in rendering assistance for which the officer is not otherwise entitled to reimbursement by operation of law or a contract.
The employing entity shall also provide workers' compensation coverage for its employees while they are rendering assistance. (2) If it so requests, the law enforcement entity must be
reimbursed by the law enforcement entity that requested the services for all payments made for wages and damage to clothing and equipment and for any medical expense for which neither
the employing entity nor the officer is otherwise entitled to reimbursement by operation of law or a contract.
44-11-301. Short title. This part shall be known and may be cited as the "Interstate Law Enforcement Mutual Aid Act". 44-11-302. Purpose. It is the purpose of this part to permit one
or more law enforcement agencies of this state to enter into mutual aid agreements, on the basis of mutual advantage, with one or more law enforcement agencies of any other state or
the United States in order to facilitate and coordinate efficient, cooperative enforcement efforts directed at mutual law enforcement problems transcending jurisdictional boundaries
and to insure the prompt and effective delivery of law enforcement and emergency services in areas that, due to geographic remoteness, population sparsity, and economic and other factors
are in need of an increased law enforcement presence. 44-11-303. Definitions. When used in this part, unless the context requires otherwise, the following definitions apply: (1) "Law
enforcement agency" means a public agency lawfully established by statute or executive order that is responsible for the prevention and detection of crime and the enforcement of penal,
traffic, regulatory, or game laws. (2) "Law enforcement agency of this state" or "law enforcement agency of another (or any other) state" includes, respectively, a law enforcement agency
of a political subdivision of this state and a law enforcement agency of a political subdivision of another state. (3) "Mutual aid agreement" or "agreement" means an agreement between
two or more law enforcement agencies, consistent with the purposes of this part. (4) "Party law enforcement agency" means a law enforcement agency that is a party to a mutual aid agreement
as set forth in this part. (5) "Peace officer" has the meaning as defined in 46-1-202. 44-11-304. Authorization to enter agreement --general content --authority of peace officer. (1)
Any one or more law enforcement agencies of this state may enter into a mutual aid agreement with any one or more law enforcement agencies of any other state or the United States to
provide the law enforcement or emergency services that all of the parties are authorized by law to perform. If required by applicable law, the agreement must be authorized and approved
by the governing body of each party to the agreement. (2) The agreement must fully set forth the powers, rights, and obligations of the parties to the agreement. (3) Subject to 44-11-308,
a mutual aid agreement may grant a peace officer of any party law enforcement agency acting within the territorial jurisdiction of any other party
law enforcement agency authority to act as if the officer were an appointed and qualified peace officer of the law enforcement agency the officer is assisting. 44-11-305. Detailed content
of agreement. The agreement authorized by 44-11-304 must specify the following: (1) its duration; (2) the precise organization, composition, and nature of any separate legal entity created
thereby; (3) the purpose of the agreement; (4) the manner of financing the agreement and establishing and maintaining a budget therefor; (5) the method to be employed in accomplishing
the partial or complete termination of the agreement and for disposing of property upon such partial or complete termination; (6) provision for administering the agreement, which may
include creation of a joint board responsible for such administration; (7) the manner of acquiring, holding, and disposing of real and personal property used in the agreement; (8) the
minimum standards for law enforcement personnel implementing the provisions of the agreement; ((9) the respective liability of each party to the agreement for the actions of law enforcement
officers when acting under the provisions of the agreement; (10) the minimum insurance required of each party to the agreement; (11) the exact chain of command or delegation of authority
to be followed by law enforcement officials acting under the provisions of the agreement; (12) the precise enforcement authority that the peace officers of each party law enforcement
agency may exercise; and (13) any other necessary and proper matters. 44-11-306. Right of state in actions involving agreements. In any case or controversy involving performance or interpretation
of or liability under a mutual aid agreement entered into between one or more law enforcement agencies of political subdivisions of this state and one or more law enforcement agencies
of another state or of the United States, the parties to the agreement are the real parties in interest. This state may maintain an action against any law enforcement agency whose default,
failure, performance, or other conduct caused or contributed to any liability incurred by this state.
44-11-307. Agreement not to relieve agency of duties. No agreement made under this part may relieve any law enforcement agency of this state of any duty imposed upon it by law. Timely
performance of such a duty by a joint board or other legal or administrative entity created by a mutual aid agreement may be offered in satisfaction of the duty. 44-11-308. Limitation
of powers. Except for the right granted by this part to jointly exercise powers, this part does not authorize any law enforcement agency of this state to exercise any power that it is
not otherwise authorized to exercise. 44-11-310. Filing of agreement. Within 20 days after the final approval by the governing bodies of all parties to the agreement, an agreement made
pursuant to this part must be filed in the office of: (1) each clerk and recorder of each county of this state where the principal office of one of the parties to the agreement is located;
and (2) the secretary of state. 44-11-311. Authorization to appropriate funds for purpose of agreement. Any law enforcement agency of this state may appropriate funds for and may sell,
lease, or otherwise supply material to any entity created for the purpose of performance of an agreement and may provide such personnel or services therefor as are within its authority
to furnish. 44-11-312. Effect of other law. The procedures and remedies provided in this part apply to the exclusion of those remedies and procedures for interlocal agreements generally
under Title 7, chapter 11, part 1.
2001 MCA TITLE 75 CHAPTER 10 WASTE AND LITTER CONTROL Part 6 --State Participation in CERCLA 75-10-601. Purpose. 75-10-602. Definitions. 75-10-603. Cooperative agreement --authority
of department. 75-10-604. Cooperative agreement --when effective. 75-10-605 through 75-10-620 reserved. 75-10-621. Hazardous waste/CERCLA special revenue account. 75-10-622. CERCLA match
debt service fund. 75-10-623. CERCLA bonds. 75-10-624 reserved. 75-10-625. Authorization for sale of CERCLA bonds. 75-10-626. Agreement with department of environmental quality. 75-10-627.
Benefit of state. 75-10-628. Repealed. Part 6 State Participation in CERCLA 75-10-601. Purpose. The legislature finds that the existence of hazardous substances and contaminants in the
environment and hazardous waste disposal sites poses a significant health hazard through potential and actual contamination of the environment. This part is therefore enacted to protect
the public health, safety, and welfare through cooperation with the federal government under the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980
to provide for the disposal and control of such hazardous substances and contaminants in a safe and environmentally sound manner. History: En. Sec. 1, Ch. 241, L. 1983. 75-10-602. Definitions.
As used in this part, the following definitions apply: (1) "CERCLA" means the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980, Public Law 96-510.
(2) (a) "Contaminant" includes but is not limited to any element, substance, compound, or mixture, including disease-causing agents, that after release into the environment and upon
exposure, ingestion, inhalation, or assimilation into any organism, either directly from the environment or indirectly by ingestion through food chains, will or may reasonably be anticipated
to cause death, disease, behavioral abnormalities, cancer, genetic mutation, physiological
malfunctions (including malfunctions in reproduction), or physical deformations in the organisms or their offspring. (b) The term does not include petroleum (including crude oil or any
fraction of crude oil that is not specifically listed or designated as a hazardous substance as provided in subsection (4)(a)) or natural gas, liquefied natural gas, synthetic gas of
pipeline quality, or mixtures of natural gas and synthetic gas. (3) "Department" means the department of environmental quality provided for in 2-15-3501. (4) (a) "Hazardous substance"
means: (i) any substance designated pursuant to section 311(b)(2)(A) of the federal Water Pollution Control Act; (ii) any element, compound, mixture, solution, or substance designated
a hazardous substance by regulations promulgated by the administrator of the federal environmental protection agency pursuant to section 102 of CERCLA; (iii) any hazardous waste having
the characteristics identified under or listed pursuant to section 3001 of the federal Solid Waste Disposal Act (but not including any waste the regulation of which under the Solid Waste
Disposal Act has been suspended by act of congress); (iv) any toxic pollutant listed under section 307(a) of the Federal Water Pollution Control Act; (v) any hazardous air pollutant
listed under section 112 of the federal Clean Air Act; and (vi) any imminently hazardous chemical substance or mixture with respect to which the administrator of the environmental protection
agency has taken action pursuant to section 7 of the federal Toxic Substances Control Act. (b) The term does not include petroleum (including crude oil or any fraction of crude oil that
is not specifically listed or designated as a hazardous substance as provided in subsection (4)(a)) or natural gas, natural gas liquids, liquefied natural gas, synthetic gas usable for
fuel, or mixtures of natural gas and synthetic gas. (5) "Hazardous waste" means a solid waste or combination of solid wastes that because of its quantity, concentration, or physical,
chemical, or infectious characteristics may: (a) cause or significantly contribute to an increase in mortality or an increase in serious irreversible or incapacitating reversible illness;
or (b) pose a substantial present or potential hazard to human health or the environment when improperly treated, stored, transported, or disposed of or otherwise managed. (6) "President"
means the president of the United States. (7) "Release" means any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, or disposing
into the environment but excludes: (a) any release that results in exposure to persons solely within a workplace, with respect to a claim that persons may assert against their employer;
(b) emissions from the engine exhaust of a motor vehicle, rolling stock, aircraft, vessel, or pipeline pumping station engine; (c) (i) the release of source, byproduct, or special nuclear
material from a nuclear incident, as those terms are defined in the federal Atomic Energy Act of 1954, if the release is subject to requirements with respect to financial protection
established by the nuclear regulatory commission under section 170 of that act; or (ii) for the purposes of section 104 of CERCLA or any other response action, any release of source
byproduct or special nuclear material from any processing site designated under section 102(a)(1) or 302(a) of the federal Uranium Mill Tailings Radiation Control Act of 1978; and (d)
the normal application of fertilizer.
(8) (a) "Remedial action" means those actions consistent with a permanent remedy taken instead of or in addition to removal actions in the event of a release or threatened release of
a hazardous substance into the environment that prevent or minimize the release of hazardous substances so that they do not migrate to cause substantial danger to the present or future
public health or welfare or the environment. The term includes but is not limited to those actions at the location of the release as storage; confinement; perimeter protection using
dikes, trenches, or ditches; clay cover; neutralization; cleanup of released hazardous substances or contaminated materials; recycling or reuse; diversion; destruction; segregation of
reactive wastes; dredging or excavations; repair or replacement of leaking containers; collection of leachate and runoff; onsite treatment or incineration; provision of alternative water
supplies; and any monitoring reasonably required to ensure that the actions protect the public health health and welfare and the environment. The term includes the costs of permanent
relocation of residents and businesses and community facilities if the president determines that, alone or in combination with other measures, the relocation is more cost-effective than
and environmentally preferable to the transportation, storage, treatment, destruction, or secure disposition offsite of hazardous substances or is otherwise necessary to protect the
public health or welfare. (b) The term does not include offsite transport of hazardous substances or the storage, treatment, destruction, or secure disposition offsite of the hazardous
substances or contaminated materials unless the president determines that the actions: (i) are more cost-effective than other remedial actions; (ii) will create a new capacity to manage,
in compliance with subtitle C of the federal Solid Waste Disposal Act, hazardous substances in addition to those located at the affected facility; or (iii) are necessary to protect public
health or welfare or the environment from a present or potential risk that may be created by further exposure to the continued presence of the substances or materials. History: En. Sec.
2, Ch. 241, L. 1983; amd. Sec. 199, Ch. 418, L. 1995. 75-10-603. Cooperative agreement --authority of department. (1) In order to assist in implementation of CERCLA, the department may,
subject to the provisions of 75-10-107: (a) participate in the determination of appropriate remedial action to deal with the release or threatened release within Montana of: (i) any
contaminant presenting an imminent and substantial danger to public health or welfare; or (ii) any hazardous substance; (b) in the event of the release or threatened release of any of
the substances described in subsection (1)(a), negotiate the terms of a cooperative agreement with the federal government containing mutual commitments of each party to remedial action,
including the elements required by subsection (2). (2) A cooperative agreement may contain the following assurances: (a) the state of Montana will ensure the future maintenance of the
removal and remedial actions agreed upon for the expected life of the actions; (b) a hazardous waste disposal facility is available to the state of Montana that meets the specifications
of the president and complies with the requirements of subtitle C of the federal Solid Waste Disposal Act for necessary offsite storage, destruction, treatment, or secure disposition
of the hazardous substances; and (c) the state of Montana will pay or ensure payment of a share of the costs of the remedial action, including all future maintenance.
History: En. Sec. 3, Ch. 241, L. 1983; amd. Sec. 77, Ch. 10, L. 1993; amd. Sec. 16, Ch. 471, L. 1995. 75-10-604. Cooperative agreement --when effective. (1) If a cooperative agreement
requires expenditure of state and federal funds which, together with the monetary obligation contained in any prior cooperative agreement made during the same biennium, exceeds the amount
appropriated for that biennium for implementation of this part, the agreement is not effective until it is approved by the legislature and an appropriation is made providing the level
of funding necessitated by the agreement. (2) A cooperative agreement that does not require expenditure of funds exceeding the appropriation for the biennium for implementation of this
part is effective when signed by the governor and the president or their respective representatives. History: En. Sec. 4, Ch. 241, L. 1983. 75-10-605 through 75-10-620 reserved. 75-10-621.
Hazardous waste/CERCLA special revenue account. (1) There is a hazardous waste/CERCLA special revenue account within the state special revenue fund established in 17-2-102. (2) There
must be paid into the hazardous waste/CERCLA account: (a) revenue obtained from the interest income of the resource indemnity trust fund under the provisions of 15-38-202, together with
interest accruing on that revenue; (b) all proceeds of bonds or notes issued under 75-10-623 and all interest earned on proceeds of the bonds or notes; and (c) revenue from penalties
or damages collected under the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended in 1986 (CERCLA). (3) Appropriations may be made from
the hazardous waste/CERCLA account only for the following purposes and subject to the following conditions: (a) funds are statutorily appropriated, as provided in 17-7-502(4), to the
CERCLA match debt service account necessary to make principal, interest, and premium payments due on CERCLA bonds; (b) not more than one-half of the interest income received for any
biennium from the resource indemnity trust fund may be appropriated on a biennial basis for: (i) implementation of the Montana Hazardous Waste Act, including regulation of underground
storage tanks and the state share to obtain matching federal funds; (ii) implementation of Title 75, chapter 10, part 6, pertaining to state assistance to and cooperation with the federal
government for remedial action under CERCLA; (iii) expenses of the department in administering and overseeing the implementation of Title 75, chapter 10, parts 4 and 6; and (iv) state
expenses relating to investigation and remedial action for any hazardous substance defined in 75-10-602; and (c) to the extent funds are available after the appropriations in subsections
(3)(a) and (3)(b), the department may, as appropriate, seek authorization from the legislature or, when the legislature is not in session, through the budget amendment process provided
for in Title 17, chapter 7, part 4, to spend funds for: (i) state participation in remedial action under section 104 of CERCLA; (ii) state costs for maintenance of sites at which remedial
action under CERCLA has been completed; and
(iii) the state share to obtain matching federal funds for underground storage tank corrective action. (4) For the purposes of subsection (3)(c), the legislature finds that a need for
state special revenue to obtain matching federal funds for underground storage tank corrective action or for remedial action under section 104 of CERCLA constitutes a serious unforeseen
and unanticipated circumstance for the purpose of meeting the definition of "emergency" in 17-7-102. The legislature further finds that the inability of the department to match the federal
funds as the funds become available would seriously impair the functions of the department in carrying out its responsibilities under Title 75, chapter 10, parts 4 and 6. (5) There is
no dollar limit to the hazardous waste/CERCLA account. Unused balances remain in the account until appropriated by the legislature for the purposes specified in this section. History:
En. Sec. 2, Ch. 408, L. 1987; amd. Sec. 15, Ch. 787, L. 1991; amd. Sec. 2, Ch. 16, Sp. L. November 1993. 75-10-622. CERCLA match debt service fund. (1) There is a CERCLA match debt service
fund within the debt service fund type established in 17-2-102. (2) The state pledges, allocates, and directs to be credited to the CERCLA match debt service fund as received an amount
necessary to satisfy principal and interest payments due on outstanding CERCLA bonds. History: En. Sec. 3, Ch. 408, L. 1987. 75-10-623. CERCLA bonds. (1) When authorized by the legislature
and within limits of the authorization and the further limitations established in this section, the board of examiners may issue and sell CERCLA bonds of the state in the amount and
manner it considers necessary and proper to finance the match requirements
under section 104 of CERCLA and to finance the match requirements for federal money for underground storage tank corrective action. The full faith and credit and taxing powers of the
state are pledged for the prompt and full payment of all bonds issued and interest and redemption premiums payable on the bonds according to their terms. (2) Each series of CERCLA bonds
may be issued by the board of examiners upon request of the department of environmental quality, at public or private sale, in the denominations and forms, whether payable to bearer
with attached interest coupons or registered as to principal or as to both principal and interest, with provisions for conversion or exchange and for the issuance of notes in anticipation
of the issuance of definitive bonds, bearing interest at a rate or rates, maturing at a rate or rates, maturing at the time or times not exceeding 30 years from date of issue, subject
to optional or mandatory redemption at earlier times and prices and upon notice, with provisions for payment and discharge by the deposit of funds or securities in escrow for that purpose,
and payable at the office of the banking institution or institutions within or outside the state, as the board of examiners determines, subject to the limitations contained in 17-5-731
and this section. (3) In In the issuance of each series of CERCLA bonds, the interest rates, maturities, and any mandatory redemption provisions of the bonds must be established in a
manner that the funds then specifically pledged and appropriated by law to the CERCLA match debt service fund will, in the judgment of the board of examiners, be received in an amount
sufficient in each year to pay all principal, redemption premiums, and interest due and payable in that year with respect to that and all prior series of the bonds, except outstanding
bonds as to which the obligation of the state has been discharged by the deposit of funds or securities sufficient for
their payment in accordance with the terms of the resolutions by which they are authorized to be issued. (4) In all other respects, the board of examiners is authorized to prescribe
the form and terms of the bonds and notes and shall do whatever is lawful and necessary for their issuance and payment. The bonds, notes, and any interest coupons appurtenant to the
bonds and notes must be signed by the members of the board of examiners, and the bonds and notes must be issued under the great seal of the state of Montana. The bonds, notes, and coupons
may be executed with facsimile signatures and seal in the manner and subject to the limitations prescribed by law. The state treasurer shall keep a record of all the bonds and notes
issued and sold. (5) All proceeds of bonds or notes issued under this section must be deposited in the hazardous waste/CERCLA special revenue account established in 75-10-621. (6) All
actions taken by the board of examiners under this section must be authorized by a vote of a majority of of the members. History: En. Sec. 4, Ch. 408, L. 1987; amd. Sec. 200, Ch. 418,
L. 1995. 75-10-624 reserved. 75-10-625. Authorization for sale of CERCLA bonds. The board of examiners is authorized to issue and sell CERCLA general obligation bonds in an amount not
exceeding $10 million upon the request of the department of environmental quality, as provided for in 75-10-623. Proceeds of the bonds or notes are appropriated to the hazardous waste/CERCLA
special revenue account provided for in 75-10-621 to fund state participation in remedial action under section 104 of CERCLA, as amended, state costs for maintenance of sites at which
remedial action under CERCLA has been completed, the state share required to obtain matching federal funds for underground storage tank corrective action, and costs of issuance of the
bonds or notes. History: En. Sec. 1, Ch. 435, L. 1987; amd. Sec. 201, Ch. 418, L. 1995. 75-10-626. Agreement with department of environmental quality. For the proceeds of bonds or notes
authorized and and appropriated by this part, the board of examiners and the department of environmental quality may enter into an agreement under the terms of which the department shall
pay the state treasurer, for deposit in accordance with 17-2-101 through 17-2-107, as determined by the state treasurer, an amount sufficient to pay the principal and interest as due
on the bonds or notes from which the appropriation was made and to accumulate and maintain reserves as may be required under the bonds. The agreement must further provide that income
from the investment of bond proceeds and the reserves not required for the purposes presented in 75-10-625 must be credited against the department's payment obligation. The agreement
must also allow for the accumulation of reserves during the first year that the bonds are outstanding, if required. Payments by the department must be made from available funds. History:
En. Sec. 2, Ch. 435, L. 1987; amd. Sec. 202, Ch. 418, L. 1995. 75-10-627. Benefit of state. The agreement made pursuant to 75-10-626 is solely for the benefit of the state of Montana
and is not enforceable by bondholders or other third-party beneficiaries. History: En. Sec. 3, Ch. 435, L. 1987; amd. Sec. 75, Ch. 83, L. 1989.
75-10-628. Repealed. Sec. 500, Ch. 418, L. 1995. History: En. Sec. 4, Ch. 435, L. 1987.
1-6-12: ABSENCE OF MAYOR: In the absence of the mayor, the president of the city council, or in his absence the vice president of the council, if there shall be such an officer, shall
perform all the duties and functions of the mayor as may be required by the ordinances of the city, and part 4, title 3 of the political code of the state of Montana. (1977 Code § 2.16.120)
42 usc 116.txt -CITE-42 USC CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND
COMMUNITY RIGHT-TO-KNOW -HEADCHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW -MISC1-SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION Sec. 11001. Establishment of State commissions,
planning districts, and local committees. 11002. Substances and facilities covered and notification. 11003. Comprehensive emergency response plans. 11004. Emergency notification. 11005.
Emergency training and review of emergency systems. SUBCHAPTER II -REPORTING REQUIREMENTS 11021. Material safety data sheets. 11022. Emergency and hazardous chemical inventory forms.
11023. Toxic chemical release forms. SUBCHAPTER III -GENERAL PROVISIONS 11041. Relationship to other law. 11042. Trade secrets. 11043. Provision of information to health professionals,
doctors, and nurses. 11044. Public availability of plans, data sheets, forms, and followup notices. 11045. Enforcement. 11046. Civil actions. 11047. Exemption. 11048. Regulations. 11049.
Definitions. 11050. Authorization of appropriations. -End--CITE-42 USC SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER
116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION -HEADSUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION -End--CITE-42 USC Sec. 11001
01/05/2009 -EXPCITEPage 1
42 usc 116.txt TITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION -HEADSec. 11001.
Establishment of State commissions, planning districts, and local committees -STATUTE-(a) Establishment of State emergency response commissions Not later than six months after October
17, 1986, the Governor of each State shall appoint a State emergency response commission. The Governor may designate as the State emergency response commission one or more existing emergency
response organizations that are State-sponsored or appointed. The Governor shall, to the extent practicable, appoint persons to the State emergency response commission who have technical
expertise in the emergency response field. The State emergency response commission shall appoint local emergency planning committees under subsection (c) of this section and shall supervise
and coordinate the activities of such committees. The State emergency response commission shall establish procedures for receiving and processing requests from the public for information
under section 11044 of this title, including tier II information under section 11022 of this title. Such procedures shall include the designation of an official to serve as coordinator
for information. If the Governor of any State does not designate a State emergency response commission within such period, the Governor shall operate as the State emergency response
commission until the Governor makes such designation. (b) Establishment of emergency planning districts Not later than nine months after October 17, 1986, the State emergency response
commission shall designate emergency planning districts in order to facilitate preparation and implementation of emergency plans. Where appropriate, the State emergency response commission
may designate existing political subdivisions or multijurisdictional planning organizations as such districts. In emergency planning areas that involve more than one State, the State
emergency response commissions of all potentially affected States may designate emergency planning districts and local emergency planning committees by agreement. In making such designation,
the State emergency response commission shall indicate which facilities subject to the requirements of this subchapter are within such emergency planning district. (c) Establishment
of local emergency planning committees Not later than 30 days after designation of emergency planning districts or 10 months after October 17, 1986, whichever is earlier, the State emergency
response commission shall appoint members of a local emergency planning committee for each emergency planning district. Each committee shall include, at a minimum, representatives from
each of the following groups or organizations: elected State and local officials; law enforcement, civil defense, firefighting, first aid, health, local environmental, hospital, and
transportation personnel; broadcast and print media; community groups; and owners and operators of facilities subject to the requirements of this subchapter. Such committee shall appoint
a chairperson and shall establish rules by which the committee shall function. Such rules shall include provisions for public notification of committee activities, public meetings to
discuss the emergency plan, public comments, response to such comments by the committee, and distribution of the emergency plan. The local emergency planning committee shall establish
procedures for receiving and processing requests from the public for information under section 11044 of this title, including tier II information Page 2
42 usc 116.txt under section 11022 of this title. Such procedures shall include the designation of an official to serve as coordinator for information. (d) Revisions A State emergency
response commission may revise its designations and appointments under subsections (b) and (c) of this section as it deems appropriate. Interested persons may petition the State emergency
response commission to modify the membership of a local emergency planning committee. -SOURCE-(Pub. L. 99-499, title III, Sec. 301, Oct. 17, 1986, 100 Stat. 1729.) -MISC1-EFFECTIVE DATE
Chapter effective Oct. 17, 1986, see section 4 of Pub. L. 99-499, set out as an Effective Date of 1986 Amendment note under section 9601 of this title. SHORT TITLE Section 300(a) of
title III of Pub. L. 99-499 provided that: "This title [enacting this chapter] may be cited as the 'Emergency Planning and Community Right-To-Know Act of 1986'." -EXECEXECUTIVE ORDER
NO. 12856 Ex. Ord. No. 12856, Aug. 3, 1993, 58 F.R. 41981, which provided for Federal compliance with right-to-know laws and pollution prevention requirements, was revoked by Ex. Ord.
No. 13148, Sec. 901, Apr. 21, 2000, 65 F.R. 24604, formerly set out as a note under section 4321 of this title. -End--CITE-42 USC Sec. 11002 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH
AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION -HEADSec. 11002. Substances and facilities covered and notification
-STATUTE-(a) Substances covered (1) In general A substance is subject to the requirements of this subchapter if the substance is on the list published under paragraph (2). (2) List of
extremely hazardous substances Within 30 days after October 17, 1986, the Administrator shall publish a list of extremely hazardous substances. The list shall be the same as the list
of substances published in November 1985 by the Administrator in Appendix A of the "Chemical Emergency Preparedness Program Interim Guidance". (3) Thresholds (A) At the time the list
referred to in paragraph (2) is Page 3
42 usc 116.txt published the Administrator shall -(i) publish an interim final regulation establishing a threshold planning quantity for each substance on the list, taking into account
the criteria described in paragraph (4), and (ii) initiate a rulemaking in order to publish final regulations establishing a threshold planning quantity for each substance on the list.
(B) The threshold planning quantities may, at the Administrator's discretion, be based on classes of chemicals or categories of facilities. (C) If the Administrator fails to publish
an interim final regulation establishing a threshold planning quantity for a substance within 30 days after October 17, 1986, the threshold planning quantity for the substance shall
be 2 pounds until such time as the Administrator publishes regulations establishing a threshold for the substance. (4) Revisions The Administrator may revise the list and thresholds
under paragraphs (2) and (3) from time to time. Any revisions to the list shall take into account the toxicity, reactivity, volatility, dispersability, combustability, or flammability
of a substance. For purposes of the preceding sentence, the term "toxicity" shall include any short-or long-term health effect which may result from a short-term exposure to the substance.
(b) Facilities covered (1) Except as provided in section 11004 of this title, a facility is subject to the requirements of this subchapter if a substance on the list referred to in subsection
(a) of this section is present at the facility in an amount in excess of the threshold planning quantity established for such substance. (2) For purposes of emergency planning, a Governor
or a State emergency response commission may designate additional facilities which shall be subject to the requirements of this subchapter, if such designation is made after public notice
and opportunity for comment. The Governor or State emergency response commission shall notify the facility concerned of any facility designation under this paragraph. (c) Emergency planning
notification Not later than seven months after October 17, 1986, the owner or operator of each facility subject to the requirements of this subchapter by reason of subsection (b)(1)
of this section shall notify the State emergency response commission for the State in which such facility is located that such facility is subject to the requirements of this subchapter.
Thereafter, if a substance on the list of extremely hazardous substances referred to in subsection (a) of this section first becomes present at such facility in excess of the threshold
planning quantity established for such substance, or if there is a revision of such list and the facility has present a substance on the revised list in excess of the threshold planning
quantity established for such substance, the owner or operator of the facility shall notify the State emergency response commission and the local emergency planning committee within
60 days after such acquisition or revision that such facility is subject to the requirements of this subchapter. (d) Notification of Administrator The State emergency response commission
shall notify the Administrator of facilities subject to the requirements of this subchapter by notifying the Administrator of -(1) each notification received from a facility under subsection
(c) of this section, and (2) each facility designated by the Governor or State emergency Page 4
42 usc 116.txt response commission under subsection (b)(2) of this section. -SOURCE-(Pub. L. 99-499, title III, Sec. 302, Oct. 17, 1986, 100 Stat. 1730.) -End--CITE-42 USC Sec. 11003
01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION -HEADSec. 11003.
Comprehensive emergency response plans -STATUTE-(a) Plan required Each local emergency planning committee shall complete preparation of an emergency plan in accordance with this section
not later than two years after October 17, 1986. The committee shall review such plan once a year, or more frequently as changed circumstances in the community or at any facility may
require. (b) Resources Each local emergency planning committee shall evaluate the need for resources necessary to develop, implement, and exercise the emergency plan, and shall make
recommendations with respect to additional resources that may be required and the means for providing such additional resources. (c) Plan provisions Each emergency plan shall include
(but is not limited to) each of the following: (1) Identification of facilities subject to the requirements of this subchapter that are within the emergency planning district, identification
of routes likely to be used for the transportation of substances on the list of extremely hazardous substances referred to in section 11002(a) of this title, and identification of additional
facilities contributing or subjected to additional risk due to their proximity to facilities subject to the requirements of this subchapter, such as hospitals or natural gas facilities.
(2) Methods and procedures to be followed by facility owners and operators and local emergency and medical personnel to respond to any release of such substances. (3) Designation of
a community emergency coordinator and facility emergency coordinators, who shall make determinations necessary to implement the plan. (4) Procedures providing reliable, effective, and
timely notification by the facility emergency coordinators and the community emergency coordinator to persons designated in the emergency plan, and to the public, that a release has
occurred (consistent with the emergency notification requirements of section 11004 of this title). (5) Methods for determining the occurrence of a release, and the area or population
likely to be affected by such release. (6) A description of emergency equipment and facilities in the community and at each facility in the community subject to the requirements of this
subchapter, and an identification of the Page 5
42 usc 116.txt persons responsible for such equipment and facilities. (7) Evacuation plans, including provisions for a precautionary evacuation and alternative traffic routes. (8) Training
programs, including schedules for training of local emergency response and medical personnel. (9) Methods and schedules for exercising the emergency plan. (d) Providing of information
For each facility subject to the requirements of this subchapter: (1) Within 30 days after establishment of a local emergency planning committee for the emergency planning district in
which such facility is located, or within 11 months after October 17, 1986, whichever is earlier, the owner or operator of the facility shall notify the emergency planning committee
(or the Governor if there is no committee) of a facility representative who will participate in the emergency planning process as a facility emergency coordinator. (2) The owner or operator
of the facility shall promptly inform the emergency planning committee of any relevant changes occurring at such facility as such changes occur or are expected to occur. (3) Upon request
from the emergency planning committee, the owner or operator of the facility shall promptly provide information to such committee necessary for developing and implementing the emergency
plan. (e) Review by State emergency response commission After completion of an emergency plan under subsection (a) of this section for an emergency planning district, the local emergency
planning committee shall submit a copy of the plan to the State emergency response commission of each State in which such district is located. The commission shall review the plan and
make recommendations to the committee on revisions of the plan that may be necessary to ensure coordination of such plan with emergency response plans of other emergency planning districts.
To the maximum extent practicable, such review shall not delay implementation of such plan. (f) Guidance documents The national response team, as established pursuant to the National
National Contingency Plan as established under section 9605 of this title, shall publish guidance documents for preparation and implementation of emergency plans. Such documents shall
be published not later than five months after October 17, 1986. (g) Review of plans by regional response teams The regional response teams, as established pursuant to the National Contingency
Plan as established under section 9605 of this title, may review and comment upon an emergency plan or other issues related to preparation, implementation, or exercise of such a plan
upon request of a local emergency planning committee. Such review shall not delay implementation of the plan. -SOURCE-(Pub. L. 99-499, title III, Sec. 303, Oct. 17, 1986, 100 Stat. 1731.)
-End--CITE-42 USC Sec. 11004 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW Page 6
42 usc 116.txt SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION -HEADSec. 11004. Emergency notification -STATUTE-(a) Types of releases (1) 11002(a) substance which requires CERCLA notice
If a release of an extremely hazardous substance referred to in section 11002(a) of this title occurs from a facility at which a hazardous chemical is produced, used, or stored, and
such release requires a notification under section 103(a) of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 [42 U.S.C. 9603(a)] (hereafter in this
section referred to as "CERCLA") (42 U.S.C. 9601 et seq.), the owner or operator of the facility shall immediately provide notice as described in subsection (b) of this section. (2)
Other 11002(a) substance If a release of an extremely hazardous substance referred to in section 11002(a) of this title occurs from a facility at which a hazardous chemical is produced,
used, or stored, and such release is not subject to the notification requirements under section 103(a) a) of CERCLA [42 U.S.C. 9603(a)], the owner or operator of the facility shall immediately
provide notice as described in subsection (b) of this section, but only if the release -(A) is not a federally permitted release as defined in section 101(10) of CERCLA [42 U.S.C. 9601(10)],
(B) is in an amount in excess of a quantity which the Administrator has determined (by regulation) requires notice, and (C) occurs in a manner which would require notification under
section 103(a) of CERCLA [42 U.S.C. 9603(a)]. Unless and until superseded by regulations establishing a quantity for an extremely hazardous substance described in this paragraph, a quantity
of 1 pound shall be deemed that quantity the release of which requires notice as described in subsection (b) of this section. (3) Non-11002(a) substance which requires CERCLA notice
If a release of a substance which is not on the list referred to in section 11002(a) of this title occurs at a facility at which a hazardous chemical is produced, used, or stored, and
such release requires notification under section 103(a) of CERCLA [42 U.S.C. 9603(a)], the owner or operator shall provide notice as follows: (A) If the substance is one for which a
reportable quantity has been established under section 102(a) of CERCLA [42 U.S.C. 9602(a)], the owner or operator shall provide notice as described in subsection (b) of this section.
(B) If the substance is one for which a reportable quantity has not been established under section 102(a) of CERCLA [42 U.S.C. 9602(a)] -(i) Until April 30, 1988, the owner or operator
shall provide, for releases of one pound or more of the substance, the same notice to the community emergency coordinator for the local emergency planning committee, at the same time
and in the same form, as notice is provided to the National Response Center under section 103(a) of CERCLA [42 U.S.C. 9603(a)]. (ii) On and after April 30, 1988, the owner or operator
shall provide, for releases of one pound or more of the substance, the notice as described in subsection (b) b) of this section. Page 7
42 usc 116.txt (4) Exempted releases This section does not apply to any release which results in exposure to persons solely within the site or sites on which a facility is located. (b)
Notification (1) Recipients of notice Notice required under subsection (a) of this section shall be given immediately after the release by the owner or operator of a facility (by such
means as telephone, radio, or in person) to the community emergency coordinator for the local emergency planning committees, if established pursuant to section 11001(c) of this title,
for any area likely to be affected by the release and to the State emergency planning commission of any State likely to be affected by the release. With respect to transportation of
a substance subject to the requirements of this section, or storage incident to such transportation, the notice requirements of this section with respect to a release shall be satisfied
by dialing 911 or, in the absence of a 911 emergency telephone number, calling the operator. (2) Contents Notice required under subsection (a) of this section shall include each of the
following (to the extent known at the time of the notice and so long as no delay in responding to the emergency results): (A) The chemical name or identity of any substance involved
in the release. (B) An indication of whether the substance is on the list referred to in section 11002(a) of this title. (C) An estimate of the quantity of any such substance that was
released into the environment. (D) The time and duration of the release. (E) The medium or media into which the release occurred. (F) Any known or anticipated acute or chronic health
risks associated with the emergency and, where appropriate, advice regarding medical attention necessary for exposed individuals. (G) Proper precautions to take as a result of the release,
including evacuation (unless such information is readily available to the community emergency coordinator pursuant to the emergency plan). (H) The name and telephone number of the person
or persons to be contacted for further information. (c) Followup emergency notice As soon as practicable after a release which requires notice under subsection (a) of this section, such
owner or operator shall provide a written followup emergency notice (or notices, as more information becomes available) setting forth and updating the information required under subsection
(b) of this section, and including additional information with respect to -(1) actions taken to respond to and contain the release, (2) any known or anticipated acute or chronic health
risks associated with the release, and (3) where appropriate, advice regarding medical attention necessary for exposed individuals. (d) Transportation exemption not applicable The exemption
provided in section 11047 of this title (relating to transportation) does not apply to this section. -SOURCE-(Pub. L. 99-499, title III, Sec. 304, Oct. 17, 1986, 100 Stat. 1733.) -REFTEXTREFERENCES
IN TEXT Page 8
42 usc 116.txt The Comprehensive Environmental Response, Compensation, and Liability Act of 1980, and CERCLA, referred to in subsec. (a)(1), (3), is Pub. L. 96-510, Dec. 11, 1980, 94
Stat. 2767, as amended, which is classified principally to chapter 103 (Sec. 9601 et seq.) of this title. For complete classification of this Act to the Code, see Short Title note set
out under section 9601 of this title and Tables. -End--CITE-42 USC Sec. 11005 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY
RIGHT-TO-KNOW SUBCHAPTER I -EMERGENCY PLANNING AND NOTIFICATION -HEADSec. 11005. Emergency
training and review of emergency systems -STATUTE-(a) Emergency training (1) Programs Officials of the United States Government carrying out existing Federal programs for emergency training
are authorized to specifically provide training and education programs for Federal, State, and local personnel in hazard mitigation, emergency preparedness, fire prevention and control,
disaster response, long-term disaster recovery, national security, technological and natural hazards, and emergency processes. Such programs shall provide special emphasis for such training
and education with respect to hazardous chemicals. (2) State and local program support There is authorized to be appropriated to the Federal Emergency Management Agency for each of the
fiscal years 1987, 1988, 1989, and 1990, $5,000,000 for making grants to support programs of State and local governments, and to support university-sponsored programs, which are designed
to improve emergency planning, preparedness, mitigation, response, and recovery capabilities. Such programs shall provide special emphasis with respect to emergencies associated with
hazardous chemicals. Such grants may not exceed 80 percent of the cost of any such program. The remaining 20 percent of such costs shall be funded from non-Federal sources. (3) Other
programs Nothing in this section shall affect the availability of appropriations to the Federal Emergency Management Agency for any programs carried out by such agency other than the
programs referred to in paragraph (2). (b) Review of emergency systems (1) Review The Administrator shall initiate, not later than 30 days after October 17, 1986, a review of emergency
systems for monitoring, detecting, and preventing releases of extremely hazardous substances at representative domestic facilities that produce, use, or store extremely hazardous substances.
The Administrator may select representative extremely hazardous substances from the substances on the list referred to in section 11002(a) of this title for the purposes of this review.
The Administrator shall report interim findings to the Congress not later than seven Page 9
42 usc 116.txt months after October 17, 1986, and issue a final report of findings and recommendations to the Congress not later than 18 months after October 17, 1986. Such report shall
be prepared in consultation with the States and appropriate Federal agencies. (2) Report The report required by this subsection shall include the Administrator's findings regarding each
of the following: (A) The status of current technological capabilities to (i) monitor, detect, and prevent, in a timely manner, significant releases of extremely hazardous substances,
(ii) determine the magnitude and direction of the hazard posed by each release, (iii) identify specific substances, (iv) provide data on the specific chemical composition of such releases,
and (v) determine the relative concentrations of the constituent substances. (B) The status of public emergency alert devices or systems for providing timely and effective public warning
of an accidental release of extremely hazardous substances into the environment, including including releases into the atmosphere, surface water, or groundwater from facilities that
produce, store, or use significant quantities of such extremely hazardous substances. (C) The technical and economic feasibility of establishing, maintaining, and operating perimeter
alert systems for detecting releases of such extremely hazardous substances into the atmosphere, surface water, or groundwater, at facilities that manufacture, use, or store significant
quantities of such substances. (3) Recommendations The report required by this subsection shall also include the Administrator's recommendations for -(A) initiatives to support the development
of new or improved technologies or systems that would facilitate the timely monitoring, detection, and prevention of releases of extremely hazardous substances, and (B) improving devices
or systems for effectively alerting the public in a timely manner, in the event of an accidental release of such extremely hazardous substances. -SOURCE-(Pub. L. 99-499, title III, Sec.
305, Oct. 17, 1986, 100 Stat. 1735.) -TRANSTRANSFER OF FUNCTIONS For transfer of all functions, personnel, assets, components, authorities, grant programs, and liabilities of the Federal
Emergency Management Agency, including the functions of the Under Secretary for Federal Emergency Management relating thereto, to the Federal Emergency Management Agency, see section
315(a)(1) of Title 6, Domestic Security. For transfer of functions, personnel, assets, and liabilities of the Federal Emergency Management Agency, including the functions of the Director
of the Federal Emergency Management Agency relating thereto, to the Secretary of Homeland Security, and for treatment of related references, see former section 313(1) and sections 551(d),
552(d), and 557 of Title 6, Domestic Security, and the Department of Homeland Security Reorganization Plan of November 25, 2002, as modified, set out as a note under section 542 of Title
6. -End-Page 10
42 usc 116.txt -CITE-42 USC SUBCHAPTER II -REPORTING REQUIREMENTS 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW
SUBCHAPTER II -REPORTING REQUIREMENTS -HEADSUBCHAPTER II -REPORTING REQUIREMENTS -End--CITE-42 USC Sec. 11021 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY
PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER II -REPORTING REQUIREMENTS -HEADSec. 11021. Material safety data sheets -STATUTE-(a) Basic requirement (1) Submission of MSDS or list
The owner or operator of any facility which is required to prepare or have available a material safety data sheet for a hazardous chemical under the Occupational Safety and Health Act
of 1970 [29 U.S.C. 651 et seq.] and regulations promulgated under that Act shall submit a material safety data sheet for each such chemical, or a list of such chemicals as described
in paragraph (2), to each of the following: (A) The appropriate local emergency planning committee. (B) The State emergency response commission. (C) The fire department with jurisdiction
over the facility. (2) Contents of list (A) The list of chemicals referred to in paragraph (1) shall include each of the following: (i) A list of the hazardous chemicals for which a
material safety data sheet is required under the Occupational Safety and Health Act of 1970 [29 U.S.C. 651 et seq.] and regulations promulgated under that Act, grouped in categories
of health and physical hazards as set forth under such Act and regulations promulgated under such Act, or in such other categories as the Administrator may prescribe under subparagraph
(B). (ii) The chemical name or the common name of each such chemical as provided on the material safety data sheet. (iii) Any hazardous component of each such chemical as provided on
the material safety data sheet. (B) For purposes of the list under this paragraph, the Administrator may modify the categories of health and physical hazards as set forth under the Occupational
Safety and Health Act of 1970 [29 U.S.C. 651 et seq.] and regulations promulgated under that Act by requiring information to be reported in terms of groups of hazardous chemicals which
present similar hazards in an emergency. (3) Treatment of mixtures Page 11
42 usc 116.txt An owner or operator may meet the requirements of this section with respect to a hazardous chemical which is a mixture by doing one of the following: (A) Submitting a
material safety data sheet for, or identifying on a list, each element or compound in the mixture which is a hazardous chemical. If more than one mixture has the same element or compound,
only one material safety data sheet, or one listing, of the element or compound is necessary. (B) Submitting a material safety data sheet for, or identifying on a list, the mixture itself.
(b) Thresholds The Administrator may establish threshold quantities for hazardous chemicals below which no facility shall be subject to the provisions of this section. The threshold
quantities may, in the Administrator's discretion, be based on classes of chemicals or categories of facilities. (c) Availability of MSDS on request (1) To local emergency planning committee
If an owner or operator of a facility submits a list of chemicals under subsection (a)(1) of this section, the owner or operator, upon request by the local emergency planning committee,
shall submit the material safety data sheet for any chemical on the list to such committee. (2) To public A local emergency planning committee, upon request by any person, shall make
available a material safety data sheet to the person in accordance with section 11044 of this title. If the local emergency planning committee does not have the requested material safety
data sheet, the committee shall request the sheet from the facility owner or operator and then make the sheet available to the person in accordance with section 11044 of this title.
(d) Initial submission and updating (1) The initial material safety data sheet or list required under this section with respect to a hazardous chemical shall be provided before the later
of -(A) 12 months after October 17, 1986, or (B) 3 months after the owner or operator of a facility is required to prepare or have available a material safety data sheet for the chemical
under the Occupational Safety and Health Act of 1970 [29 U.S.C. 651 et seq.] and regulations promulgated under that Act. (2) Within 3 months following discovery by an owner or operator
of significant new information concerning an aspect of a hazardous chemical for which a material safety data sheet was previously submitted to the local emergency planning committee
under subsection (a) of this section, a revised sheet shall be provided to such person. (e) "Hazardous chemical" defined For purposes of this section, the term "hazardous chemical" has
the meaning given such term by section 1910.1200(c) of title 29 of the Code of Federal Regulations, except that such term does not include the following: (1) Any food, food additive,
color additive, drug, or cosmetic regulated by the Food and Drug Administration. (2) Any substance present as a solid in any manufactured item to the extent exposure to the substance
does not occur under normal conditions of use. (3) Any substance to the extent it is used for personal, family, or household purposes, or is present in the same form and concentration
as a product packaged for distribution and use by the general public. Page 12
42 usc 116.txt (4) Any substance to the extent it is used in a research laboratory or a hospital or other medical facility under the direct supervision of a technically qualified individual.
(5) Any substance to the extent it is used in routine agricultural operations or is a fertilizer held for sale by a retailer to the ultimate customer. -SOURCE-(Pub. L. 99-499, title
III, Sec. 311, Oct. 17, 1986, 100 Stat. 1736.) -REFTEXTREFERENCES IN TEXT The Occupational Safety and Health Act of 1970, referred to in subsecs. (a)(1), (2)(A)(i), (B) and (d)(1)(B),
is Pub. L. 91-596, Dec. 29, 1970, 84 Stat. 1590, as amended, which is classified principally to chapter 15 (Sec. 651 et seq.) of Title 29, Labor. For complete classification of this
Act to the Code, see Short Title note set out under section 651 of Title 29 and Tables. -End--CITE-42 USC Sec. 11022 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER
116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER II -REPORTING REQUIREMENTS -HEADSec. HEADSec. 11022. Emergency and hazardous chemical inventory forms -STATUTE-(a) Basic
requirement (1) The owner or operator of any facility which is required to prepare or have available a material safety data sheet for a hazardous chemical under the Occupational Safety
and Health Act of 1970 [29 U.S.C. 651 et seq.] and regulations promulgated under that Act shall prepare and submit an emergency and hazardous chemical inventory form (hereafter in this
chapter referred to as an "inventory form") to each of the following: (A) The appropriate local emergency planning committee. (B) The State emergency response commission. (C) The fire
department with jurisdiction over the facility. (2) The inventory form containing tier I information (as described in subsection (d)(1) of this section) shall be submitted on or before
March 1, 1988, and annually thereafter on March 1, and shall contain data with respect to the preceding calendar year. The preceding sentence does not apply if an owner or operator provides,
by the same deadline and with respect to the same calendar year, tier II information (as described in subsection (d)(2) of this section) to the recipients described in paragraph (1).
(3) An owner or operator may meet the requirements of this section with respect to a hazardous chemical which is a mixture by doing one of the following: (A) Providing information on
the inventory form on each element or compound in the mixture which is a hazardous chemical. If more than one mixture has the same element or compound, only one listing on the inventory
form for the element or compound at the Page 13
42 usc 116.txt facility is necessary. (B) Providing information on the inventory form on the mixture itself. (b) Thresholds The Administrator may establish threshold quantities for hazardous
chemicals covered by this section below which no facility shall be subject to the provisions of this section. The threshold quantities may, in the Administrator's discretion, be based
on classes of chemicals or categories of facilities. (c) Hazardous chemicals covered A hazardous chemical subject to the requirements of this section is any hazardous chemical for which
a material safety data sheet or a listing is required under section 11021 of this title. (d) Contents of form (1) Tier I information (A) Aggregate information by category An inventory
form shall provide the information described in subparagraph (B) in aggregate terms for hazardous chemicals in categories of health and physical hazards as set forth under the Occupational
Safety and Health Act of 1970 [29 U.S.C. 651 et seq.] and regulations promulgated under that Act. (B) Required information The information referred to in subparagraph (A) is the following:
(i) An estimate (in ranges) of the maximum amount of hazardous chemicals in each category present at the facility at any time during the preceding calendar year. (ii) An estimate (in
ranges) of the average daily amount of hazardous chemicals in each category present at the facility during the preceding calendar year. (iii) The general location of hazardous chemicals
in each category. (C) Modifications For purposes of reporting information under this paragraph, the Administrator may -(i) modify the categories of health and physical hazards as set
forth under the Occupational Safety and Health Act of 1970 [29 U.S.C. 651 et seq.] and regulations promulgated under that Act by requiring information to be reported in terms of groups
of hazardous chemicals which present similar hazards in an emergency, or (ii) require reporting on individual hazardous chemicals of special concern to emergency response personnel.
(2) 2) Tier II information An inventory form shall provide the following additional information for each hazardous chemical present at the facility, but only upon request and in accordance
with subsection (e) of this section: (A) The chemical name or the common name of the chemical as provided on the material safety data sheet. (B) An estimate (in ranges) of the maximum
amount of the hazardous chemical present at the facility at any time during the preceding calendar year. (C) An estimate (in ranges) of the average daily amount of the hazardous chemical
present at the facility during the preceding calendar year. (D) A brief description of the manner of storage of the hazardous chemical. (E) The location at the facility of the hazardous
chemical. (F) An indication of whether the owner elects to withhold location information of a specific hazardous chemical from disclosure to the public under section 11044 of this title.
(e) Availability of tier II information Page 14
42 usc 116.txt (1) Availability to State commissions, local committees, and fire departments Upon request by a State emergency planning commission, a local emergency planning committee,
or a fire department with jurisdiction over the facility, the owner or operator of a facility shall provide tier II information, as described in subsection (d) of this section, to the
person making the request. Any such request shall be with respect to a specific facility. (2) Availability to other State and local officials A State or local official acting in his
or her official capacity may have access to tier II information by submitting a request to the State emergency response commission or the local emergency planning committee. Upon receipt
of a request for tier II information, the State commission or local committee shall, pursuant to paragraph (1), request the facility owner or operator for the tier II information and
make available such information to the official. (3) Availability to public (A) In general Any person may request a State emergency response commission or local emergency planning committee
for tier II information relating to the preceding calendar year with respect to a facility. Any such request shall be in writing and shall be with respect to a specific facility. (B)
Automatic provision of information to public Any tier II information which a State emergency response commission or local emergency planning committee has in its possession shall be
made available to a person making a request under this paragraph in accordance with section 11044 of this title. If the State emergency response commission or local emergency planning
committee does not have the tier II information in its possession, upon a request for tier II information the State emergency response commission or local emergency planning committee
shall, pursuant to paragraph (1), request the facility owner or operator for tier II information with respect to a hazardous chemical which a facility has stored in an amount in excess
of 10,000 pounds present at the facility at any time during the preceding calendar year and make such information available in accordance with section 11044 of this title to the person
making the request. (C) Discretionary provision of information to public In the case of tier II information which is not in the possession of a State emergency response commission or
local emergency planning committee and which is with respect to a hazardous chemical which a facility has stored in an amount less than 10,000 pounds present at the facility at any time
during the preceding calendar year, a request from a person must include the general need for the information. The State emergency response commission or local emergency planning committee
may, pursuant to paragraph (1), request the facility owner or operator for the tier II information on behalf of the person making the request. Upon receipt of any information requested
on behalf of such person, the State emergency response commission or local emergency planning committee shall make the information available in accordance with section 11044 of this
title to the person. (D) Response in 45 days A State emergency response commission or local emergency planning committee shall respond to a request for tier II information under this
paragraph no later than 45 days after the date of receipt of the request. (f) Fire department access Upon request to an owner or operator of a facility which files an Page 15
42 usc 116.txt inventory form under this section by the fire department with jurisdiction over the facility, the owner or operator of the facility shall allow the fire department to
conduct an on-site inspection of the facility and shall provide to the fire department specific location information on hazardous chemicals at the facility. (g) Format of forms The Administrator
shall publish a uniform format for inventory forms within three months after October 17, 1986. If the Administrator does not publish such forms, owners and operators of facilities subject
to the requirements of this section shall provide the information required under this section by letter. -SOURCE-(Pub. L. 99-499, title III, Sec. 312, Oct. 17, 1986, 100 Stat. 1738.)
-REFTEXTREFERENCES IN TEXT The Occupational Safety and Health Act of 1970, referred to in subsecs. (a)(1) and (d)(1)(A), (C)(i), is Pub. L. 91-596, Dec. 29, 1970, 84 Stat. 1590, as amended,
which is classified principally to chapter 15 (Sec. 651 et seq.) of Title 29, Labor. Labor. For complete classification of this Act to the Code, see Short Title note set out under section
651 of Title 29 and Tables. -End--CITE-42 USC Sec. 11023 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER
II -REPORTING REQUIREMENTS -HEADSec. 11023. Toxic chemical release forms -STATUTE-(a) Basic requirement The owner or operator of a facility subject to the requirements of this section
shall complete a toxic chemical release form as published under subsection (g) of this section for each toxic chemical listed under subsection (c) of this section that was manufactured,
processed, or otherwise used in quantities exceeding the toxic chemical threshold quantity established by subsection (f) of this section during the preceding calendar year at such facility.
Such form shall be submitted to the Administrator and to an official or officials of the State designated by the Governor on or before July 1, 1988, and annually thereafter thereafter
on July 1 and shall contain data reflecting releases during the preceding calendar year. (b) Covered owners and operators of facilities (1) In general (A) The requirements of this section
shall apply to owners and operators of facilities that have 10 or more full-time employees and that are in Standard Industrial Classification Codes 20 through 39 (as in effect on July
1, 1985) and that manufactured, processed, or otherwise used a toxic chemical listed under subsection (c) of this section in excess of the quantity of that Page 16
42 usc 116.txt toxic chemical established under subsection (f) of this section during the calendar year for which a release form is required under this section. (B) The Administrator
may add or delete Standard Industrial Classification Codes for purposes of subparagraph (A), but only to the extent necessary to provide that each Standard Industrial Code to which this
section applies is relevant to the purposes of this section. (C) For purposes of this section -(i) The term "manufacture" means to produce, prepare, import, or compound a toxic chemical.
(ii) The term "process" means the preparation of a toxic chemical, after its manufacture, for distribution in commerce -(I) in the same form or physical state as, or in a different form
or physical state from, that in which it was received by the person so preparing such chemical, or (II) as part of an article containing the toxic chemical. (2) Discretionary application
to additional facilities The Administrator, on his own motion or at the request of a Governor Governor of a State (with regard to facilities located in that State), may apply the requirements
of this section to the owners and operators of any particular facility that manufactures, processes, or otherwise uses a toxic chemical listed under subsection (c) of this section if
the Administrator determines that such action is warranted on the basis of toxicity of the toxic chemical, proximity to other facilities that release the toxic chemical or to population
centers, the history of releases of such chemical at such facility, or such other factors as the Administrator deems appropriate. (c) Toxic chemicals covered The toxic chemicals subject
to the requirements of this section are those chemicals on the list in Committee Print Number 99-169 of the Senate Committee on Environment and Public Works, titled "Toxic Chemicals
Subject to Section 313 of the Emergency Planning and Community Right-To-Know Act of 1986" [42 U.S.C. 11023] (including any revised version of the list as may be made pursuant to subsection
(d) or (e) of this section). (d) Revisions by Administrator (1) In general The Administrator may by rule add or delete a chemical from the list described in subsection (c) of this section
at any time. (2) Additions A chemical may be added if the Administrator determines, in his judgment, that there is sufficient evidence to establish any one of the following: (A) The
chemical is known to cause or can reasonably be anticipated to cause significant adverse acute human health effects at concentration levels that are reasonably likely to exist beyond
facility site boundaries as a result of continuous, or frequently recurring, releases. (B) The chemical is known to cause or can reasonably be anticipated to cause in humans -(i) cancer
or teratogenic effects, or (ii) serious or irreversible -(I) reproductive dysfunctions, (II) neurological disorders, (III) heritable genetic mutations, or (IV) other chronic health effects.
(C) The chemical is known to cause or can reasonably be anticipated to cause, because of -(i) its toxicity, Page 17
42 usc 116.txt (ii) its toxicity and persistence in the environment, or (iii) its toxicity and tendency to bioaccumulate in the environment, a significant adverse effect on the environment
of sufficient seriousness, in the judgment of the Administrator, to warrant reporting under this section. The number of chemicals included on the list described in subsection (c) of
this section on the basis of the preceding sentence may constitute in the aggregate no more than 25 percent of the total number of chemicals on the list. A determination under this paragraph
shall be based on generally accepted scientific principles or laboratory tests, or appropriately designed and conducted epidemiological or other population studies, available to the
Administrator. (3) Deletions A chemical may be deleted if the Administrator determines there is not sufficient evidence to establish any of the criteria described in paragraph (2). (4)
Effective date Any revision made on or after January 1 and before December 1 of any calendar year shall take effect beginning with the next calendar year. Any revision made on or after
December 1 of any calendar year and before January 1 of the next calender (!1) year shall take effect beginning with the calendar year following such next calendar year. (e) Petitions
(1) In general Any person may petition the Administrator to add or delete a chemical from the list described in subsection (c) of this section on the basis of the criteria in subparagraph
(A) or (B) of subsection (d)(2) of this section. Within 180 days after receipt of a petition, the Administrator shall take one of the following actions: (A) Initiate a rulemaking to
add or delete the chemical to the list, in accordance with subsection (d)(2) or (d)(3) of this section. (B) Publish an explanation of why the petition is denied. (2) Governor petitions
A State Governor may petition the Administrator to add or delete a chemical from the list described in subsection (c) of this section on the basis of the criteria in subparagraph (A),
(B), or ((C) of subsection (d)(2) of this section. In the case of such a petition from a State Governor to delete a chemical, the petition shall be treated in the same manner as a petition
received under paragraph (1) to delete a chemical. In the case of such a petition from a State Governor to add a chemical, the chemical will be added to the list within 180 days after
receipt of the petition, unless the Administrator -(A) initiates a rulemaking to add the chemical to the list, in accordance with subsection (d)(2) of this section, or (B) publishes
an explanation of why the Administrator believes the petition does not meet the requirements of subsection (d)(2) of this section for adding a chemical to the list. (f) Threshold for
reporting (1) Toxic chemical threshold amount The threshold amounts for purposes of reporting toxic chemicals under this section are as follows: (A) With respect to a toxic chemical
used at a facility, 10,000 pounds of the toxic chemical per year. Page 18
42 usc 116.txt (B) With respect to a toxic chemical manufactured or processed at a facility -(i) For the toxic chemical release form required to be submitted under this section on or
before July 1, 1988, 75,000
pounds of the toxic chemical per year. (ii) For the form required to be submitted on or before July 1, 1989, 50,000 pounds of the toxic chemical per year. (iii) For the form required
to be submitted on or before July 1, 1990, and for each form thereafter, 25,000 pounds of the toxic chemical per year. (2) Revisions The Administrator may establish a threshold amount
for a toxic chemical different from the amount established by paragraph (1). Such revised threshold shall obtain reporting on a substantial majority of total releases of the chemical
at all facilities subject to the requirements of this section. The amounts established under this paragraph may, at the Administrator's discretion, be based on classes of chemicals or
categories of facilities. (g) Form (1) Information required Not later than June 1, 1987, the Administrator shall publish a uniform toxic chemical release form for facilities covered
by this section. If the Administrator does not publish such a form, owners and operators of facilities subject to the requirements of this section shall provide the information required
under this subsection by letter postmarked on or before the date on which the form is due. Such form shall -(A) provide for the name and location of, and principal business activities
at, the facility; (B) include an appropriate certification, signed by a senior official with management responsibility for the person or persons completing the report, regarding the
accuracy and completeness of the report; and (C) provide for submission of each of the following items of information for each listed toxic chemical known to be present at the facility:
(i) Whether the toxic chemical at the facility is manufactured, processed, or otherwise used, and the general category or categories of use of the chemical. (ii) An estimate of the the
maximum amounts (in ranges) of the toxic chemical present at the facility at any time during the preceding calendar year. (iii) For each wastestream, the waste treatment or disposal
methods employed, and an estimate of the treatment efficiency typically achieved by such methods for that wastestream. (iv) The annual quantity of the toxic chemical entering each environmental
medium. (2) Use of available data In order to provide the information required under this section, the owner or operator of a facility may use readily available data (including monitoring
data) collected pursuant to other provisions of law, or, where such data are not readily available, reasonable estimates of the amounts involved. Nothing in this section requires the
monitoring or measurement of the quantities, concentration, or frequency of any toxic chemical released into the environment beyond that monitoring and measurement required under other
provisions of law or regulation. In order to assure consistency, the Administrator shall require that data be expressed in common units. (h) Use of release form The release forms required
under this section are intended to provide information to the Federal, State, and local governments Page 19
42 usc 116.txt and the public, including citizens of communities surrounding covered facilities. The release form shall be available, consistent with section 11044(a) of this title,
to inform persons about releases of toxic chemicals to the environment; to assist governmental agencies, researchers, and other persons in the conduct of research and data gathering;
to aid in the development of appropriate regulations, guidelines, and standards; and for other similar purposes. (i) Modifications in reporting frequency (1) In general The Administrator
may modify the frequency of submitting a report under this section, but the Administrator may not modify the frequency to be any more often than annually. A modification may apply, either
nationally or in a specific geographic area, to the following: (A) All toxic chemical release forms required under this section. (B) A class of toxic chemicals or a category of facilities.
(C) A specific toxic chemical. (D) A specific facility. (2) Requirements A modification may be made under paragraph (1) only if the Administrator -(A) makes a finding that the modification
is consistent with the provisions of subsection (h) of this section, based on -(i) experience from previously submitted toxic chemical release forms, and (ii) determinations made under
paragraph (3), and (B) the finding is made by a rulemaking in accordance with section 553 of title 5. (3) Determinations The Administrator shall make the following determinations with
respect to a proposed modification before making a modification under paragraph (1): (A) The extent to which information relating to the proposed modification provided on the toxic chemical
release forms has been used by the Administrator or other agencies of the Federal Government, States, local governments, health professionals, and the public. (B) The extent to which
the information is (i) readily available to potential users from other sources, such as State reporting programs, and (ii) provided to the Administrator under another Federal law or
through a State program. (C) The extent to which the modification would impose additional and unreasonable burdens on facilities subject to the reporting requirements under this section.
(4) 5-year review Any modification made under this subsection shall be reviewed at least once every 5 years. Such review shall examine the modification and ensure that the requirements
of paragraphs (2) and (3) still justify continuation of the modification. Any change to a modification reviewed under this paragraph shall be made in accordance with this subsection.
(5) Notification to Congress The Administrator shall notify Congress of an intention to initiate a rulemaking for a modification under this subsection. After such notification, the Administrator
shall delay initiation of the rulemaking for at least 12 months, but no more than 24 months, after the date of such notification. (6) Judicial review In any judicial review of a rulemaking
which establishes a modification under this subsection, a court may hold unlawful and Page 20
42 usc 116.txt set aside agency action, findings, and conclusions found to be unsupported by substantial evidence. (7) Applicability A modification under this subsection may apply to
a calendar year or other reporting period beginning no earlier than January 1, 1993. (8) Effective date Any modification made on or after January 1 and before December 1 of any calendar
year shall take effect beginning with the next calendar year. Any modification made on or after December 1 of any calendar year and before January 1 of the next calendar year shall take
effect beginning with the calendar year following such next calendar year. (j) EPA management of data The Administrator shall establish and maintain in a computer data base a national
toxic chemical inventory based on data submitted to the Administrator under this section. The Administrator shall make these data accessible by computer telecommunication and other means
to any person on a cost reimbursable basis. (k) Report Not later than June 30, 1991, the Comptroller General, in consultation with the Administrator and appropriate officials in the
States, shall submit to the Congress a report including each of the following: (1) A description of the steps taken by the Administrator and the States to implement the requirements
of this section, including steps taken to make information collected under this section available to and accessible by the public. (2) A description of the extent to which the information
collected under this section has been used by the Environmental Protection Agency, other Federal agencies, the States, and the public, and the purposes for which the information has
been used. (3) An identification and evaluation of options for modifications to the requirements of this section for the purpose of making information collected under this section more
useful. (l) Mass balance study (1) In general The Administrator shall arrange for a mass balance study to be carried out by the National Academy of Sciences using mass balance information
collected by by the Administrator under paragraph (3). The Administrator shall submit to Congress a report on such study no later than 5 years after October 17, 1986. (2) Purposes The
purposes of the study are as follows: (A) To assess the value of mass balance analysis in determining the accuracy of information on toxic chemical releases. (B) To assess the value
of obtaining mass balance information, or portions thereof, to determine the waste reduction efficiency of different facilities, or categories of facilities, including the effectiveness
of toxic chemical regulations promulgated under laws other than this chapter. (C) To assess the utility of such information for evaluating toxic chemical management practices at facilities,
or categories of facilities, covered by this section. (D) To determine the implications of mass balance information collection on a national scale similar to the mass balance information
collection carried out by the Administrator under paragraph (3), including implications of the use of such such collection as part of a national annual quantity toxic chemical release
program. (3) Information collection Page 21
42 usc 116.txt (A) The Administrator shall acquire available mass balance information from States which currently conduct (or during the 5 years after October 17, 1986 initiate) a mass
balance-oriented annual quantity toxic chemical release program. If information from such States provides an inadequate representation of industry classes and categories to carry out
the purposes of the study, the Administrator also may acquire mass balance information necessary for the study from a representative number of facilities in other States. (B) Any information
acquired under this section shall be available to the public, except that upon a showing satisfactory to the Administrator by any person that the information (or a particular part thereof)
to which the Administrator or any officer, employee, or representative has access under this section if made public would divulge information entitled to protection under section 1905
of title 18, such information or part shall be considered confidential in accordance with the purposes of that section, except that such information or part may be disclosed to other
officers, employees, or authorized representatives of the United States concerned with carrying out this section. (C) The Administrator may promulgate regulations prescribing procedures
for collecting mass balance information under this paragraph. (D) For purposes of collecting mass balance information under subparagraph (A), the Administrator may require the submission
of information by a State or facility. (4) Mass balance definition For purposes of this subsection, the term "mass balance" means an accumulation of the annual quantities of chemicals
transported to a facility, produced at a facility, consumed at a facility, used at a facility, accumulated at a facility, released from a facility, and transported from a facility as
a waste or as a commercial product or byproduct or component of a commercial product or byproduct. -SOURCE-(Pub. L. 99-499, title III, Sec. 313, Oct. 17, 1986, 100 Stat. 1741.) -EXECEXPEDITING
COMMUNITY RIGHT-TO-KNOW INITIATIVES Memorandum of President of the United States, Aug. 8, 1995, 60 F.R. 41791, provided: Memorandum for the Administrator of the Environmental Protection
Agency and the Heads of Executive Departments and Agencies The Emergency Planning and Community Right-to-Know Act of 1986 (42 U.S.C. 11001-11050) ("EPCRA") and the Pollution Prevention
Act of 1990 (42 U.S.C. 13101-13109) provide an innovative approach to protecting public health and the environment by ensuring that communities are informed about the toxic chemicals
being released into the air, land, and water by manufacturing facilities. I am committed to the effective implementation of this law, because Community Right-to-Know protections provide
a basic informational tool to encourage informed community-based environmental decision making and provide a strong incentive for businesses to find their own ways of preventing pollution.
The laws provide the Environmental Protection Agency with substantial authority to add to the Toxics Release Inventory under EPCRA: (1) new chemicals; (2) new classes of industrial facilities;
and (3) additional types of information concerning toxic chemical use at facilities. Community Right-to-Know should be enhanced Page 22
42 usc 116.txt wherever possible as appropriate. EPA currently is engaged in an ongoing process to address potential facility expansion and the collection of use information. I am committed
to a full and open process on the policy issues posed by EPA's exercise of these authorities. So that consideration of these issues can be fully accomplished during this Administration,
I am directing the Administrator of the Environmental Protection Agency, in consultation with the Office of Management and Budget and appropriate Federal agencies with applicable technical
and functional expertise, as necessary, to take the following actions: (a) Continuation on an expedited basis of the public notice and comment rulemaking proceedings to consider whether,
as appropriate and consistent with section 313(b) of EPCRA, 42 U.S.C. 11023(b), to add to the list of Standard Industrial Classification ("SIC") Code designations of 20 through 39 (as
in effect on July 1, 1985). For SIC Code designations, see "Standard Industrial Classification Manual" published by the Office of Management and Budget. EPA shall complete the rulemaking
process on an accelerated schedule. (b) Development and implementation of an expedited, open, and transparent process for consideration of reporting under EPCRA on information on the
use of toxic chemicals at facilities, including information on mass balance, materials accounting, or other chemical use date [data], pursuant to section 313(b)(1)(A) of EPCRA, 42 U.S.C.
11023(b)(1)(A). EPA shall report on the progress of this effort by October 1, 1995, with a goal of obtaining sufficient information to be able to make informed judgments concerning implementation
of any appropriate program. These actions should continue unless specifically prohibited by law. The head of each executive department or agency shall assist the Environmental Protection
Agency in implementing this directive as quickly as possible. This directive is for the internal management of the executive branch and does not create any right or benefit, substantive
or procedural, enforceable by any party against the United States, its agencies or instrumentalities, its officers or employees, or any person. The Director of the Office of Management
and Budget is authorized and directed to publish this Memorandum in the Federal Register. William J. Clinton. -FOOTNOTE-(!1) So in original. Probably should be "calendar". -End--CITE-42
USC SUBCHAPTER III -GENERAL PROVISIONS 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL
PROVISIONS -HEADSUBCHAPTER III -GENERAL PROVISIONS -End-Page 23
42 usc 116.txt -CITE-42 USC Sec. 11041 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL
PROVISIONS -HEADSec. 11041. Relationship to other law -STATUTE-(a) In general Nothing in this chapter shall -(1) preempt any State or local law, (2) except as provided in subsection
(b) of this section, otherwise affect any State or local law or the authority of any State or local government to adopt or enforce any State or local law, or (3) affect or modify in
any way the obligations or liabilities of any person under other Federal law. (b) Effect on MSDS requirements Any State or local law enacted after August 1, 1985, which requires the
submission of a material safety data sheet from facility owners or operators shall require that the data sheet be identical in content and format to the data sheet required under subsection
(a) of section 11021 of this title. In addition, a State or locality may require the submission of information which is supplemental to the information required on the data sheet (including
information on the location and quantity of hazardous chemicals present at the facility), through additional sheets attached to the data sheet or such other means as the State or locality
considers appropriate. -SOURCE-(Pub. L. 99-499, title III, Sec. 321, Oct. 17, 1986, 100 Stat. 1747.) -End--CITE-42 USC Sec. 11042 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE
CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL PROVISIONS -HEADSec. 11042. Trade secrets -STATUTE-(a) Authority to withhold information (1) General
authority (A) With regard to a hazardous chemical, an extremely hazardous substance, or a toxic chemical, any person required under section 11003(d)(2), 11003(d)(3), 11021, 11022, or
11023 of this title to submit information to any other person may withhold from such submittal the specific chemical identity (including the chemical name and other specific identification),
as defined in regulations prescribed by the Administrator under subsection (c) Page 24
42 usc 116.txt of this section, if the person complies with paragraph (2). (B) Any person withholding the specific chemical identity shall, in the place on the submittal where the chemical
identity would normally be included, include the generic class or category of the hazardous chemical, extremely hazardous substance, or toxic chemical (as the case may be). (2) Requirements
(A) A person is entitled to withhold information under paragraph (1) if such person -(i) claims that such information is a trade secret, on the basis of the factors enumerated in subsection
(b) of this section, (ii) includes in the submittal referred to in paragraph (1) an explanation of the reasons why such information is claimed to be a trade secret, based on the factors
enumerated in subsection (b) of this section, including a specific description of why such factors apply, and (iii) submits to the Administrator a copy of such submittal, and the information
withheld from such submittal. (B) In submitting to the Administrator the information required by subparagraph (A)(iii), a person withholding information under this subsection may -(i)
designate, in writing and in such manner as the Administrator may prescribe by regulation, the information which such person believes is entitled to be withheld under paragraph (1),
and (ii) submit such designated information separately from other information submitted under this subsection. (3) Limitation The authority under this subsection to withhold information
shall not apply to information which the Administrator has determined, in accordance with subsection (c) of this section, is not a trade secret. (b) Trade secret factors No person required
to provide information under this chapter may claim that the information is entitled to protection as a trade secret under subsection (a) of this section unless such person shows each
of the following: (1) Such person has not disclosed the information to any other person, other than a member of a local emergency planning committee, an officer or employee of the United
States or a State or local government, an employee of such person, or a person who is bound by a confidentiality agreement, and such person has taken reasonable measures to protect the
confidentiality of such information and intends to continue to take such measures. (2) The information is not required to be disclosed, or otherwise made available, to the public under
any other Federal or State law. (3) Disclosure of the information is likely to cause substantial harm to the competitive position of such person. (4) The chemical identity is not readily
discoverable through reverse engineering. (c) Trade secret regulations As soon as practicable after October 17, 1986, the Administrator shall prescribe regulations to implement this
section. With respect to subsection (b)(4) of this section, such regulations shall be equivalent to comparable provisions in the Occupational Safety and Health Administration Hazard
Communication Standard (29 C.F.R. 1910.1200) and any revisions of such standard prescribed by the Secretary of Labor in accordance with the final ruling of the courts of the United States
in United Steelworkers of America, AFLCIO-CLC v. Thorne G. Auchter. Page 25
42 usc 116.txt (d) Petition for review (1) In general Any person may petition the Administrator for the disclosure of the specific chemical identity of a hazardous chemical, an extremely
hazardous substance, or a toxic chemical which is claimed as a trade secret under this section. The Administrator may, in the absence of a petition under this paragraph, initiate a determination,
to be carried out in accordance with this subsection, as to whether information withheld constitutes a trade secret. (2) Initial review Within 30 days after the date of receipt of a
petition under paragraph (1) (or upon the Administrator's initiative), the Administrator shall review the explanation filed by a trade secret claimant under subsection (a)(2) of this
section and determine whether the explanation presents assertions which, if true, are sufficient to support a finding that the specific chemical identity is a trade secret. (3) Finding
of sufficient assertions (A) If the Administrator determines pursuant to paragraph (2) that the explanation presents sufficient assertions to support a finding that the specific chemical
identity is a trade secret, the Administrator shall notify the trade secret claimant that he has 30 days to supplement the explanation with detailed information to support the assertions.
(B) If the Administrator determines, after receipt of any supplemental supporting detailed information under subparagraph (A), that the assertions in the explanation are true and that
the specific chemical identity is a trade secret, the Administrator shall so notify the petitioner and the petitioner may seek judicial review of the determination. (C) If the Administrator
determines, after receipt of any supplemental supporting detailed information under subparagraph (A), that the assertions in the explanation are not true and that the specific chemical
identity is not a trade secret, the Administrator shall notify the trade secret claimant that the Administrator intends to release the specific chemical identity. The trade secret claimant
has 30 days in which he may appeal the Administrator's determination under this subparagraph to the Administrator. If the Administrator does not reverse his determination under this
subparagraph in such an appeal by the trade secret claimant, the trade secret claimaint (!1) may seek judicial review of the determination. (4) Finding of insufficient assertions (A)
If the Administrator determines pursuant to paragraph (2) that the explanation presents insufficient assertions to support a finding that the specific chemical identity is a trade secret,
the Administrator shall notify the trade secret claimant that he has 30 days to appeal the determination to the Administrator, or, upon a showing of good cause, amend the original explanation
by providing supplementary assertions to support the trade secret claim. (B) If the Administrator does not reverse his determination under subparagraph (A) after an appeal or an examination
of any supplementary assertions under subparagraph (A), the Administrator shall so notify the trade secret claimant and the trade secret claimant may seek judicial review of the determination.
(C) If the Administrator reverses his determination under subparagraph (A) after an appeal or an examination of any supplementary assertions under subparagraph (A), the procedures under
paragraph (3) of this subsection apply. Page 26
42 usc 116.txt (e) Exception for information provided to health professionals Nothing in this section, or regulations adopted pursuant to this section, shall authorize any person to
withhold information which is required to be provided to a health professional, a doctor, or a nurse in accordance with section 11043 of this title. (f) Providing information to Administrator;
availability to public Any information submitted to the Administrator under subsection (a)(2) of this section or subsection (d)(3) of this section (except a specific chemical identity)
shall be available to the public, except that upon a showing satisfactory to the Administrator by any person that the information (or a particular part thereof) to which the Administrator
has access under this section if made public would divulge information entitled to protection under section 1905 of title 18, such information or part shall be considered confidential
in accordance with the purposes of that section, except that such information or part may be disclosed to other officers, employees, or authorized representatives of the United States
concerned with carrying out this chapter. (g) Information provided to State Upon request by a State, acting through the Governor of the State, the Administrator shall provide to the
State any information obtained under subsection (a)(2) of this section and subsection (d)(3) of this section. (h) Information on adverse effects (1) In any case in which the identity
of a hazardous chemical or an extremely hazardous substance is claimed as a trade secret, the Governor or State emergency response commission established under section 11001 of this
title shall identify the adverse health effects associated with the hazardous chemical or extremely hazardous substance and shall assure that such information is provided to any person
requesting information about such hazardous chemical or extremely hazardous substance. (2) In any case in which the identity of a toxic chemical is claimed as a trade secret, the Administrator
shall identify the adverse health and environmental effects associated with the toxic chemical and shall assure that such information is included in the computer database required by
section 11023(j) of this title and is provided to any person requesting information about such toxic chemical. (i) Information provided to Congress Notwithstanding any limitatio (!2)
contained in this section or any other provision of law, all information reported to or otherwise obtained by the Administrator (or any representative of the Administrator) under this
chapter shall be made available to a duly authorized committee of the Congress upon written request by such a committee. -SOURCE-(Pub. L. 99-499, title III, Sec. 322, Oct. 17, 1986,
100 Stat. 1747.) -FOOTNOTE-(!1) So in original. Probably should be "claimant". (!2) So in original. Probably should be "limitation". -End--CITEPage 27
42 usc 116.txt 42 USC Sec. 11043 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL PROVISIONS
-HEADSec. 11043. Provision of information to health professionals, doctors, and nurses -STATUTE-(a) Diagnosis or treatment by health professional An owner or operator of a facility which
is subject to the requirements of section 11021, 11022, or 11023 of this title shall provide the specific chemical identity, if known, of a hazardous chemical, extremely hazardous substance,
or a toxic chemical to any health professional who requests such information in writing if the health professional provides a written statement of need under this subsection and a written
confidentiality agreement under subsection (d) of this section. The written statement of need shall be a statement that the health professional has a reasonable basis to suspect that
-(1) the information is needed for purposes of diagnosis or treatment of an individual, (2) the individual or individuals being diagnosed or treated have been exposed to the chemical
concerned, and (3) knowledge of the specific chemical identity of such chemical will assist in diagnosis or treatment. Following such a written request, the owner or operator to whom
such request is made shall promptly provide the requested information to the health professional. The authority to withhold the specific chemical identity of a chemical under section
11042 of this title when such information is a trade secret shall not apply to information required to be provided under this subsection, subject to the provisions of subsection (d)
of this section. (b) Medical emergency An owner
or operator of a facility which is subject to the requirements of section 11021, 11022, or 11023 of this title shall provide a copy of a material safety data sheet, an inventory form,
or a toxic chemical release form, including the specific chemical identity, if known, of a hazardous chemical, extremely hazardous substance, or a a toxic chemical, to any treating physician
or nurse who requests such information if such physician or nurse determines that -(1) a medical emergency exists, (2) the specific chemical identity of the chemical concerned is necessary
for or will assist in emergency or first-aid diagnosis or treatment, and (3) the individual or individuals being diagnosed or treated have been exposed to the chemical concerned. Immediately
following such a request, the owner or operator to whom such request is made shall provide the requested information to the physician or nurse. The authority to withhold the specific
chemical identity of a chemical from a material safety data sheet, an inventory form, or a toxic chemical release form under section 11042 of this title when such information is a trade
secret shall not apply to information required to be provided to a treating physician or nurse under this subsection. No written confidentiality agreement or statement of need shall
be required as a precondition of such disclosure, but the owner or operator Page 28
42 usc 116.txt disclosing such information may require a written confidentiality agreement in accordance with subsection (d) of this section and a statement setting forth the items listed
in paragraphs (1) through (3) as soon as circumstances permit. (c) Preventive measures by local health professionals (1) Provision of information An owner or operator of a facility subject
to the requirements of section 11021, 11022, or 11023 of this title shall provide the specific chemical identity, if known, of a hazardous chemical, an extremely hazardous substance,
or a toxic chemical to any health professional (such as a physician, toxicologist, or epidemiologist) -(A) who is a local government employee or a person under contract with the local
government, and (B) who requests such information in writing and provides a written statement of need under paragraph (2) and a written confidentiality agreement under subsection (d)
of this section. Following such a written request, the owner or operator to whom such request is made shall promptly provide the requested information to the local health professional.
The authority to withhold the specific chemical identity of a chemical under section 11042 of this title when such information is a trade secret shall not apply to information required
to be provided under this subsection, subject to the provisions of subsection (d) of this section. (2) Written statement of need The written statement of need shall be a statement that
describes with reasonable detail one or more of the following health needs for the information: (A) To assess exposure of persons living in a local community to the hazards of the chemical
concerned. (B) To conduct or assess sampling to determine exposure levels of various population groups. (C) To conduct periodic medical surveillance of exposed population groups. (D)
To provide medical treatment to exposed individuals or population groups. (E) To conduct studies to determine the health effects of exposure. (F) To conduct studies to aid in the identification
of a chemical that may reasonably be anticipated to cause an observed health effect. (d) Confidentiality agreement Any person obtaining information under subsection (a) or (c) of this
section shall, in accordance with such subsection (a) or (c) of this section, be required to agree in a written confidentiality agreement that he will not use the information for any
purpose other than the health needs asserted in the statement of need, except as may otherwise be authorized by the terms of the agreement or by the person providing such information.
Nothing in this subsection shall preclude the parties to a confidentiality agreement from pursuing any remedies to the extent permitted by law. (e) Regulations As soon as practicable
after October 17, 1986, the Administrator shall promulgate regulations describing criteria and parameters for the statement of need under subsection (!1) (a) and (c) of this section
and the confidentiality agreement under subsection (d) of this section. -SOURCEPage 29
42 usc 116.txt (Pub. L. 99-499, title III, Sec. 323, Oct. 17, 1986, 100 Stat. 1750.) -FOOTNOTE-(!1) So in original. Probably should be "subsections". -End--CITE-42 USC Sec. 11044 01/05/2009
-EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL PROVISIONS -HEADSec. 11044. Public availability of
plans, data sheets, forms, and followup notices -STATUTE-(a) Availability to public Each emergency response plan, material safety data sheet, list described in section 11021(a)(2) of
this title, inventory form, toxic chemical release form, and followup emergency notice shall be made available to the general public, consistent with section 11042 of this title, during
normal working hours at the location or locations designated by the Administrator, Governor, State emergency response commission, or local emergency planning committee, as appropriate.
Upon request by an owner or operator of a facility subject to the requirements of section 11022 11022 of this title, the State emergency response commission and the appropriate local
emergency planning committee shall withhold from disclosure under this section the location of any specific chemical required by section 11022(d)(2) of this title to be contained in
an inventory form as tier II information. (b) Notice of public availability Each local emergency planning committee shall annually publish a notice in local newspapers that the emergency
response plan, material safety data sheets, and inventory forms have been submitted under this section. The notice shall state that followup emergency notices may subsequently be issued.
Such notice shall announce that members of the public who wish to review any such plan, sheet, form, or followup notice may do so at the location designated under subsection (a) of this
section. -SOURCE-(Pub. L. 99-499, title III, Sec. 324, Oct. 17, 1986, 100 Stat. 1752.) -End--CITE-42 USC Sec. 11045 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER
116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW Page 30
42 usc 116.txt SUBCHAPTER III -GENERAL PROVISIONS -HEADSec. 11045. Enforcement -STATUTE-(a) Civil penalties for emergency planning The Administrator may order a facility owner or operator
(except an owner or operator of a facility designated under section 11002(b)(2) of this title) to comply with section 11002(c) of this title and section 11003(d) of this title. The United
States district court for the district in which the facility is located shall have jurisdiction to enforce the order, and any person who violates or fails to obey such an order shall
be liable to the United States for a civil penalty of not more than $25,000 for each day in which such violation occurs or such failure to comply continues. (b) Civil, administrative,
and criminal penalties for emergency notification (1) Class I administrative penalty (A) A civil penalty of not more than $25,000 per violation may be assessed by the Administrator in
the case of a violation of the requirements of section 11004 of this title. (B) No civil penalty may be assessed under this subsection unless the person accused of the violation is given
notice and opportunity for a hearing with respect to the violation. (C) In determining the amount of any penalty assessed pursuant to this subsection, the Administrator shall take into
account the nature, circumstances, extent and gravity of the violation or violations and, with respect to the violator, ability to pay, any prior history of such violations, the degree
of culpability, economic benefit or savings (if any) resulting from the violation, and such other matters as justice may require. (2) Class II administrative penalty A civil penalty
of not more than $25,000 per day for each day during which the violation continues may be assessed by the Administrator in the case of a violation of the requirements of section 11004
of this title. In the case of a second or subsequent violation the amount of such penalty may be not more than $75,000 for each day during which the violation continues. Any civil penalty
under this subsection shall be assessed and collected in the same manner, and subject to the same provisions, as in the case of civil penalties assessed and collected under section 2615
of title 15. In any proceeding for the assessment of a civil penalty under this subsection the Administrator may issue subpoenas for the attendance and testimony of witnesses and the
production of relevant papers, books, and documents and may promulgate rules for discovery procedures. (3) Judicial assessment The Administrator may bring an action in the United States
District (!1) court for the appropriate district to assess and collect a penalty of not more than $25,000 per day for each day during which the violation continues in the case of a violation
of the requirements of section 11004 of this title. In the case of a second or subsequent violation, the amount of such penalty may be not more than $75,000 for each day during which
the violation continues. (4) Criminal penalties Any person who knowingly and willfully fails to provide notice in accordance with section 11004 of this title shall, upon conviction,
be fined not more than $25,000 or imprisoned for not more than two years, or both (or in the case of a second or Page 31
42 usc 116.txt subsequent conviction, shall be fined not more than $50,000 or imprisoned for not more than five years, or both). (c) Civil and administrative penalties for reporting
requirements (1) Any person (other than a governmental entity) who violates any requirement of section 11022 or 11023 of this title shall be liable to the United States for a civil penalty
in an amount not to exceed $25,000 for each such violation. (2) Any person (other than a governmental entity) who violates any requirement of section 11021 or 11043(b) of this title,
and any person who fails to furnish to the Administrator information required under section 11042(a)(2) of this title shall be liable to the United States for a civil penalty in an amount
not to exceed $10,000 for each such violation. (3) Each day a violation described in paragraph (1) or (2) continues shall, for purposes of this subsection, constitute a separate violation.
(4) The Administrator may assess any civil penalty for which a person is liable under this subsection by administrative order or may bring an action to assess and collect the penalty
in the United States district court for the district in which the person from whom the penalty is sought resides or in which such person's principal place of business is located. (d)
Civil, administrative, and criminal penalties with respect to trade secrets (1) Civil and administrative penalty for frivolous claims If the Administrator determines -(A)(i) under section
11042(d)(4) of this title that an explanation submitted by a trade secret claimant presents insufficient assertions to support a finding that a specific chemical identity is a trade
secret, or (ii) after receiving supplemental supporting detailed information under section 11042(d)(3)(A) of this title, that the specific chemical identity is not a trade secret; and
(B) that the trade secret claim is frivolous, the trade secret claimant is liable for a penalty of $25,000 per claim. The Administrator may assess the penalty by administrative order
or may bring an action in the appropriate district court of the United States to assess and collect the penalty. (2) Criminal penalty for disclosure of trade secret information Any person
who knowingly and willfully divulges or discloses any information entitled to protection under section 11042 of this title shall, upon conviction, be subject to a fine of not more than
$20,000 or to imprisonment not to exceed one year, or both. (e) Special enforcement provisions for section 11043 Whenever any facility owner or operator required to provide information
under section 11043 of this title to a health professional who has requested such information fails or refuses to provide such information in accordance with such section, such health
professional may bring an action in the appropriate United States district court to require such facility owner or operator to provide the information. Such court shall have jurisdiction
to issue such orders and take such other action as may be necessary to enforce the requirements of section 11043 of this title. (f) Procedures for administrative penalties (1) Any person
against whom a civil penalty is assessed under this section may obtain review thereof in the appropriate district court of the United States by filing a notice of appeal in such court
within 30 days after the date of such order and by simultaneously sending a copy of such notice by certified mail to the Administrator. The Administrator shall promptly file in such
court a certified copy of the record upon which such violation was Page 32
42 usc 116.txt found or such penalty imposed. If any person fails to pay an assessment of a civil penalty after it has become a final and unappealable order or after the appropriate
court has entered final judgment in favor of the United States, the Administrator may request the Attorney General of the United States to institute a civil action in an appropriate
district court of the United States to collect the penalty, and such court shall have jurisdiction to hear and decide any such action. In hearing such action, the court shall have authority
to review the violation and the assessment of the civil penalty on the record. (2) The Administrator may issue subpoenas for the attendance and testimony of witnesses and the production
of relevant papers, books, or documents in connection with hearings under this section. In case of contumacy or refusal to obey a subpoena issued pursuant to this paragraph and served
upon any person, the district court of the United States for any district in which such person is found, resides, or transacts business, upon application by the United States and after
notice to such person, shall have jurisdiction to issue an order requiring such person to appear and give testimony before the administrative law judge or to appear and produce documents
before the administrative law judge, or both, and any failure to obey such order of the court may be punished by such court as a contempt thereof. -SOURCE-(Pub. L. 99-499, title III,
Sec. 325, Oct. 17, 1986, 100 Stat. 1753.) -FOOTNOTE-(!1) So in original. Probably should not be capitalized. -End--CITE-42 USC Sec. 11046 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH
AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL PROVISIONS -HEADSec. 11046. Civil actions -STATUTE-(a) Authority to bring civil actions
(1) Citizen suits Except as provided in subsection (e) of this section, any person may commence a civil action on his own behalf against the following: (A) An owner or operator of a
facility for failure to do any of the following: (i) Submit a followup emergency notice under section 11004(c) of this title. (ii) Submit a material safety data sheet or a list under
section 11021(a) of this title. (iii) Complete and submit an inventory form under section 11022(a) of this title containing tier I information as described in section 11022(d)(1) of
this title unless such requirement does not apply by reason of the second sentence Page 33
42 usc 116.txt of section 11022(a)(2) of this title. (iv) Complete and submit a toxic chemical release form under section 11023(a) of this title. (B) The Administrator for failure to
do any of the following: (i) Publish inventory forms under section 11022(g) of this title. (ii) Respond to a petition to add or delete a chemical under section 11023(e)(1) of this title
within 180 days after receipt of the petition. (iii) Publish a toxic chemical release form under 11023(g) (!1) of this title. (iv) Establish a computer database in accordance with section
11023(j) of this title. (v) Promulgate trade secret regulations under section 11042(c) of this title. (vi) Render a decision in response to a petition under section 11042(d) of this
title within 9 months after receipt of the petition. (C) The Administrator, a State Governor, or a State emergency response commission, for failure to provide a mechanism for public
availability of information in accordance with section 11044(a) of this title. (D) A State Governor or a State emergency response commission for failure to respond to a request for tier
II information under section 11022(e)(3) of this title within 120 days after the date of receipt of the request. (2) State or local suits (A) Any State or local government may commence
a civil action against an owner or operator of a facility for failure to do any of the following: (i) Provide notification to the emergency response commission in the State under section
11002(c) of this title. (ii) Submit a material safety data sheet or a list under section 11021(a) of this title. (iii) Make available information requested under section 11021(c) of
this title. (iv) Complete and submit an inventory form under section 11022(a) of this title containing tier I information unless such requirement does not apply by reason of the second
sentence of section 11022(a)(2) of this title. (B) Any State emergency response commission or local emergency planning committee may commence a civil action against an owner or operator
of a facility facility for failure to provide information under section 11003(d) of this title or for failure to submit tier II information under section 11022(e)(1) of this title. (C)
Any State may commence a civil action against the Administrator for failure to provide information to the State under section 11042(g) of this title. (b) Venue (1) Any action under subsection
(a) of this section against an owner or operator of a facility shall be brought in the district court for the district in which the alleged violation occurred. (2) Any action under subsection
(a) of this section against the Administrator may be brought in the United States District Court for the District of Columbia. (c) Relief The district court shall have jurisdiction in
actions brought under subsection (a) of this section against an owner or operator of a facility to enforce the requirement concerned and to impose Page 34
42 usc 116.txt any civil penalty provided for violation of that requirement. The district court shall have jurisdiction in actions brought under subsection (a) of this section against
the Administrator to order the Administrator to perform the act or duty concerned. (d) Notice (1) No action may be commenced under subsection (a)(1)(A) of this section prior to 60 days
after the plaintiff has given notice of the alleged violation to the Administrator, the State in which the alleged violation occurs, and the alleged violator. Notice under this paragraph
shall be given in such manner as the Administrator shall prescribe by regulation. (2) No action may be commenced under subsection (a)(1)(B) or (a)(1)(C) of this section prior to 60 days
after the date on which the plaintiff gives notice to the Administrator, State Governor, or State emergency response commission (as the case may be) that the plaintiff will commence
the action. Notice under this paragraph shall be given in such manner as the Administrator shall prescribe by regulation. (e) Limitation No action may be commenced under subsection (a)
of this section against an owner or operator of a facility if the Administrator has commenced and is diligently pursuing an administrative order or civil action to enforce the requirement
concerned or to impose a civil penalty under this Act with respect to the violation of the requirement. (f) Costs The court, in issuing any final order in any action brought pursuant
to this section, may award costs of litigation (including reasonable attorney and expert witness fees) to the prevailing or the substantially prevailing party whenever the court determines
such an award is appropriate. The court may, if a temporary restraining order or preliminary injunction is sought, require the filing of a bond or equivalent security in accordance with
the Federal Rules of Civil Procedure. (g) Other rights Nothing in this section shall restrict or expand any right which any person (or class of persons) may have under any Federal or
State statute or common law to seek enforcement of any requirement or to seek any other relief (including relief against the Administrator or a State agency). (h) Intervention (1) By
the United States In any action under this section the United States or the State, or both, if not a party, may intervene as a matter of right. (2) By persons In any action under this
section, any person may intervene as a matter of right when such person has a direct interest which is or may be adversely affected by the action and the disposition of the action may,
as a practical matter, impair or impede the person's ability to protect that interest unless the Administrator or the State shows that the person's interest is adequately represented
by existing parties in the action. -SOURCE-(Pub. L. 99-499, title III, Sec. 326, Oct. 17, 1986, 100 Stat. 1755.) -REFTEXTREFERENCES IN TEXT This Act, referred to in subsec. (e), is Pub.
L. 99-499, Oct. 17, 1986, 100 Stat. 1613, as amended, known as the Superfund Amendments and Reauthorization Act of 1986. For complete classification of Page 35
42 usc 116.txt this Act to the Code, see Short Title of 1986 Amendment note set out under section 9601 of this title and Tables. The Federal Rules of Civil Procedure, referred to in
subsec. (f), are set out in the Appendix to Title 28, Judiciary and Judicial Procedure. -FOOTNOTE-(!1) So in original. Probably should be preceded by "section". -End--CITE-42 USC Sec.
11047 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL PROVISIONS -HEADSec. 11047. Exemption
-STATUTEExcept as provided in section 11004 of this title, this chapter does not apply to the transportation, including the storage incident to such transportation, of any substance
or chemical subject to the requirements of this chapter, including the transportation and distribution of natural gas. -SOURCE-(Pub. L. 99-499, title III, Sec. 327, Oct. 17, 1986, 100
Stat. 1757.) -End--CITE-42 USC Sec. 11048 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL
PROVISIONS -HEADSec. 11048. Regulations -STATUTEThe Administrator may prescribe such regulations as may be necessary to carry out this chapter. -SOURCE-(Pub. L. 99-499, title III, Sec.
328, Oct. 17, 1986, 100 Stat. 1757.) -End-Page 36
42 usc 116.txt -CITE-42 USC Sec. 11049 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III -GENERAL
PROVISIONS -HEADSec. 11049. Definitions -STATUTEFor purposes of this chapter -(1) Administrator The term "Administrator" means the Administrator of the Environmental Protection Agency.
(2) Environment The term "environment" includes water, air, and land and the interrelationship which exists among and between water, air, and land and all living things. (3) Extremely
hazardous substance The term "extremely hazardous substance" means a substance on the list described in section 11002(a)(2) of this title. (4) Facility The term "facility" means all
buildings, equipment, structures, and other stationary items which are located on a single site or on contiguous or adjacent sites and which are owned or operated by the same person
(or by any person which controls, is controlled by, or under common control with, such person). For purposes of section 11004 of this title, the term includes motor vehicles, rolling
stock, and aircraft. (5) Hazardous chemical The term "hazardous chemical" has the meaning given such term by section 11021(e) of this title. (6) Material safety data sheet The term "material
safety data sheet" means the sheet required to be developed under section 1910.1200(g) of title 29 of the Code of Federal Regulations, as that section may be amended from time to time.
(7) Person The term "person" means any individual, trust, firm, joint stock company, corporation (including a government corporation), partnership, association, State, municipality,
commission, political subdivision of a State, or interstate body. (8) Release The term "release" means any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting,
escaping, leaching, dumping, or disposing into the environment (including the abandonment or discarding of barrels, containers, and other closed receptacles) of any hazardous chemical,
extremely hazardous substance, or toxic chemical. (9) State The term "State" means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American
Samoa, the United States Virgin Islands, the Northern Mariana Islands, and any other territory or possession over which the United States has jurisdiction. (10) Toxic chemical The term
"toxic chemical" means a substance on the list described in section 11023(c) of this title. -SOURCE-(Pub. L. 99-499, title III, Sec. 329, Oct. 17, 1986, 100 Stat. Page 37
42 usc 116.txt 1757.) -End--CITE-42 USC Sec. 11050 01/05/2009 -EXPCITETITLE 42 -THE PUBLIC HEALTH AND WELFARE CHAPTER 116 -EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW SUBCHAPTER III
-GENERAL PROVISIONS -HEADSec. 11050. Authorization of appropriations -STATUTEThere are authorized to be appropriated for fiscal years beginning after September 30, 1986, such sums as
may be necessary to carry out this chapter. -SOURCE-(Pub. L. 99-499, title III, Sec. 330, Oct. 17, 1986, 100 Stat. 1758.) -End-Page 38
Chapter 2 10 ASSISTANT CITY MANAGER Sections 2 10 010 Assistant City Manager 2 10 010 Assistant City Manager The City Manager shall appoint an Assistant City Manager who shall serve
as acting City Manager in the absence of the City Manager The Assistant City Manager shall perform such duties by direction of the City Manager or as required by law Ord 1643 S 1 2005
11 14 1 0 2005
Chapter 1 FLOOD DAMAGE PREVENTION 12-1-1: STATUTORY AUTHORIZATION: 12-1-2: FINDINGS OF FACT: 12-1-3: PURPOSE AND OBJECTIVES: 12-1-4: DEFINITIONS: 12-1-5: GENERAL PROVISIONS: 12-1-6:
FLOOD PLAIN ADMINISTRATOR: 12-1-7: DEVELOPMENT PERMIT: 12-1-8: VARIANCE PROCEDURE: 12-1-9: FLOOD HAZARD REDUCTION: 12-1-1: STATUTORY AUTHORIZATION: The Legislature of the State of Montana
has delegated the responsibility to local government units to adopt regulations designed to promote the public health, safety and general welfare of its citizenry. (Ord. 219, 8-7-1990)
12-1-2: FINDINGS OF FACT: A. The flood hazard areas of the City are subject to periodic inundation which results in loss of life and property, health and safety hazards, disruption of
commerce and governmental services, extraordinary public expenditures for flood protection and relief, and impairment of the tax base, all of which adversely affect the public health,
safety and general welfare. B. These flood losses are caused by the cumulative effect of obstructions in areas of special flood hazard which increase flood heights and velocities, and
when inadequately anchored, damage uses in other areas. Uses that are inadequately floodproofed, elevated, or otherwise protected from flood damage also contribute to the flood loss.
(Ord. 219, 8-7-1990) 12-1-3: PURPOSE AND OBJECTIVES: A. Purpose: It is the purpose of this Chapter to promote the public health, safety and general welfare, and to minimize public and
private losses due to flood conditions to specific areas by provisions designed: 1. To protect human life and health; 2. To minimize expenditure of public money for costly flood control
projects; 3. To minimize the need for rescue and relief efforts associated with flooding and generally undertaken at the expense of the general public; 4. To minimize prolonged business
interruptions; 5. To minimize damage to public facilities and utilities such as water and gas mains, electric, telephone and sewer lines, streets and bridges
located in areas of special flood hazard; hazard; 6. To help maintain a stable tax base by providing for the sound use and development of areas of special flood hazard so as to minimize
future flood blight areas;
7. To ensure that potential buyers are notified that property is in an area of special flood hazard; and 8. To ensure that those who occupy the areas of special flood hazard assume responsibility
for their actions. B. Methods Of Reducing Flood Losses: In order to accomplish its purposes, this Chapter includes methods and provisions for: 1. Restricting or prohibiting uses which
are dangerous to health, safety and property due to water or erosion hazards, or which result in damaging increases in erosion or in flood heights or velocities; 2. Requiring that uses
vulnerable to floods, including facilities which serve such uses, to be protected against flood damage at the time of initial construction; 3. Controlling the alteration of natural floodplains,
stream channels and natural protective barriers, which help accommodate or channel floodwaters; 4. Controlling filling, grading, dredging and other development which may increase flood
damage; and 5. Preventing or regulating the construction of flood barriers which will unnaturally divert floodwaters or which may increase flood hazards in other areas. (Ord. 219, 8-7-1990)
12-1-4: DEFINITIONS: Unless specifically defined below, words or phrases used in this chapter shall be interpreted so as to give them the meanings they have in common usage and to give
this chapter its most reasonable application: APPEAL: A request for a review of the city of Three Forks floodplain administrator's interpretation of any provisions of this chapter or
a request for a variance. AREA OF SPECIAL FLOOD HAZARD: The land in the floodplain within a community subject to a one percent (1%) or greater chance of flooding in any given year. BASE
FLOOD: The flood having a one percent (1%) chance of being equaled or exceeded in any given year. DEVELOPMENT: Any manmade change to improved or unimproved real estate, including, but
not limited to, buildings or other structures, mining, dredging, filling, grading, paving, excavation, or drilling operations located within the area of special flood hazard. EXISTING
MANUFACTURED HOME PARK OR SUBDIVISION: A manufactured home park for which the construction of facilities for servicing the lots on which the manufactured homes are to be affixed (including,
at a minimum, the installation of utilities, either final site grading or the pouring of concrete pads) is completed before September 5, 1990. EXPANSION TO EXISTING MANUFACTURED HOME
PARK OR SUBDIVISION: The preparation of additional sites by the construction of facilities for servicing the lots on which the manufactured homes are to be affixed (including the installation
of utilities, the construction of streets, and either final site grading or the pouring of concrete pads). FLOOD INSURANCE RATE MAP (FIRM): The official map on which the federal emergency
management agency has delineated both the areas of special flood hazards and the risk premium zones applicable to the community. FLOOD INSURANCE STUDY: The official report provided by
the federal emergency management agency that includes flood profiles, the flood boundary floodway map and the water surface elevation of the base flood. FLOOD OR FLOODING: A general
and temporary condition of partial or complete inundation of normally dry land areas from:
A. The overflow of inland or tidal waters, and/or B. The unusual and rapid accumulation or runoff of surface waters from any source. FLOODWAY: The channel of a river or other watercourse
and the adjacent land areas that must be reserved in order to discharge the base flood without cumulatively increasing the water surface elevation more than one-half foot (0.5'). LOWEST
FLOOR: The lowest floor of the lowest enclosed area (including basement). An unfinished or flood resistant enclosure, usable solely for parking of vehicles, building access or storage,
in an area other than a basement area, is not considered a building's lowest floor; provided, that such enclosure is not built so as to render the structure in violation of the applicable
nonelevation design requirements of this chapter. MANUFACTURED HOME: A structure, transportable in one or more sections, which is built on a permanent chassis and is designed for use
with or without a permanent foundation when attached to the required utilities. The term "manufactured home" does not include a "recreational vehicle". NEW CONSTRUCTION: Structures for
which the "start of construction" commenced on or after September 5, 1990. NEW MANUFACTURED HOME PARK OR SUBDIVISION: A manufactured home park or subdivision for which the construction
of facilities for servicing the lots on which the manufactured homes are to be affixed (including at a minimum, the installation of utilities, the construction of streets and either
final site grading or the pouring of concrete pads) is completed on or after the effective date of the flood plain management regulations adopted by the City of Three Forks. RECREATIONAL
VEHICLE: A vehicle which is: A. Built on a single chassis; B. Four hundred (400) square feet or less when measured at the largest horizontal projections; C. Designed to be self-propelled
or permanently towable by a light duty truck; and D. Designed primarily not for use as a permanent dwelling but as temporary living quarters for recreational, camping, travel, or seasonal
use. START OF CONSTRUCTION: Includes substantial improvement and means the date the zoning permit was issued, provided the actual start of construction, repair, reconstruction, placement,
or other improvement was within one hundred eighty (180) days of the permit date. The actual start means the first placement of permanent construction of a structure on a site, such
as the pouring of slab or footings, the installation of piles, the construction of columns, or any work beyond the stage of excavation, or the placement of a manufactured home on a foundation.
Permanent construction does not include land preparation, such as clearing, grading and filling; nor does it include the installation of streets and/or walkways; nor does it include
excavation for a basement, footings, piers, or foundations, or the erection of temporary forms; nor does it include the installation on the property of accessory buildings, such as garages
or sheds, not occupied as dwelling units or not part of the main structure. STRUCTURE: A walled and roofed building or manufactured home that is principally aboveground. SUBSTANTIAL
IMPROVEMENT: A. A repair, reconstruction, or improvement of a structure, the cost of which equals or exceeds fifty percent (50%) of the market value of the structure either: 1. Before
the improvement or repair is started; or 2. If the structure has been damaged and is being restored, before the damage occurred. B. For the purpose of this definition, "substantial improvement"
is considered to occur when the first alteration of any wall, ceiling, floor, or other structural part of the building commences, whether or not that alteration affects the external
dimensions of the structure. The term does not, however, include either:
1. Any project for improvement of a structure to comply with existing State or local health, sanitary, or safety code specifications which are solely necessary to assure safe living
conditions; or 2. Any alteration of a structure listed on the National Register of Historic Places or a State Inventory of Historic Places. VARIANCE: A grant of relief from the requirements
of this chapter which permits construction in a manner that would otherwise be prohibited by this chapter. (Ord. 219, 8-7-1990; amd. Ord. 266-(2002-2003), 10-8-2002) 12-1-5: GENERAL
PROVISIONS: A. Applicable Lands: This chapter shall apply to all areas of special flood hazard within the jurisdiction of the city. B. Basis For Establishing The Areas: The areas of
special flood hazard identified by the federal emergency management agency is a scientific and engineering report entitled, "The Flood Insurance Study for the City of Three Forks, Montana,
Gallatin County, dated November 19, 1980", with an accompanying flood insurance rate map (FIRM), is hereby adopted by reference and declared to be a part of this chapter. The flood insurance
study and FIRM are on file with the national flood insurance program, community panel number 300029 0001 B, federal emergency management agency, federal insurance administration. C.
Compliance: No structure or land shall hereafter be constructed, located, extended, converted, or altered without full compliance with the terms of this chapter and other applicable
regulations. D. Abrogation And Greater Restrictions: This chapter is not intended to repeal, abrogate, or impair any existing easements, covenants, or deed restrictions. However, where
this chapter and another ordinance, easement, covenant, or deed restriction conflict or overlap, whichever imposes the more stringent restrictions shall prevail. E. Interpretation: In
the interpretation and application of this chapter, all provisions shall be: 1. Considered as minimum requirements; 2. Liberally construed in favor of the governing body; and 3. Deemed
neither to limit nor repeal any other powers granted under state statutes. F. Warning And Disclaimer Of Liability: The degree of flood protection required by this chapter is considered
reasonable for regulatory purposes and is based on scientific and engineering considerations. Larger floods can and will occur on rare occasions. Flood heights may be increased by manmade
or natural causes. This chapter does not imply that land outside the areas of special flood hazard or uses permitted within such areas will be free from flooding or flood damages. This
chapter shall not create liability on the part of the city, any officer or employee thereof, or the federal emergency management agency for any flood damages that result from reliance
on this chapter or any administrative decision lawfully made thereunder. (Ord. 219, 8-7-1990) 12-1-6: FLOODPLAIN ADMINISTRATOR:
A. Appointment: The city floodplain administrator is hereby appointed to administer and implement this chapter by granting or denying development permit applications in accordance with
its provisions. B. Duties And Responsibilities: Duties of the city floodplain administrator shall include, but not be limited to: 1. Permit Review: a. Review all development permits
to determine that the permit requirements of this chapter have been satisfied. b. Review all development permits to determine that all necessary permits have been obtained from federal,
state, or local governmental agencies from which prior approval is required. c. Review all development permits to determine if the proposed development is located in the floodway. If
located in the floodway, assure that the encroachment provisions of subsection 12-1-9C of this chapter are met. 2. Use Of Other Base Flood Data: When base flood elevation data has not
been provided in accordance with subsection 12-1-5B of this chapter, the city floodplain administrator administrator shall obtain, review and reasonably utilize any base flood elevation
and floodway data available from any federal, state, or other source as criteria for requiring that new construction, substantial improvements, or other development in Zone A are administered
in accordance with subsection 12-1-9B of this Chapter. 3. Information Obtained And Maintained: a. Obtain and record the actual elevation (in relation to mean sea level) of the lowest
floor (including basement) of all new or substantially improved structures, and whether the structure includes a basement. b. For all new or substantially improved floodproofed structures:
(1) Verify and record the actual elevation (in relation to mean sea level) to which the structure has been floodproofed. (2) Maintain the floodproofing certifications required in subsection
12-1-7B3 of this Chapter. c. Maintain for public inspection all records pertaining to the provisions of this Chapter. 4. Alteration Of Watercourses: a. Notify adjacent communities and
the State of Montana Department of Natural Resources and Conservation Floodplain Administrator prior to any alteration or relocation of a watercourse, and submit evidence of such notification
to the Federal Emergency Management Agency. b. Require that maintenance is provided within the altered or relocated portion of said watercourse so that the floodcarrying capacity is
not diminished. 5. Interpretation Of FIRM Boundaries: Make interpretations, where needed, as to the exact location of the boundaries of the areas of special flood hazard (for example,
where there appears to be a conflict between a mapped boundary and actual field conditions). The person contesting the location of the boundary shall be given a reasonable opportunity
to appeal the interpretation as provided in Section 12-1-8 of this Chapter. (Ord. 219, 8-7-1990) 12-1-7: DEVELOPMENT PERMIT: A. Permit Required: A development permit shall be obtained
before construction or development begins within any area of special flood hazard established in subsection 12-1-5B of this Chapter.
B. Application For Permit; Contents: Application for a development permit shall be made on forms furnished by the City Flood Plain Administrator and may include, but not be limited to,
plans in duplicate, drawn to scale, showing the nature, location, dimensions and elevations of the area in question; existing or proposed structures, fill, storage of materials, drainage
facilities, and the location of the foregoing. Specifically, the following information is required: 1. Elevation in relation to mean sea level of the lowest floor (including basement)
of all structures; 2. Elevation in relation to mean sea level to which any structure has been floodproofed; 3. Certification by a registered professional engineer or architect that the
floodproofing methods for any nonresidential structure meet the floodproofing criteria in subsection 12-1-9B2 of this Chapter; and 4. Description of the extent to which any watercourse
will be altered or relocated as a result of proposed development. (Ord. 219, 8-7-1990) 12-1-8: VARIANCE PROCEDURE: A. Variance/Appeal Board: 1. The Variance/Appeal Board, as established
by the City, shall hear and decide appeals and requests for variances from the requirements of this Chapter. 2. The Variance/Appeal Board shall hear and decide appeals when it is alleged
there is an error in any requirement, decision, or determination made by the City Flood Plain Administrator in the enforcement or administration of this Chapter. 3. Those aggrieved by
the decision of the Variance/Appeal Board, or any taxpayer, may appeal such decision to a court of competent jurisdiction, as provided in State law. 4. In passing upon such applications,
the Variance/Appeal Board shall consider all technical evaluations, all relevant factors, standards specified in other sections of this Chapter, and: a. The danger that materials may
be swept onto other lands to the injury of others; b. The danger to life and property due to flooding or erosion damage; c. The susceptibility of the proposed facility and its contents
to flood damage and the effect of such damage on the individual owners; d. The importance of the services provided by the proposed facility to the community; e. The necessity to the
facility of a waterfront location, where applicable; f. The availability of alternative locations for the proposed use which are not subject to flooding or erosion damage; g. The compatibility
of the proposed use with the existing and anticipated development; h. The relationship of the proposed use to the Comprehensive Plan and flood plain management program for that area;
i. The safety of access to the property in times of flood for ordinary and emergency vehicles;
j. The expected heights, velocity, duration, rate of rise and sediment transport of the flood waters and the effects of wave action, if applicable, expected at the site; and k. The costs
of providing governmental services during and after flood conditions, including maintenance and repair of public utilities and facilities such as sewer, gas, electrical and water systems,
streets and bridges. 5. Upon consideration of the factors of subsection A4 of this Section and the purposes of this Chapter, the Variance/Appeals Board may attach such conditions to
the granting of variances as it deems necessary to further the purposes of this Chapter. 6. The City Flood Plain Administrator shall maintain the records of all appeal actions, including
technical information, and report any variances to the Federal Emergency Management Agency. B. Conditions For Variances: 1. Generally, variances may be issued for new construction and
substantial improvements to be erected on a lot of onehalf (1/2) acre or less in size contiguous to and surrounded by lots with existing structures constructed below the base flood level,
providing subsections A4a through A4k of this Section have been fully considered. As the lot size increases beyond the one-half (1/2) acre, the technical justifications required for
issuing the variance increases. 2. Variances may be issued for the reconstruction, rehabilitation, or restoration of structures listed on the National Register of Historic Places or
the State inventory of historic places without regard to the procedures set forth in the remainder of this Section. 3. Variances shall not be issued within any designated floodway if
any increase in flood levels during the base flood discharge would result. 4. Variances shall only be issued upon a determination that the variance is the minimum necessary, considering
the flood hazard, to afford relief. 5. Variances shall only be issued upon: a. A showing of good and sufficient cause; b. A determination that failure to grant the variance would result
in exceptional hardship to the applicant; and c. A determination that the granting of a variance will not result in increased flood heights, additional threats to public safety, extraordinary
public expenses, create nuisances, cause fraud on or victimization of the public as identified in subsection A4 of this Section, or conflict with existing local laws or ordinances. 6.
Any applicant to whom a variance is granted shall be given written notice that the structure will be permitted to be built with a lowest floor below the base flood elevation and that
the cost of flood insurance will be commensurate with the increased risk from the reduced lowest floor elevation. (Ord. 219, 8-7-1990) 12-1-9: FLOOD HAZARD REDUCTION: A. General Standards:
In all areas of special flood hazard, the following standards are required: 1. Anchoring: a. All new construction and substantial improvements shall be anchored to prevent flotation,
collapse, or lateral movement of the structure and capable of resisting the hydrostatic and hydrodynamic loads. (Ord. 219, 8-7-1990)
b. All manufactured homes must be elevated and anchored to resist flotation, collapse, or lateral movement and capable of resisting the hydrostatic and hydrodynamic loads. Methods of
anchoring may include, but are not limited to, use of over the top or frame ties to ground anchors. This requirement is in addition to applicable state and local anchoring requirements
for resisting wind forces. Specific requirements may be: (1) Manufactured homes that are replaced on a perimeter foundation must be attached to the foundation in such a manner as to
prevent flotation; (2) Manufactured homes that are placed on runners or slabs with blocks and/or jacks must have frame ties provided at each end of the home and at least every fifteen
feet (15') along the length of the home. Frame ties should be constructed with a minimum of one-fourth inch (1/4") steel cable wrapped around the frame and connected to onefourth inch
(1/4") eye bolts on each side that are embedded in concrete runners. Concrete runners must be at least four inches (4") thick and whatever width and length that would allow for one yard
of concrete (27 cubic feet) for each runner. Each runner should have two (2) 1/4-inch rebar strands running horizontally the length of each runner with short pieces of rebar at ninety
degrees (90°) to these strands and tying them together every foot. An alternative for the rebar is welded wire fabric mesh throughout; (3) Other designs are possible as long as all components
of the anchoring system be capable of carrying a force of four thousand eight hundred (4,800) pounds; and (4) Any additions to the manufactured home be similarly anchored. (Ord. 266-(2002-2003),
10-8-2002) 2. Construction Materials And Methods: a. All new construction and substantial improvements shall be constructed with materials and utility equipment resistant to flood damage.
b. All new construction and substantial improvements shall be constructed using methods and practices that minimize flood damage. c. All new construction and substantial improvements
improvements shall be constructed with electrical, heating, ventilation, plumbing and air conditioning equipment and other service facilities that are designed and/or located so as to
prevent water from entering or accumulating within the components during conditions of flooding. 3. Utilities: a. All new and replacement water supply systems shall be designed to minimize
or eliminate infiltration of floodwaters into the system; b. New and replacement sanitary sewage systems shall be designed to minimize or eliminate infiltration of floodwaters into the
systems and discharge from the systems into floodwaters; and c. On site waste disposal systems shall be located to avoid impairment to them or contamination from them during flooding.
4. Subdivision Proposals: a. All subdivision proposals shall be consistent with the need to minimize flood damage; b. All subdivision proposals shall have public utilities and facilities
such as sewer, gas, electrical and water systems located and constructed to minimize flood damage; c. All subdivision proposals shall have adequate drainage provided to reduce exposure
to flood damage; and d. Base flood elevation data shall be provided for subdivision proposals and other proposed development which contain at least fifty (50) lots or five (5) acres
(whichever is less).
B. Specific Standards: In all areas of special flood hazard where base flood elevation data has been provided as set forth in subsection 12-1-5B or 12-1-6B2 of this chapter, the following
provisions are required: (Ord. 219, 8-7-1990) 1. Residential Construction: a. New construction and substantial improvement of any residential structure shall have the lowest floor of
all living space elevated to or above the base flood elevation. b. New construction and substantial improvement of any below grade crawl space shall: (1) Have the interior grade elevation
that is below base flood elevation no lower than two feet (2') below the lowest adjacent grade; (2) Have the height of the below grade crawl space measured from the interior grade of
the crawl space to the top of the foundation wall, not to exceed four feet (4') at any point; (3) Have an adequate drainage system that allows floodwaters to drain from the interior
area of the crawl space following a flood; (4) Be anchored to prevent flotation, collapse, or lateral movement of the structure and be capable of resisting the hydrostatic and hydrodynamic
loads; (5) Be constructed with materials resistant to flood damage; (6) Be constructed using methods and practices that minimize flood damage; (7) Be constructed with electrical, heating
(including all ducts), ventilation, plumbing and air conditioning equipment and other service facilities located at or above base flood elevation. These items may be located below the
base flood elevation only if they are floodproofed and certified as such or located in a certified floodproofed enclosure; (8) Be designed to automatically equalize hydrostatic flood
forces on exterior walls by allowing for the entry and exit of floodwaters. Design for meeting this requirement must either be certified by a registered professional engineer or architect
or must meet or exceed the following minimum criteria: (A) A minimum of two (2) openings having a total net area of not less than one square inch for every square foot of enclosed area
subject to flooding shall be provided; (B) The bottom of all openings shall be no higher than one foot (1') above exterior grade; (C) Openings may be equipped with screens, louvers or
other coverings or devices provided that they permit the automatic entry and exit of floodwaters. (Ord. 266-(2002-2003), 10-8-2002) 2. Nonresidential Construction: New construction and
substantial improvement of any commercial, industrial, or other nonresidential structure shall either have the lowest floor (including basement) elevated to the level of the base flood
elevation; or, together with attendant utility and sanitary facilities, shall: a. Be floodproofed so that below the base flood elevation the structure is watertight with walls substantially
impermeable to the passage of water; b. Have structural components capable of resisting hydrostatic and hydrodynamic loads and effects of buoyancy; and
c. Be certified by a registered professional engineer or architect that the design and methods of construction are in accordance with accepted standards of practice for meeting the provisions
of this subsection B2. Such certifications shall be provided to the official as set forth in subsection 12-1-6B3b of this chapter. 3. Manufactured Homes: a. Manufactured homes shall
be anchored in accordance with subsection A1b of this section. b. All manufactured homes or those to be substantially improved shall conform to the following requirements: (1) Require
that manufactured homes that are placed or substantially improved on a site: (A) Outside of a manufactured home park or subdivision; (B) In an expansion to an existing manufactured home
park or subdivision; or (C) In an existing manufactured home park or subdivision on which a manufactured home has incurred "substantial damage" as the result of a flood; be elevated
on a permanent foundation such that the lowest floor of the manufactured home is elevated to or above the base flood elevation and be securely anchored to an adequately anchored foundation
system to resist flotation, collapse and lateral movement. (2) Require that manufactured homes to be placed or substantially improved on sites in existing manufactured home parks or
subdivisions that are not subject to the provisions in subsection B3b(1) of this section, be elevated so that either: (A) The lowest floor of the manufactured home is at or above the
base flood elevation; or (B) The manufactured home chassis is supported by reinforced piers or other foundation elements that are no less than thirty six inches (36") in height above
grade and be securely anchored to an adequately anchored foundation system to resist flotation, collapse and lateral movement. C. Floodways: Located within areas of special flood hazard
established in subsection 12-1-5B of this chapter are areas designated as floodways. Since the floodway is an extremely hazardous area due to the velocity of floodwaters which carry
debris, potential projectiles and erosion potential, the following provisions apply: Prohibit encroachments, including fill, new construction, substantial improvements and other development
unless certification by a registered professional engineer or architect is provided demonstrating that encroachments shall not result in any increase in flood levels during the occurrence
of the base flood discharge. (Ord. 219, 8-7-1990)
308 Disaster and Emergency Leave 308.10 Policy Statement It is the policy of Gallatin County to provide paid leave of absence for an employee affected by a disaster or emergency as declared
by the governor of Montana; to allow employees to take accrued vacation leave, compensatory time, or leave of absence without pay to deal with personal emergencies or to provide volunteer
service during a disaster or emergency which does not personally affect the employee. 308.20 Declared Disaster or Emergency When the governor of the state of Montana declares a disaster
or emergency, an affected employee of the County shall receive paid leave of absence which is not charged to any accrued leave or compensatory time. 308.30 Request for Leave A department
head/elected official or designee shall determine on a case-by-case basis whether or not an employee of a department is affected by a declared disaster or emergency,
and the period of time for which the employee should receive paid leave under this section. When the governor's declaration does not define affected employees, employees wanting paid
leave under this policy shall make a request through their department head/elected official stating the reasons they were affected. The request shall be subject to final approval by
the Board of County Commissioners. A Leave of Absence Request Form obtained from Human Resources should accompany the request. 308.40 Personal Disaster or Emergency or Volunteer Service
An employee who is affected by a personal disaster, emergency, or who wishes to provide volunteer service is eligible to apply to the department head/elected official to take annual
vacation leave, accrued compensatory time or leave of absence without pay. The employee may not take sick leave except for reasons outlined in the Sick Leave Policy (GCPM Section 316).
An employee must provide written verification of participation in the emergency if requested by the department head/elected official. 308.50 Employees Required to Work During a Declared
Disaster or Emergency An An employee who reports for work and performs regular duties and responsibilities, or an employee who is requested to return to work to perform essential services
during a declared disaster or emergency which requires the general closure of County offices, will be authorized compensatory time in addition to his normal salary. This provision applies
to all exempt and nonexempt employees. Effective Date: 10/01/2008
AllMINISTRATIVE ORDER 2NU0U U3 Whenever I an out of Gallatin County Montana for more than tfwoeuntry4 consecutive hours or in case of an emergency and 1 cannot be reached I hereby appoint
the Assistant City Manager as Acting City Manager to act in my stead during my absence Whenever I and the Assistant City Manager are out of Gallatin County Montana for more than tfwoeuntry
24 consecutive hours or ni the case of an emergency and neither of us can be reached I hereby appoint the Director of Puhlic Service as Acting City Manager to act in my stead during
my and the Assistant City Msanager absence Whenever I the Assistant City Manager and the Director of Public Service are out of Gallatin County Montana for more than twenty four 24 consecutive
hours or in case of an emergency and none of us can be reached hereby appoint the Finance Director as Acting City Manager to act in my stead during my the Assistant City Msanager and
the Director of Public Sservice absence Whenever I the Assistant City Manager the Director of Public Service and the Finance Director are out of Gallatin County Montana for more than
tfwoeuntry 24 consecutive hours or in case f an emergency and none of us can be reached I hereby appoint the Director of Planning and Community Development as Acting City Manager to
act in my stead during my the Assistant City Msanager the Director of Public Sservice and the Finance Dsirector absence Whenever I the Assistant City Manager the Director of Public Service
the Finance Director and the Director of Planning and Community Development are out of Gallatin County Montana for more than tfwoeuntry 24 consecutive hours or in case of an emergency
and none of us can be reached I herelay appoint the Director of Public Safety Police as Acting City Manager to act in my stead during niy the Assistant City Msanager the Director of
Public Sservice the Finance Dsirector and the Director of Planning and Community Dsevelopment absenceWhenever I the Assistant City Manager the Director of Public Service the Finance
Director the Director of Planning and Community Development and the Director of Public Safety Police are out of Gallatin County Montana for more than tfwoeuntry2consecutive hours or
in case of an emergency and none of us can be reached I hereby appoint the Director of Public Safety Fire as Acting City Manager to act in my stead during my the Assistant City Msanager
the Director of Public Sservice the Finance Dsirector the Director of Planning and Community Dsevelopment and the Director of Public Safety Psolice absence DATED this dayof2008 Chris
A Kukulski City Manager
1-6-3-1: QUALIFICATIONS OF COUNCIL MEMBERS; COUNCIL CHAIR: A. Qualifications: Anyone who is eighteen (18) years of age or older, a citizen of Montana, a resident of the town of Manhattan
for a period of at least one year immediately preceding his/her election to office and is a qualified elector pursuant to article IV, section 2 of the Montana constitution is eligible
to hold the office of council member. B. Chair Of Council: The council shall have a chair who shall be elected by the members of the council from among their own number. The chair of
the council shall preside at council meetings when the mayor is absent, and shall vote as other members of the council. (Ord. 08-003, 4-8-2008)
J t GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT 1997 THIS AGREEMENT will take effect between and among the signing agencies when two or more local governments fire districts
or fire service areas in Gallatin Madison Park Broadwater Beaverhead or Jefferson Counties sign the Agreement This Agreement will supersede all prior Gallatin County fire protection
mutual aid agreements signed by the signatories of this Agreement WIT N E SSE T H WHEREAS I the signatory agencies desire to augment fire protection in their areas pursuant to sections
7 2108 7 2202 7 2405 and 7 4112 MCA and WHEREAS it is beneficial for the signatory agencies to render mutual aid in accordance with the terms of this Agreement NOW THEREFORE IT IS UNDERSTOOD
AND AGREED AS FOLLOWS 1 DEFINITIONS A Agency means any signatory local government unit fire district fire service area and where appropriate their respective fire departments including
but not limited to Amsterdam Rural Fire District Beaverhead County Rural Fire District 2 Belgrade Cjty Fire Department Belgrade Rural Fire District Bozeman City Fire Department Bridger
Canyon Rural Fire District Broadwater county Rural Fire District Clarkston Fire Service Area Clyde Park Town Fire Department Clyde Park Rural Fire District Dillon City Fire Department
Fort Ellis Fire Service Area Gallatin Canyon Consolidated Rural Fire District Gallatin Gateway Rural Fire District Gallatin County Gateway Hose Company 1 Rural Fire District Gardiner
Jefferson Valley Rural Fire District Livingston city Fire Department Madison Valley Rural Fire District Manhattan city Fire Department Manhattan Rural Fire District Park County Rural
Fire District No 1 Paradise Valley Fire Service Area Rae Fire Service Area This document has had the proof of insurance pages removed to accommodate file size
i Reese Creek Fire Service Area Sedan Rural Fire District sourdough Rural Fire District Springhill Fire Service Area Three Forks City Fire Department Three Forks Rural Fire District
Townsend city Fire Department West Yellowstone City Fire Department Whitehall city Fire Department Willow Creek Fire District Wilsall Rural Fire District B Requesting Agency means the
agency asking assistance C Responding Agency means the agency sending assistance 2 TERM A This agreement shall be in effect until June 30 2000 and shall automatically renew for additional
three 3 year periods unless amended or terminated Any agency may request a review of the agreement six 6 months prior to an automatic renewal date by sending proposed amendments to all
other agencies B Any agency may withdraw from the agreement by giving at least sixty 60 days written notice to all other agencies 3 OPERATIONS A Reauest and Response 1 The fire chief
or designee or incident commander from any agency may request assistance from any other agency or agencies only when it is determined that such assistance is essential to protect life
or property 2 A request for assistance should include the type of incident or emergency and the type of equipment the number of personnel and specify the location where needed Giving
assistance is not mandatory However if an agency cannot give assistance it shall immediately inform the requesting agency that assistance cannot be given 3 A responding agency shall
immediately determine what equipment or personnel or both can be spared and then dispatch the designated equipment and personnel and inform the requesting agency
f B Command at Incident Scene 1 Personnel from the responding agency shall report to the requesting agency s fire chief designee or incident commander The responding agency s equipment
and personnel shall be under the immediate supervision and responsibility of the requesting fire chief or designee or incident commander during the actual operation 2 The requesting
fire chief or designee or incident commander may request an officer of a responding agency to assume command However relinquishing command shall not relieve the requesting agency of
responsibility for the operation 3 All operations will be under an incident management system as authorized by Section 8 of this Agreement C Release from Incident A requesting agency
shall release a responding agency when services are no longer required or when the responding agency is needed for service in its own area or when the responding agency requests release
4 REIMBURSEMENT A Fuel and Reasonable Welfare Items A requesting agency shall provide fuel and reasonable welfare items for responding agencies However responding agencies may elect
not to be reimbursed 5 RESPONSIBILITY AND LIABILITY A Preparedness and Safety 1 Each agency shall be responsible to see that its own equipment is properly maintained and safely operated
and its personnel properly trained 2 A responding agency will not be required to take action where the safety of personnel and equipment is in question 3 Personnel of a responding agency
shall be considered to be acting under the lawful orders and instructions of their own agency to and from the operation They are not to be considered personnel or employees of any other
agency 3
I B Insurance and Damaqes 1 Each agency shall obtain appropriate insurance for its equipment and personnel Each agency shall obtain liability insurance in the amount of 1 000 000 Each
agency shall provide written proof of such insurance at the time the agency signs the agreement Such proof of insurance shall be kept in the office of Gallatin county s Fiscal Officer
and the Gallatin County Clerk Recorder Each agency must ensure that such liability insurance remains in effect at all times the agency is a party to this Agreement It shall be the responsibility
of each agency to provide updates of written proof of such insurance when issued to the Offices of the Fiscal Officer and the clerk and Recorder 2 Each agency shall be responsible for
defending claims made against it or its personnel arising from participation in this agreement Agencies shall not be obligated to defend claims made against another agency or its personnel
6 INSURANCE BENEFITS A Gallatin county agrees to provide insurance for duly enrolled Gallatin County agency volunteer firefighters in at least the following amounts when the person is
actively engaged in incident response or during transportation to or from an incident under this Agreement 1 Accidental death or dismemberment 25 000 2 Accidental medical expense 10
000 3 Heart attack death benefit 25 000 B This coverage will be furnished only for agencies which provide some disability insurance of their own for volunteer firefighters Membership
in the Montana Volunteer Firefighters Compensation Act is acceptable for this purpose 7 MONTANA FIRE CODES Applicable Montana Fire Codes apply to this agreement Agencies not having NSHT
1 1 2 and 2 1 2 hose shall provide adapters to facilitate the use of hose and pumps on incoming equipment 4
I i I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE Ll atU QdV1 2 7 9f Title signatureil Date Organization G2 d 7 r6 Title Date organization 1m1 o j2 j7 fg Title
Signat Date organization Title Signature Date Organization Title Signature Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE Ci 1A G k uf J L I l tL X Organization Uy V jJ 7 II 7 L tlL1 V Title Signature Date Organization f J Q L C1 j J 1
7 r G Title ignature Date Organization L4 1 It I f ViliL l lJYivt VlA K I r q r Title Signature Date I Organization Title Signature Date Organization 1 0 it 1tloJtJf f Jf 7 Title S gna
ure Date
I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE ejjk vc VrP Z7 nddiZ dh Title IDette organization Title Signature Date organization Title Signature Date Organization
Title Signature Date Organization Title Signature Date
I I I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE J 0OUVJ 1v 1 Sr fD0 G G hJ t r IU rC U 1 C tor d L L of I o1nnat f d ldin 1 L jVll si Jil iJiOqt a Ml Cornmi5sioll
Expires vlay 6 199 9 Organization Jh lc 0 3L 0 r7 itle Date Organization Title Signature Date Organization Title signature Date Organization Title Signature Date organization Title Signature
Date
I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE C j e TI tt kKKs organization Jrl rl yr Q 6 L lCLi J v1 9 0 9 7 Title Signature Date Organization Title signature
Date organization Title signature Date Organization Title Signature Date Organization Title Signature Date
1 GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE 1A f c ft l 1 If L jpj e Organization f c d 11 r 40J 7 9 f 7 Titl rgnature Date I rftlEf rFtC1V R ft4L t rE organization
2 tin2 1 1 VU Ie Ptt rdl1t Ct II Title signature Date Jhle ef ids M 2AL l21f Organization c 2 iJ S UtfJ It l tif6 9 77 Tltle gnat e Date 1J1t Et f70 f 5 KvAIJL rfV Organization D LJ
1L 9 7 q 1 Title Signature Date Organization Title c w 1 f 97 Slgna ure Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE t cJ r v r L O t orga lzatlon CAt v ttJ 1 I s 9 9 l Title F CJl Signature Date lY Organization Title Signature Date
Organization Title Signature Date organization Title Signature Date Organization Title Signature Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE VICi J 5 V 1 1 t r D r t L f organization J La t cQ 142 Title signatv Dat Organization Title Signature Date Organization
Title Signature Date organization Title Signature Date Organization Title Signature Date
I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE j tuJ r RQ@k CtA zIlL hJvD 7 organization r l F St fq 1 ht f 6 A Jlt 19 Title fate Organization Title Signature
Date Organization Title Signature Date organization Title Signature Date Organization Title Signature Date
I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE c f 6 ftW47 Ffe Organization hd tH i Title S nature Organization Title Signature Date Organization Title Signature
Date Organization Title Signature Date Organization Title Signature Date
I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE Crk t IIc Co zJ I Organlz tlon CAfP M ILJ JU Lf 9 7 Tltle signature Date organization Title signature Date Organization
Title Signature Date Organization Title Signature Date Organization Title Signature Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE l3 C rLJf J OrganizatiOnao 4AadWK 9 II 7 Title Signature Date JCI E i q Organizati n 0skC ft rP A Title Date I Pfl
hkE u5IECRE le EA organization Clil mAtJ BD4R6 tJ L L4 o c7 oP tJY TeE Ire Title Signature Date organization Title Signature Date Organization Title Signature Date
I I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE OAJuJ A L 2 Ie2I A I I f0 s Organization 6 I ha I rn 41 H4c Cj I 1q Tltle ignature Date i cf cWA fJ l2J u 41 1
z D 5 organization 5er aMt1lihl 7 Title ate OA d U A C lG 1 c bi Ie1 Organization C Ii E k 9 1 97 Title Date organization Title Signature Date Organization Title Signature Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE CY X I GK organlzatlon ch f o 1 ml Tltle 19nature C r f t Z v 1 1 1 c r L organization I I L C 1 VI C c A 7 Title
SI nature Date I j d LJ 1 2 r1 I 1 I L brganization r 1 7 C i li L CI f y 0tgy 7z qr J 2 f 7 Tltle 7 i1 A Gk Slgnature Da e Lt 1 r p r Lc Organization 09 I I l r L c 1 Title Signature
Date Organization Title signature Date
I GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE S 6vV tvJ 1 1 Kf Organization leh c oIA a CoVlr P j1c 6 97 Title Signature Date Organization Title Signature Date
organization Title Signature Date Organization Title Signature Date Organization Title Signature Date
SIGNATORY PAGE GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT 1997
SIGNATORY PAGE GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT 1997 ECZe Qee L 6 r N E OF ORGANIZATION Cm C0J rrli A HORIZED SIGNATURE 7 I q DATE SIGNED
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE YY l1 L JI hv t Organization I f 7 f J J y LI zt HJJ f5 7c f I C1 t VI1tL Title S gnature Date vi Organization Title
signature Date Organization Title Signature Date organization Title Signature Date Organization Title Signature Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE Pet A L 1 1 J 1 h J t2 tE u Lr I b J U f organization 1 Ci lL zf J 7 r 11 t t d Title I signature Date Organization
Title Signature Date Organization Title Signature Date organization Title Signature Date organization Title Signature Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE J 7n Pt1il VUfJ rU t L riaLf1J5 Organization cI fdf44col Q 7 Title Signature Date Town of WhiT phall Fire Dept Organization
1 lMynir L c 3 12 98 Title Signe Date organization Title Signature Date organization Title Signature Date Organization Title Signature Date
GALLATIN COUNTY FIRE PROTECTION MUTUAL AID AGREEMENT SIGNATURE PAGE Beaverhead Fire District 2 Dillon Rural Fire Department Organization c5R 57 C Chairman t dt c lc d Title 81gnature
Date City of Dillon Organization Mayor l 3 P Title Sig ure ate Organization Title Signature Date Organization Title Signature Date Organization Title Signature Date
Title 44: Emergency Management and Assistance PART 151—REIMBURSEMENT FOR COSTS OF FIREFIGHTING ON FEDERAL PROPERTY Section Contents Subpart A—Purpose, Scope, Definitions § 151.01 Purpose.
§ 151.02 Scope. § 151.03 Definitions. Subpart B—Submission, Determination, Appeal § 151.11 Submission of claims. § 151.12 Determination of amount authorized for payment. § 151.13 Reconsideration
of amount authorized for payment. § 151.14 Adjudication. Subpart C—Administration, Penalties § 151.21 [Reserved] § 151.22 Audits. § 151.23 Penalties. Authority: Secs. 11 and 21(b)(5),
Federal Fire Prevention and Control Act of 1974 (15 U.S.C. 2210 and 2218(b)(5)); Reorganization Plan No. 3 of 1978 (3 CFR, 1978 Comp., p. 379) and E.O. 12127, dated Mar. 31, 1979 (3
CFR, 1979 Comp., p. 376). Source: 49 FR 5929, Feb. 16, 1984, unless otherwise noted. Subpart A—Purpose, Scope, Definitions § 151.01 Purpose. Section 11 of the Federal Fire Prevention
and Control Act of 1974, provides that “each fire service that engages in the fighting of a fire on property which is under the jurisdiction of the United States may file a claim with
the Administrator of the Federal Emergency Management Agency for the amount of direct expenses and direct losses incurred by such fire service as a result of fighting such fire.” This
part, implements section 11 of the Act and governs the submission, determination, and appeal of claims under section 11. § 151.02 Scope. Fire services, in any State, may file claims
for reimbursement under section 11 and this part for the direct expenses and losses which are additional firefighting costs over and above normal operating costs incurred while fighting
a fire on property which is under the jurisdiction of the United States. Section 11 requires that certain payments be deducted from those costs and that the Treasury Department will
ordinarily pay the amount resulting from the application of that formula. Where the United States has entered into a contract (which is not a mutual aid agreement, defined in §151.03)
for the provision of fire protection, and it is the intent of the parties that reimbursement under section 11 is unavailable, this intent will normally govern. Where a mutual aid agreement
is in effect between the claimant and an agency of the United States for the property upon which the fire occurred, reimbursement will be available in otherwise proper situations. However,
any payments (including the value of services) rendered under the agreement during the term of the agreement (or the Federal fiscal year in which the fire occurred, if no term is discernible)
shall be deducted from the costs claimed, pursuant to §151.12. § 151.03 Definitions.
(a) The Act means the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. 2201 et seq. (b) Additional firefighting costs over and above normal operating costs means reasonable
and authorized (or ratified by a responsible Federal official) costs ordinarily associated with the function of firefighting as performed by a fire service. Such costs would normally
arise out of response of personnel and apparatus to the site of the fire, search and rescue, exposure protection, fire containment, ventilation, salvage, extinguishment, overhaul, and
preparation of the equipment for further use. This would also include costs associated with emergency medical services to the extent normally rendered by a fire service in connection
with a fire. Not included are administrative expenses, costs of employee benefits, insurance, disability, death, litigation or health care, and the costs associated with processing claims
under section 11 of the Act and this part. (c) Administrator means the Administrator of the Federal Emergency Management Agency, or his/her designee. (d) Claimant means a fire service
as defined in paragraph (g) of this section. (e) Direct expenses and losses means expenses and losses which would not have been incurred had not the fire in question taken place. This
includes salaries for specially employed personnel, overtime pay, the cost of supplies expended, and the depreciated value of equipment destroyed or damaged. It does not include such
costs as the ordinary wages of firefighters, overhead costs, or depreciation (if based on other than hours of use during fires). Expenses as defined herein would normally be incurred
after the first call or alarm and would normally cease upon the first of the following: Return to station, report in-service and ready for further operations, or commence response to
another incident. (f) Fire means any instance of destructive or uncontrolled burning, including scorch burns and explosions of combustible dusts or solids, flammable liquids, and gases.
The definition does not include the following except where they cause fire or occur as a consequence of fire: Lightning or electrical discharge, explosion of steam boilers, hot water
tanks, or other pressure vessels, explosions of ammunition or other detonating materials, overheating, mechanical failures, or breakdown of electrical equipment in power transmission
facilities, and accidents involving ships, aircraft, or other vehicles. Not included in this definition are any costs associated with false alarms, regardless of cause. (g) Fire service
means any organization in any State consisting of personnnel, apparatus, and equipment which has as its purpose protecting property and maintaining the safety and welfare of the public
from the dangers of fire, including a private firefighting brigade. The personnel of any such organization may be paid employees or unpaid volunteers or any combination thereof. The
location of any such organization and its responsibility for extinguishment and suppression of fires may include, but need not be limited to, a State, city, town, borough, parish, county,
fire district, fire protection district, rural fire district, or other special district. (h) Mutual aid agreement means any reciprocal agreement whether written or oral between a Federal
agency and the claimant fire service, or its parent jurisdiction, for the purpose of providing fire protection for the property of the United States upon which the fire which gave rise
to the claim occurred and for other property for which the claimant normally provides fire protection. Such agreement must be primarily one of service rendered for service, or must be
entered into under 42 U.S.C. 1856 through 1856d. Not included are all other agreements and contracts, particularly those in which the intent of the parties is that the United States
pays for fire protection. (i) FEMA means the Federal Emergency Management Agency. (j) Over and above normal operating expenses means costs, losses and expenses which are not ordinarily
and necessarily associated with the maintenance, administration, and day-to-day operations of a fire service and which would not have been incurred absent the fire out of which the claim
arises. (k) Payments to the fire service or its parent jurisdiction, including taxes or payments in lieu of taxes, the United States has made for the support of fire services on the
property in question means any Federal monies, or the value of services, including those made available through categorical or block grants, contracts, mutual aid agreements, taxes,
and payments in lieu of taxes which the United States has paid to the fire service or its parent jurisdiction for fire protection and firefighting services. Such payments will be determined
on the basis of the term of the arrangement, or if no such term is discernible, on the basis of the Federal fiscal year in which the fire occurred. (l) Property which is under the jurisdiction
of the United States means real property and Federal improvements thereon and appurtenances thereto in which the United States States holds legal fee simple title. This excludes Federal
leasehold interests. This likewise excludes Federal personal property on land in which the United States does not hold fee simple title. (m) State means any State of the United States
of America, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, The Commonwealth of the Northern Mariana Islands, the Trust Territory
of the Pacific Islands, and any other territory or possession of the United States. [49 FR 5929, Feb. 16, 1984, as amended at 74 FR 15344, Apr. 3, 2009] Subpart B—Submission, Determination,
Appeal § 151.11 Submission of claims.
Any fire service in any State which believes it has a claim(s) cognizable under section 11 shall submit its claim(s) in writing within 90 days of the occurrence of the fire(s) for which
a claim(s) is made. If the fire is of such duration that the claimant desires to submit a claim before its conclusion, it may do so, but only for the eligible costs actually incurred
to date. Additional claims may be filed for costs later incurred. Claims shall be submitted to the Director, FEMA, Washington, DC, 20472. Each claim shall include the following information:
(a) Name, address, jurisdiction and nature (volunteer, private, municipal, etc.) of claimant's fire service organization; (b) Name, title, address and telephone number of individual
authorized by the claimant fire service to make this claim in its behalf and his/her certification as to the accuracy of the information provided; (c) Name and telephone number of Federal
employee familiar with the facts of the event and the name and address of the Federal agency having jurisdiction over the property on which the fire occurred; (d) Proof of authority
to fight the fire (source of alarm, whether fire service was requested by responsible Federal official or whether such an official accepted the assistance when offered); (e) Personnel
and equipment committed to fighting of fire (type of equipment and number of items); and an itemized list of direct expenses (e.g., hours of equipment operation, fuel costs, consumables,
overtime pay and wages for any specially hired personnel) and direct losses (e.g., damaged or destroyed equipment, to include purchase cost, estimate of the cost of repairs, statement
of depreciated value immediately preceding and subsequent to the damage or destruction and the extent of insurance coverage) actually incurred in fighting the fire. A statement should
be included explaining why each such expense or loss is considered by the claimant not be a normal operating cost, or to be in excess of normal operating costs; (f) Copy of fire report
which includes the location of the fire, a description of the property burned, the time of alarm, etc.; (g) Such other information or documentation as the Administrator
considers relevant to those considerations to be made in determining the amount authorized for payment, as set forth in §151.12 of these regulations; (h) Source and amount of any payments
received or to be received for the fiscal year in which the fire occurred, including taxes or payments in lieu of taxes and including all monies received or receivable from the United
States through any program or agreement including categorical or block grants, and contracts, by the claimant fire service or its parent jurisdiction for the support of fire services
on the property on which the fire occurred. If this information is available when the claim is submitted, it should accompany the claim. If it is not, the information should be submitted
as soon as practicable, but no later than 15 days after the end of the Federal fiscal year in which the fire occurred. [49 49 FR 5929, Feb. 16, 1984, as amended at 74 FR 15344, Apr.
3, 2009] § 151.12 Determination of amount authorized for payment. (a) The Administrator shall determine the amount to be paid on a claim (subject to payment by the Department of the
Treasury). The amount to be paid is the total of eligible expenses, costs and losses under paragraph (a)(1) of this section which exceeds the amount of payments under paragraph (a)(2)
of this section. The Administrator shall establish the reimbursable amount by determining: (1) The extent to which the fire service incurred additional firefighting costs, over and above
its normal operating costs, in connection with the fire which is the subject of the claim, i.e., the “amount of costs”; and (2) What payments, if any, including taxes or payments in
lieu of taxes, the fire service or its parent jurisdiction has received from the United States for the support of fire services on the property on which the fire occurred. The reimbursable
amount is the amount, if any, by which the amount of costs, determined under paragraph (a)(1) of this section exceeds the amount of payments determined under paragraph (a)(2) of this
section. Where more than one claim is filed the aggregate reimbursable amount is the amount by which the total amount of costs, determined under paragraph (a)(1) of this section exceed
the amount of Federal payments (in the case of a mutual aid agreement—its term or if none is determinable, the Federal fiscal year) determined under paragraph (a)(2) of this section.
(b) The Administrator will first determine the costs as contemplated in paragraph (a)(1) of this section. The Administrator will then notify the claimant as to that amount. The claimant
must indicate within 30 days its acceptance or rejection of that amount. (1) If the determination is accepted by the claimant, this will be the final and conclusive determination of
the amount of costs by the claimant in conjunction with the fire for which the claims are submitted. (2) If the claimant rejects this amount, it must notify the Administrator , within
30 days, of its reasons for its rejection. Upon receipt of notification of rejection, the Administrator shall reconsider his determination and notify the claimant of the results of the
reconsideration. The amount determined on reconsideration will constitute the costs to be used by the Director in determining the reimbursable amount.
(c) Upon receipt of documentation from the claimant on the amount of payments the Federal Government has made for the support of fire services on the property in question, the Administrator
will, following such verification or investigation as the Administrator may deem appropriate, calculate the full amount to be reimbursed under the section 11 formula as set forth in
§151.12(a). This calculation of the reimbursable amount is based upon the costs determined pursuant to §151.12(b) and the documentation of Federal payments that the claimant submitted.
(d) The Administrator's determination of the reimbursable amount will be sent to the Secretary of the Treasury. The Secretary of the Treasury shall, upon receipt of the claim and determination
made under §151.12 (a), (b), and (c), determine the amount authorized for payment, which shall be the amount actually available for payment from any monies in the Treasury not otherwise
appropriated but subject to reimbursement (from any appropriations which may be available or which may be made available for the purpose) by the Federal department or agency under whose
jurisdiction the fire occurred. This shall be a sum no greater, although it may be less, that the reimbursable amount determined by the Administrator , FEMA, with respect to the claim
under §151.12 (a), (b) and (c). (e) Upon receipt of written notification from the claimant of its intention to accept the amount authorized as full settlement of the claim, accompanied
by a properly executed document of release, the Administrator will forward the claim, a copy of the Administrator's determination and the claimant's document of release to the Secretary
of the Treasury for payment of the claim in the amount authorized. (f) Subject to the discovery of additional material evidence, the Administrator may reconsider any determination in
this section, whether or not made as his final determination. [49 FR 5929, Feb. 16, 1984, as amended at 49 FR 38119, Sept. 27, 1984] § 151.13 Reconsideration of amount authorized for
payment. (a) If the claimant elects to protest the amount authorized for payment, after the applicable procedures of §151.12 have been followed, it must within 30 days of receipt of
notification of the amount authorized notify the Administrator in writing of its objections and set forth the reasons why the Administrator should reconsider the determination. The Administrator
will upon notice of protest and receipt of additional evidence reconsider the determination of the amount of Federal payments under §151.12(a)(2) but not the determination of the amount
of costs under §151.12(a)(1). The Administrator shall cause a reconsideration by the Secretary of the Treasury of the amount actually available and authorized for payment by the Treasury.
The Administrator, upon receipt of the Secretary of the Treasury's reconsidered determination, will notify the claimant in writing of the amount authorized, upon reconsideration, for
payment in full settlement of the claim. (b) If the claimant elects to accept the amount authorized, upon reconsideration, for payment in full settlement of its claims, it must within
30 days (or a longer period of time acceptable to the Administrator) of its receipt of that determination notify the Administrator of its acceptance in writing accompanied by a properly
executed document of release. Upon receipt of such notice and document of release, the Administrator will forward the claim, a copy of the Administrator's final determination, and the
claimant's document of release to the Secretary of the Treasury for payment of the claim in the amount of final authorization. § 151.14 Adjudication. If the claimant, after written notice
by the Administrator of the amount authorized for payment in full settlement of the claim and after all applicable procedures of §§151.12 and 151.13 have been followed elects to dispute
the amount authorized, it may then initiate action in the United States Claims Court, which shall have jurisdiction to adjudicate the claim and enter judgment in accordance with section
11(d) of the Act. Subpart C—Administration, Penalties § 151.21 [Reserved] § 151.22 Audits. At the discretion of the Administrator, all claims submitted under section 11 of the Act and
all records of the claimant will be subject to audit by the Administrator or his/her designee. In addition, the Comptroller General of the United States or his/her designee shall have
access to all books and records of all claimants making claims under section 11. § 151.23 Penalties. Claimant's officials or others who provide information or documentation under this
part are subject to, among other laws, the criminal penalties of Title 18 of the United States Code, sections 287 and 1001, which punish the submission of false, fictitious or fraudulent
claims and the making of false, fictitious or fraudulent statements and which provide for a fine of not more than $10,000 or imprisonment for not more than five years, or both. For such
a violation, the person is likewise subject to the civil penalties set out in 31 U.S.C. 3729 and 37
State of Montana Intrastate Mutual Aid System (IMAS) Implementation Guide
State of Montana Intrastate Mutual Aid System Implementation Guide Table of Contents INTRODUCTION p.1 SYSTEM MEMBERSHIP, PARTICIPATION AND WITHDRAWAL p.1 BASIC PROVISIONS p.2 Request
for Assistance p.2 Limitation on Aid p.2 Negotiation and Deployment Coordination p.3 Control of Resources p.3 Portability of Bona Fides p.4 Benefits p.4 Liability p.4 Reimbursement p.5
Dispute Resolution p.5 INTRASTATE MUTUAL AID COMMITTEE p.6 ATTACHMENTS -Attachment 1 Montana IMAS REQ-A Form -Attachment 2 REQ-A Instructions -Attachment 3 Montana Intrastate Mutual
Assistance Compact Statutes
INTRODUCTION It is recognized that emergencies often overwhelm local government capability, transcend jurisdictional boundaries, and that intergovernmental coordination is essential
for the protection of lives and property. This cooperation is also essential for the maximum use of available resources. Under the Intrastate Mutual Aid System (IMAS) member jurisdictions
may request assistance from other member jurisdictions to prevent, mitigate, respond to or recover from an emergency or disaster; or in concert with drills or exercises. Any resource
(personnel, assets and equipment) of a member jurisdiction may be made available to another member jurisdiction. Pursuant to the Intrastate Mutual Aid Act, IMAS is composed of and may
be described as: Guidelines and procedures for implementing IMAS; Actions taken in requesting aid for an emergency or disaster; Actions taken in responding to a request for
aid; and, The committee and actions taken by the committee. Note: The Intrastate Mutual Aid System (IMAS) provides no immunity, rights or privileges to individuals that respond to
an emergency that are not requested and authorized to respond by member jurisdictions, in accordance with the Act. SYSTEM MEMBERSHIP, PARTICIPATION AND WITHDRAWAL Pursuant to the Intrastate
Mutual Aid Act, every political subdivision of the state is automatically part of the Intrastate Mutual Aid System (IMAS). Participation in the system does not preclude member jurisdictions
from entering into other agreements with other political subdivisions or Indian nations to the extent provided by law. Participation does not supersede nor affect any other agreement
to which a political subdivision is a party or may become a party. An Indian nation located within the boundaries of the state may become a member jurisdiction upon adoption by the tribal
government of a resolution declaring the tribe's desire to be a member jurisdiction and intent to comply with the provisions of the Intrastate Mutual Aid Act and the guidelines and procedures
adopted by the committee. Participation becomes official upon receipt by the Montana Division of Disaster & Emergency Services of a copy of the resolution. Member jurisdictions may elect
to withdraw from or not participate in the system, but only by adopting a resolution or ordinance declaring these intentions. Withdrawal becomes official upon receipt of a copy of the
resolution or ordinance by the Montana Division of Disaster & Emergency Services. Page 1 of 6 15 September 2006
BASIC PROVISIONS 1. LIMITATION ON AID A member jurisdiction may withhold resources to the extent necessary to provide reasonable protection of and services in its jurisdiction. 2. REQUEST
FOR ASSISTANCE [10-3-907 (2) MCA 2005. ] Requests for assistance shall be made by or through: The presiding officer of the governing body of the member jurisdiction, or The chief
executive officer of a member jurisdiction, or The officer's designee(s). Resource requests will contain the following information, at a minimum: Incident Name, Tracking Number,
and Date and Time of request Name, title, and contact information for the person placing the resource request Name, title, and contact information for the person authorizing the
request Resource information, as applicable: S – Size of resource A – Amount/Quantity of resource L – Location for resource to report/be delivered T – Type of resource needed T –
Time for resource to report/be delivered and duration of the assignment Resource assignment details including: □ Operating environment and conditions □ To whom the resource will report
□ How it will be directed □ Communications protocols □ Other mission essential information Resource requests can be made directly to other member jurisdictions, through the Montana Disaster
and Emergency Services, or using a combined approach. However, a request does not constitute a resource order. Further coordination and authorization must occur before an IMAS agreement
is reached. Requests and deployment coordination may be done verbally or in writing. If verbal requests lead to deployments under IMAS, the agreement shall be committed to writing within
thirty days of the date on which the agreement was made. However, it is recommended that the written agreement be done concurrently with the verbal request and deployment coordination
or at the earliest possible time immediately following. The IMAS Request and Deployment Form (Attachment 1) is to be utilized for this process. Page 2 of 6 15 September 2006
3. NEGOTIATION AND DEPLOYMENT COORDINATION [10-3-907 MCA 2005] Consideration of requests and deployment coordination shall be done by or through: The presiding officer of the governing
body of the member jurisdiction, or The chief executive officer of a member jurisdiction, or The officer's designee(s). Upon receiving a request for assistance, member jurisdiction
officers and/or their designees shall consider the request, determine availability, and respond to the requesting party concerning whether or not they are able to fulfill the request.
If a member jurisdiction is able to fulfill the request it shall provide the following minimum information, in the form of an offer of assistance: Variations from the original request,
if any Estimated cost of fulfilling the request, if any Logistical requirements for the resource, if any Estimated travel time from home base to designated reporting location.
A request does not constitute a resource order. Only after an authorized offer of assistance has been accepted by an officer or designee of the requesting jurisdiction is there an agreement
and deployment can begin. Requests and deployment coordination may be done verbally or in writing. If verbal requests lead to deployments under IMAS, the agreement shall be committed
to writing within thirty days of the date on which the agreement was made. However, it is recommended that the written agreement be done concurrent with the verbal request and deployment
coordination or at the earliest possible time immediately following. The IMAS Request and Deployment Form (Attachment 3) is to be utilized for this process. 4. CONTROL OF RESOURCES [10-3-908
MCA2005] Member jurisdictions’ resources (personnel, assets and equipment) are subject to the following conditions when deployed under IMAS: Member jurisdiction resources remain under
the command and administrative control of the responding member (home) jurisdiction for purposes that include standard operating procedures, medical and other protocols; The responding
member (home) jurisdiction is responsible for tracking the resource’s progress from the point of departure through arrival at the designated reporting location; Page 3 of 6 15 September
2006
Upon check-in at the designated reporting location resources deployed under IMAS are under the operational control of the appropriate officials of the member jurisdiction receiving
assistance; The jurisdiction receiving assistance is responsible for directing, maintaining accountability for, and ensuring the well-being of resources deployed under IMAS throughout
the duration of the deployment; Excess resources must be released in a timely manner to reduce incident-related costs and to free up resources for other assignments; When the resource
is no longer needed it will be promptly and safely demobilized; The jurisdiction receiving assistance is responsible for providing demobilization instructions even if a written demobilization
plan has not been developed; and, Upon notification that a resource is to be demobilized, the responding member (home) jurisdiction shall track the resource’s progress from the time
it is released through arrival at home base. 5. PORTABILITY OF BONA FIDES [10-3-909 MCA 2005] If a person holds a license, certificate, permit or similar documentation that evidences
the person's qualifications in a professional, mechanical or other skill and the person is deployed under IMAS, the person is: Reflect code language Considered to be licensed, certified,
permitted or otherwise documented in the member jurisdiction receiving aid for the duration of the emergency or disaster or of the drills or exercises; and, Subject to legal limitations
or conditions prescribed by the governing body or chief executive officer of the member jurisdiction receiving aid. 6. BENEFITS [10-3-911 MCA 2005] If a person is an employee of a member
jurisdiction that responds to a request for assistance under IMAS and the person sustains injury in the course of providing the assistance, the person is entitled to all applicable benefits,
including workers' compensation benefits, that are normally available to the person as an employee of the member jurisdiction that employs the person. If a person sustains injury that
results in death, the person's estate shall receive additional state and federal benefits that may be available for death in the line of duty. 7. LIABILITY [10-3-912 MCA 2005] Except
as provided in Section 6 (Benefits) of the Intrastate Mutual Aid Act, a person responding to a request for assistance by a member jurisdiction and who is under the operational control
of that member jurisdiction is considered for the purposes of liability to be an employee of the requesting member jurisdiction. Page 4 of 6 15 September 2006
8. REIMBURSEMENT [10-3-910 MCA 2005] Responding member jurisdictions may decide not to request reimbursement, instead deciding to donate all or a portion of the cost of the assistance
to the requesting member jurisdiction. For example, a jurisdiction may only seek to recoup extra-budgetary or replacement costs associated with providing assistance. The Intrastate Mutual
Aid Act states that a requesting member jurisdiction shall reimburse, to the extent permitted by law, each member jurisdiction that responds to a request for assistance and renders aid
under IMAS. As a general guideline, reimbursable costs are those that would normally be submitted for reimbursement and considered eligible as emergency costs under state and federal
disaster assistance programs. Reimbursable costs, when applicable, will be paid in accordance with current FEMA Rates/Guidelines. Requests for reimbursement shall be in accordance with
procedures developed by the Montana Division of Disaster & Emergency Services and approved by the the committee. Reimbursement shall be for actual expenses incurred in rendering assistance
pursuant to the actual agreement to provide assistance. Expenses that are typically considered reimbursable include: Personnel and contract costs Travel and lodging costs Costs
for meals or per diem Equipment rental, maintenance and operating costs Costs to repair or replace equipment damaged during the assignment Costs to replace consumable materials
and supplies used during the assignment To avoid duplication of payments, a responding member jurisdiction shall not request reimbursement for costs that will be recouped through normal
insurance mechanisms or where emergency costs are eligible for reimbursement through direct participation in state or federal assistance programs. 9. DISPUTE RESOLUTION [10-3-910 MCA
2005] If a dispute regarding reimbursement arises between a member jurisdiction that requested assistance and a member jurisdiction that provided assistance under IMAS, they shall make
every every effort to resolve the dispute within thirty days of written notice of the dispute given by the member jurisdiction raising the dispute to the other member jurisdiction. If
the dispute is not resolved within ninety days from the date of the written notice, either member jurisdiction may request arbitration pursuant to the commercial arbitration rules and
mediation procedures of the American Arbitration Association. Page 5 of 6 15 September 2006
INTRASTATE MUTUAL AID COMMITTEE The Committee must be appointed by and serve at the pleasure of the State Emergency Response Commission (SERC) established in 10-3-1204. The members shall
represent emergency management and response disciplines, political subdivisions and participating, Indian nations, Appointments shall be made for terms expiring four years from the date
of the appointment. The committee shall elect from among its members a vice-presiding officer and any other officers the committee deems appropriate. The committee shall meet at least
annually and may meet at the call of the presiding officer or as otherwise called by seven of its members. The committee shall be attached to the Disaster & Emergency Services Division
for administrative purposes only. The committee shall: Review the progress and status of intrastate mutual aid; Assist in developing methods to track and evaluate the activation
of the system; Examine issues facing member jurisdictions in the implementation of intrastate intrastate mutual aid; Develop, adopt and disseminate comprehensive guidelines and
procedures that address the following: 1) Projected or anticipated costs of establishing and maintaining the system; 2) Checklists for requesting and providing assistance; 3) Record-keeping
for member jurisdictions; 4) Procedures for reimbursing the actual and legitimate expenses of a member jurisdiction that responds to a request for aid through the system; 5) Other forms
and tools required to implement the system; and, Adopt other guidelines or procedures considered necessary by the committee to implement an effective and efficient system. Page 6
of 6 15 September 2006
Attachment 1 Montana IMAS REQ-A Form Page 1 15 September 2006 State of Montana Intrastate Mutual Aid Request Form REQ-A, 2006 Type or print all information except signatures. Part I
TO BE COMPLETED BY THE REQUESTING JURISDICTION Dated: Time: hrs From the County of: Contact Person: Telephone: Fax: To the County of: Authorized Rep: Incident Requiring Assistance: Type
Assistance/Resources Needed (for more space, attach Part IV): Date & Time Resources Needed: Staging Area: Approximate Date/Time Resources To Be Released: Authorized Official’s Name:
Authorized Official’s Signature: Title: Agency: Mission No: Part II TO BE COMPLETED BY THE ASSISTING JURISDICTION Contact Person: Telephone: Fax: Type of Assistance Available: Date &
Time Resources Available From: To: Staging Area Location: Approx. Total Cost of this Deployment for Which Reimbursement will be Requested: $ Trans. Costs from Home Base to Staging Area:
$ Trans. Costs to Return to Home Base: $ Logistics Required from Requesting Jurisdiction (for more space, attach Part IV): Authorized Official’s Name: Title: Authorized Official’s Signature:
Agency: Dated: Time: hrs Mission No: Part III REQUESTING JURISDICTION’S APPROVAL Authorized Official’s Name: Title: Signature: Agency: Dated: Time: hrs Mission No: Additional Information
Attachment 1 Montana IMAS REQ-A Form Page 2 15 September 2006 Part IV MISCELLANEOUS ITEMS /OTHER MISSION INFORMATION *****ADDITIONAL INFORMATION*****
Attachment 2 REQ-A Instructions State of Montana Intrastate Mutual Aid Request Form REQ-A, 2006 1. Procedures for Executing the Request for Assistance (REQ-A) Process a. Montana Intrastate
Mutual Aid System allows for Member Jurisdictions to request and provide assistance verbally and in writing, but verbal agreements made when an urgent response is needed must be confirmed
in writing within 30-days of the verbal request (10-3-907 MCA.). b. To ensure that clear and concise information is communicated among Member Jurisdictions when negotiating assistance,
Form REQ-A shall be used to officially request assistance among Member Jurisdictions. c. To officially request assistance, the Requesting Jurisdiction completes Part I of the REQ-A form
and transmits to a specific jurisdiction. d. The jurisdictions that may potentially provide resources, should complete Part II of Form REQ-A and send back to the Requesting jurisdiction
within 2 hours for consideration, rejection or acceptance. e. The jurisdiction requiring requiring assistance should review Part II’s submitted by jurisdictions that may potentially
offer assistance, and complete Part III of Form REQ-A within 2 hours by completing and submitting Part III of Form REQ-A. If the services offered, for any reason, do not meet the needs
desired by the Requesting jurisdiction, the Requesting jurisdiction can reject the offer by simply not executing Part III and by notifying the Assisting jurisdiction that the offer is
rejected. If The services being offered, terms, and conditions reflected in Part II of the REQ-A fulfill the needs of the Requesting jurisdiction, the Authorized Representative for the
requesting jurisdiction accepts the assistance and signs Part III of the REQ-A form thus authorizing resource deployment. By officially executing Part II and Part III of the Form REQ-A,
the Authorized Representatives from both the assisting and Requesting jurisdictions have, in effect, constituted a legal contract to provide and to reimburse for services to be rendered
under the Form REQ-A. f. Direct coordination among requesting and Assisting jurisdiction program managers, operations personnel or those others who are ultimately engaged in using or
proving the specific resource is essential. All parties are encouraged to communicate directly during the fulfillment of the REQ-A process to ensure that a clear understanding of what
is being requested and provided and the terms of the assistance provided are clearly understood by both parties. g. Part I, completed by the jurisdiction requesting assistance, should
include the following information on REQ-A. Additional information should be included in Part IV (as described below). i. Date and time of request ii. Name of Requesting Jurisdiction
iii. Name and contact information for person coordinating the request Page 1 of 3 15 September 2006
Attachment 2 REQ-A Instructions iv. Name of the Authorized Representative v. Type of incident requiring assistance v. Date and time of resources needed vi. Staging area vii. Approximate
date/time resources should be released viii.Authorized officials name ix. Authorized officials signature x. Title of officials name xi. Agency name xii. Mission number h. Part II, completed
by potential Assisting Jurisdictions, should be completed and resubmitted to the Requesting State no later than 2 hours following receipt of the request for assistance, and must contain:
i. Name and contact information of the Assisting State contact person. ii. Specific information about the personnel and resources that could be provided such as a) Type of resource being
offered. b) Description of the skill sets possessed by personnel assigned to the mission. c) Description of equipment being requested, if applicable & special provisions required such
as maintenance rates, replacement values, etc. d) Other special provisions by the Assisting Jurisdiction may be included in this section. iii. Date, time and time span the requested
resources will be available. iv. Name and location of the staging area where the requested resources will be deployed. v. Approximate total cost for the deployment -a working cost estimate
of the requested resources. The cost estimate should include total costs for regular & overtime pay for all deployed personnel. There is nothing in this system that would prevent the
Assisting Jurisdiction from donating their resources to the Requesting State if they choose to do so. vi. Transportation costs for all deployed personnel: a) Cost of transportation to
and from staging area b) Ground transportation expense for rental cars and/or POV mileage
needed to perform the mission c) Fuel costs for rental cars d) Meals or per-diem expense for all personnel Page 2 of 3 15 September 2006
Attachment 2 REQ-A Instructions e) Laundry expense if mission longer than one week in duration. vii. If equipment hardware comprises the request, include these items: a) Cost estimate
based on hourly operating rate. Specify if hourly rate includes or does not include gas, oil and maintenance b) Specify provisions for replacement costs if equipment be damaged or destroyed
while performing EMAC mission. viii. Authorized officials name, title, signature, and agency ix. Date, time, mission number i. Part IV: Miscellaneous items/other mission information.
Full description of assistance needed should be filled out by the jurisdiction requesting assistance. It may include items such as: a) Specialized equipment needed to support the mission.
b) Personnel clothing needed due to hazardous environment. c) Personal health protection needed, such as immunization or inoculation for certain diseases. d) Lodging & transportation
provisions (come self-contained or will be provided by Requesting Jurisdiction). e) Other information specifically related to the mission. f) Date and time assistance needed to begin
mission. g) Name and location of staging area where assistance needed. h) Time span of jurisdiction’s mission number. i) Requesting jurisdiction’s mission number. j) Signature of the
Requesting Jurisdiction’s Authorized Representative. k) Transmit the REQ-A to Assisting Jurisdictions for action. Page 3 of 3 15 September 2006
Attachment 3 Montana Intrastate Mutual Assistance Compact Statutes Part 9 Intrastate Mutual Aid System Part Compiler's Comments: Effective Date: Section 19, Ch. 354, L. 2005, provided:
"[This act] is effective on passage and approval." Approved April 21, 2005. 10-3-901. Short title. This part may be cited as the "Statewide Mutual Aid System Act". History: En. Sec.
1, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section 20(1), Ch. 354, L. 2005, provided that this section applies on [the effective date of this act]. Effective April 21,
2005. 10-3-902. Policy --purpose. (1) It is the policy of the state that: (a) available resources should be made available whenever possible and practical to minimize the negative impacts
of disasters and emergencies, regardless of the political jurisdiction in this state within which the disaster or emergency occurs and regardless of the political jurisdictions from
which a request for assistance arises or from which or to which the resources are made available; (b) agreements, either formal or informal, written or oral, between or among political
subdivisions of this state, that exist or are entered into for the purpose of providing mutual aid in the event of a disaster or emergency should remain options for political subdivisions
and should not be infringed upon or in any way affected by the provisions of this part; and (c) in particular, the provisions of this part do not affect any mutual aid agreement, either
formal or informal, written or oral, that is made or that may be made pursuant to Title 7, chapter 33, 10-3-209, or 10-3-703 or a request for assistance or aid or assistance or aid provided
or received pursuant to Title 7, chapter 33, 10-3-209, or 10-3-703. (2) It is the purpose of this part to: (a) establish an effective and efficient mutual aid system in which a political
jurisdiction can choose to participate that can operate separate from yet integrated with other freestanding mutual aid systems or agreements; (b) provide to political jurisdictions
in the state another option for establishing mutual aid agreements and for requesting, providing, and receiving mutual aid; and (c) allow political jurisdictions maximum flexibility
to protect life and property through mutual aid agreements. History: En. Sec. 2, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section 20(1), Ch. 354, L. 2005, provided that
this section applies on [the effective date of this act]. Effective April 21, 2005. 10-3-903. Statewide mutual aid system --definitions. As used in this part, the following definitions
apply: (1) "Committee" means the Montana intrastate mutual aid committee created in 10-3-904. Page 1 of 6 15 September 2006
Attachment 3 Montana Intrastate Mutual Assistance Compact Statutes (2) "Disaster" has the meaning provided in 10-3-103. (3) "Emergency" has the meaning provided in 10-3-103. (4) "Member
jurisdiction" means the state of Montana or a political subdivision or a federally recognized Indian tribe that participates in the system. (5) "System" means the Montana intrastate
mutual aid system provided for in 10-3-906. History: En. Sec. 3, Ch. 354, L. 2005. Effective March 22, 2007 Compiler's Comments: Applicability: Section 20(1), Ch. 354, L. 2005, provided
that this section applies on [the effective date of this act]. Effective April 21, 2005. 10-3-904. Montana intrastate mutual aid committee --members --officers --meetings --compensation.
(1) There is a Montana intrastate mutual aid committee. (2) All members of the committee must be appointed by and serve at the pleasure of the state emergency response commission established
in 10-3-1204. (3) The committee shall elect from among its members a presiding officer, a vice presiding officer, and any other officers considered necessary or advisable by the committee.
(4) The committee shall meet at least annually and may meet at the call of the presiding officer or as otherwise considered necessary or advisable by two-thirds of the members. (5) Members
of the committee are not entitled to compensation or to reimbursement for expenses incurred for serving on or participating in the activities of the committee. This subsection does not
preclude a member jurisdiction from compensating or reimbursing the expenses of a committee member. History: En. Sec. 4, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section
20(1), Ch. 354, L. 2005, provided that this section applies on [the effective date of this act]. Effective April 21, 2005. Transition: Section 21, Ch. 354, L. 2005, provided: "Because
[section 4] [10-3-904], creating the Montana intrastate mutual aid committee, is effective and applicable on passage and approval [approved April 21, 2005], the state emergency response
commission established in 10-3-1204 will not have had the opportunity to appoint the members of the committee. Therefore, the state emergency response commission shall appoint the members
of the Montana intrastate mutual aid committee before August 1, 2005." 10-3-905. Montana intrastate mutual aid committee --duties. The committee shall: (1) review the progress and status
of intrastate mutual aid; (2) assist in developing methods to track and evaluate activation of the system; (3) examine issues facing member jurisdictions in the implementation of intrastate
mutual aid; (4) develop, adopt, and disseminate comprehensive guidelines and procedures that address the following: (a) projected or anticipated costs of establishing and maintaining
the system; Page 2 of 6 15 September 2006
Attachment 3 Montana Intrastate Mutual Assistance Compact Statutes (b) checklists for requesting and providing intrastate mutual aid assistance; (c) recordkeeping for all member jurisdictions;
and (d) procedures for reimbursing the actual and legitimate expenses of a member jurisdiction that responds to a request for aid or assistance through the system; and (5) adopt any
other guidelines or procedures considered necessary by the committee to implement an effective and efficient system. History: En. Sec. 5, Ch. 354, L. 2005. Compiler's Comments: Applicability:
Section 20(1), Ch. 354, L. 2005, provided that this section applies on [the effective date of this act]. Effective April 21, 2005. 10-3-906. Intrastate mutual aid system --initial participation
--withdrawing. (1) There is a Montana intrastate mutual aid system. The system is composed of and may be described as: (a) the member jurisdictions and any action taken by a member jurisdiction
pursuant to this part; (b) the committee and any action taken by the committee pursuant to this part; (c) the guidelines and procedures described in 10-3-905(4); (d) any action taken
with respect to requesting assistance for an emergency or disaster under this part; and (e) any action taken with respect to responding to a request for assistance for an emergency or
disaster under this part. (2) Except as provided in subsection (4), every political subdivision of the state is part of the system. (3) A federally recognized Indian tribe that is located
within the boundaries of the state may be a member jurisdiction upon: (a) adoption by the tribal government of a resolution declaring the tribe's desire to be a member jurisdiction;
and (b) receipt by the division, as defined in 10-3-103, of a copy of the resolution. (4) A member jurisdiction may elect not to participate or to withdraw from the system upon: (a)
adopting a resolution or ordinance declaring that the member jurisdiction elects not to participate in the system; and (b) receipt by the division, as defined in 10-3-103, 103, of a
copy of the resolution. (5) This section does not preclude a member jurisdiction from entering into any other agreement with another political subdivision and does not affect any other
agreement to which a political subdivision is a party or may become a party. History: En. Sec. 6, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section 20(1), Ch. 354, L. 2005,
provided that this section applies on [the effective date of this act]. Effective April 21, 2005. 10-3-907. Intrastate mutual aid system --request for assistance. (1) A member jurisdiction
may request assistance from another member jurisdiction: (a) to prevent, mitigate, respond to, or recover from an emergency or disaster; or (b) in concert with drills or exercises between
member jurisdictions. Page 3 of 6 15 September 2006
Attachment 3 Montana Intrastate Mutual Assistance Compact Statutes (2) A request for assistance must be made by or through the presiding officer of the governing body of the member jurisdiction
or the chief executive officer or the chief executive officer's designee of a member jurisdiction. A request may be verbal or in writing and is not required to go directly to the division,
as defined in 10-3-103. If a request is verbal, the request must be confirmed in writing within 30 days of the date on which the request was made. History: En. Sec. 7, Ch. 354, L. 2005.
Compiler's Comments: Applicability: Section 20(2), Ch. 354, L. 2005, provided that this section applies on October 1, 2005. 10-3-908. Intrastate mutual aid system --limitation on assistance
--command and control. A member jurisdiction's obligation to provide assistance to prevent, respond to, or recover from an emergency or disaster or in drills or exercises is subject
to the following conditions: (1) A member jurisdiction that responds to a request request for assistance from a requesting member jurisdiction may withhold resources to the extent necessary
to provide reasonable protection and services for the responding jurisdiction. (2) The personnel of a responding member jurisdiction are under: (a) the command control of the responding
jurisdiction for purposes that include medical protocols, standard operating procedures, and other protocols; and (b) the operational control of the appropriate officials of the member
jurisdiction receiving the assistance. (3) The assets and equipment of a responding member jurisdiction are under: (a) the command control of the responding jurisdiction; and (b) the
operational control of the appropriate officials of the member jurisdiction receiving the assistance. History: En. Sec. 8, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section
20(2), Ch. 354, L. 2005, provided that this section applies on October 1, 2005. 10-3-909. Intrastate mutual aid system --portability of bona fides. If a person or entity holds holds
a license, certificate, permit, or similar documentation that evidences the person's or entity's qualifications in a professional, mechanical, or other skill and the assistance of the
person or entity is requested by a member jurisdiction, the person or entity is: (1) considered to be licensed, certified, permitted, or otherwise documented in the member jurisdiction
that requests assistance for the duration of the emergency or disaster or of the drills or exercises; and (2) subject to any legal limitations or conditions prescribed by the governing
body or chief executive of the member jurisdiction that receives the assistance. History: En. Sec. 9, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section 20(2), Ch. 354, L.
2005, provided that this section applies on October 1, 2005. Page 4 of 6 15 September 2006
Attachment 3 Montana Intrastate Mutual Assistance Compact Statutes 10-3-910. Intrastate mutual aid system --reimbursement --dispute resolution. (1) A requesting member jurisdiction shall
reimburse each member jurisdiction that responds to a request for aid or assistance and renders aid under the system unless the member jurisdiction rendering aid donates all or a portion
of the cost of the assistance to the requesting member jurisdiction. (2) A request for reimbursement must be in accordance with procedures developed by the committee. (3) If a dispute
regarding reimbursement arises between a party that requested assistance under the system and a party that provided assistance under the system, the involved parties shall make every
effort to resolve the dispute within 30 days of written notice of the dispute given by the party asserting noncompliance to the other party. (4) (a) If the dispute is not resolved within
90 days from the date of the notice, either party may request that the dispute be resolved through arbitration. (b) All arbitration occurring under this section must be conducted pursuant
to the commercial arbitration rules and mediation procedures of the American arbitration association as the rules and procedures exist on the date of notification described in subsection
(3). History: En. Sec. 10, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section 20(2), Ch. 354, L. 2005, provided that this section applies on October 1, 2005. 10-3-911. Intrastate
mutual aid system --workers' compensation coverage. (1) If a person is an employee of a member jurisdiction that responds to a request for assistance from a member jurisdiction and the
person sustains injury in the course of providing the requested assistance, the person is entitled to all applicable benefits, including workers' compensation benefits, normally available
to the person as an employee of the member jurisdiction that employs the person. (2) If the person's injury results in the person's death, the person's estate must receive any additional
state and federal benefits that may be available for death in the line of duty. History: En. Sec. 11, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section 20(2), Ch. 354, L.
2005, provided that this section applies on October 1, 2005. 10-3-912. Liability --immunity. (1) All activities performed pursuant to a request for assistance as provided for in this
part are considered to be governmental functions. (2) Except as provided in 10-3-911, a person responding to a request for assistance who is under the operational control of the requesting
member jurisdiction, as provided for in 10-3-908, is considered for the purposes of liability to be an employee of the requesting member jurisdiction. (3) Except in the case of willful
misconduct, gross negligence, or bad faith, the member jurisdiction or an employee of the member jurisdiction is immune from liability for the death of or injury to any person or for
damage to property if the member Page 5 of 6 15 September 2006
Attachment 3 Montana Intrastate Mutual Assistance Compact Statutes jurisdiction or the employee of the member jurisdiction is complying with or attempting to comply with the system.
History: En. Sec. 12, Ch. 354, L. 2005. Compiler's Comments: Applicability: Section 20(2), Ch. 354, L. 2005, provided that this section applies on October 1, 2005. Part 10. Emergency
Management Assistance Compact Page 6 of 6 15 September 2006
State of Montana Hazardous Materials (HazMat) Response Plan Volume XII Montana Disaster and Emergency Plan
TABLE OF CONTENTS TAB SECTION PAGE No. I. Introduction Purpose 1 Scope 1 Authority 1 Assumptions 2 Incident Command 2 II. Implementation 1 III. State Hazardous Materials Incident Response
Teams Mission Statement 1 Goals 1 Policies 1 Coordination with other Agencies 2 State Hazardous Materials Incident Response Team Membership 2 Training and Performance 2 Authorization
Process for team members 2 Financial Management 3 State Hazardous Materials Incident Response Team Components 3 Minimum Requirements 3 Minimum Equipment Standards for Hazardous Materials
Response 4 IV. Response Procedures at an Incident Notification and Communication 1 State Resource Assistance 1 Montana State Emergency Response Commission (SERC) 2 Hazardous Materials
Incident Response 2 State Agency Response 2 Disaster and Emergency Services Division – Duty Officer 3 Resource Ordering System 5 Orphan Material Procedure 6 Definition 6 Procedure 6
V. Responsibilities Functional Responsibilities: 1 MT-DES Duty Officer 1 Montana State Hazardous Materials Incident Response Team 1 Incident Commander 1 Primary Agencies 1 Local Governments
1 Radiation Response Coordinator 2 Responsibilities Common to All Agencies 2 Responsibilities of Local Governments and Private Sector Organizations 3 Responsibilities of State Agencies
including Orphaned Hazardous 10/18/2006
Materials and Clandestine Labs 4 Governor’s Office 4 Department of Environmental Quality 4 Department of Fish, Wildlife and Parks 5 Department of Justice 5 Department of Military Affairs
5 Montana National Guard 5 Disaster and Emergency Services Division 6 Department of Natural Resources and Conservation 7 Department of Public Health and Human Services 7 Montana Department
of Transportation 7 Responsibilities of Federal Agencies 8 Department of Defense 8 National Park Service, Department of Interior 8 Center for Disease Control 8 National Toxic Substances
and Disease Registry 8 Environmental Protection Agency 8 Environmental Response Team 9 Coast Guard’s National Strike Force 9 National Transportation Safety Board 9 National Railroad
Administration 9 Department of Energy 9 VI. Federal Resources Available for Radiological Emergencies 1 VII. Training Specifications First Responder Awareness 1 First Responder Operations
1 Hazardous Materials Technician and Specialist 1 Incident Commander 1 Training Levels 2 First Responder Awareness Level 2 First Responder Operations Level 2 Hazardous Materials Technician
Level 3 Hazardous Materials Specialist 3 On-Scene Incident Commander 4 VIII. Financial Reimbursement Procedures & Packet 1 Schedule of Costs 2 Cost Recovery Forms 2 Cost Recovery for
State Response Personnel 3 Right to Reimbursement 3 Deficiency Warrants for Reimbursement of Response Costs 3 Cost Recovery and Civil Remedies 3 Liability of Persons and Response Personnel
Rendering Assistance 4 10/18/2006
IX. APPENDIX i SERC HAZMAT Standard Cost Recovery Packet 1 Billing Information Worksheet 2 Apparatus/Vehicle Worksheet 3 Personnel Cost Worksheet 4 Equipment Cost Worksheet 5 Miscellaneous
Cost Worksheet 6 Cost Summary Sheet 7 X. APPENDIX ii Memorandums of Understanding MOU for Hazardous Material Incident Response Team /SERC 1 XI. APPENDIX iii Definitions, Explanations
and Acronyms & Legal Authorities M.C.A., Definitions and Explanations 1 Acronyms 2 Legal Authorities Contents 4 XII. APPENDIX iv CONTACT NUMBERS 1 10/18/2006
Section I – State of Montana Hazardous Materials Response Plan I. INTRODUCTION Purpose The primary purpose of this plan is to provide effective coordinated emergency response support
to local government by state, federal, and private agencies for incidents involving the release or potential release of hazardous materials in the State of Montana. For the purposes
of this plan, "hazardous material" means a hazardous substance, a hazardous or deleterious substance as defined in 75-10-701, MCA, radioactive material, or a combination of a hazardous
substance, a hazardous or deleterious substance, and radioactive material. Other purposes of this plan are to provide guidance to State personnel who may encounter an incident involving
hazardous materials and to define the support role of specific state agencies. This state plan can be initiated at the request of local governments. This plan allows for coordination
with local hazardous materials response plans developed by cities, counties, and Local Emergency Planning Committees, hereafter referred to as “LEPC”, pursuant to Title III of the Federal
Superfund Amendments and Reauthorization Act hereafter referred to as “SARA Title III”. Coordination could include out of state entities. This plan provides for response and support
of the capabilities of local response personnel when the incident involves hazardous materials as defined in 10-3-1203 Montana Codes Annotated (MCA). The State of Montana recognizes
the wide variation in local hazardous materials response capabilities throughout the state and adjacent states. It is important, therefore, to emphasize that the state's intent is to
SUPPLEMENT local capabilities, not to supplant it. The Montana Hazardous Materials Response Plan shall be implemented at the request of local government. Scope This plan outlines the
circumstances under which state support will be initiated. The plan is for the use of state personnel and local jurisdictions that are involved with hazardous material emergency response
within the state. The The plan covers the procedures, communications, and responsibilities of participating agencies and provides for the follow-up to hazardous material spills or release
incidents. The capabilities and responsibilities of the various agencies involved are outlined. This plan addresses transportation and fixed site spills, releases, or threat of release
of hazardous materials, and incidents involving orphaned hazardous materials, which may pose a threat to human health or the environment. In accordance with Montana law 10-3-105 MCA,
the State may consult and cooperate with agencies in the federal government, other States, and Canadian federal or provincial governments. Authority Authority for implementation of this
plan is derived from 10-3-1204 (2 through 5), MCA. The Montana Hazardous Materials Response Plan requires the coordinated efforts of all signatory agencies. 10/18/2006 Page 1 of 2
Section I – State of Montana Hazardous Materials Response Plan Assumptions The response activities in this plan are based on the National Incident Management System (NIMS). NIMS is a
management tool that provides a structure for response to emergency situations, in this case, hazardous materials incidents. It provides a system for federal, state, and private entities
to be integrated under local command. SARA Title III, Occupational Safety and Health Administration (OSHA), and the Environmental Protection Agency (EPA) rules require use of an Incident
Management System for hazardous materials incidents. It is the policy of the Montana State Emergency Response Commission hereafter referred to as the “SERC”, that NIMS will be used when
responding to hazardous materials incidents, in conjunction with the State Emergency Coordination Plan hereafter referred to as the “SECP”. NIMS, when implemented by local government
during initial response, will allow state resources to become part of the response network without disrupting local effort. Incident Command and Control The State Hazardous Materials
Incident Response Team hereafter referred to as “SHMIRT” is designed as a support unit to provide 24-hour coverage seven days a week. The SHMIRT operates under the direction of a team
leader. When multiple regional components are operating as the state team at the same incident, the first team deployed will have the team leader unless the SHMIRT at a later time agrees
to assign that responsibility to another team member. As a support unit, the team operates under the direct authority of the IC. If requested, the team may provide technical guidance
to an IC on-scene or by phone. Use of the team does not release the local response agencies from their duty to provide normal response functions. 10/18/2006 Page 2 of 2
Section II – State of Montana Hazardous Materials Response Plan II. Implementation The Disaster and Emergency Services Division hereafter referred to, as “MT-DES” is the statutorily
assigned agency for notification of reportable hazardous materials incidents as established by 10-3-1211 MCA and Title III of the SARA. This enables MT-DES, to maintain a database of
incidents. Reporting hazardous materials incidents to MT-DES also fulfills state reporting requirements as established by 10-3-1211 MCA and Title III of the SARA. The decision to initiate
the request for assistance provided in this plan shall be made by the local Incident Commander according to procedures outlined in their local emergency operations plan, when it is determined
that a hazardous material is involved in quantities or conditions exist that may pose an immediate hazard to public health and/or the environment, or when the IC is seeking technical
advice or assistance. The plan is initiated by calling MT-DES, at 406-841-3911. MT-DES will notify the appropriate response and support agencies, when requested to do so by the IC. Summary
Implementation of the Montana Hazardous Materials Response Plan includes creation of a single specially trained and equipped team for hazardous material incident response. The state-wide
response SHMIRT is a cooperative effort of regionally located response teams, designated officials of state agencies, and the SERC. The SHMIRT members are strategically located around
the state. Each of these regional teams will consist of hazardous materials emergency response personnel with specialized equipment specific to hazardous materials response. The regional
teams, when activated, will operate under the direction of the team leader and within NIMS. The teams are intended to respond to the most acute and critical hazardous emergencies in
the state. Their primary objective is to protect human life, the environment, and property during the early stages of an emergency. While there is an expectation from the State Emergency
Response Commission (SERC) and the MT-DES State Emergency Coordination Center (SECC) that the regional teams comprising the SHMIRT will respond when requested, there is also an understanding
that there may be local circumstances that may prevail and prevent them from responding or subject for recall to their home station. In order to accomplish this, the regional teams must
remain under local administrative control and not as a state resource. 10/18/2006 Page 1 of 1
Section III – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 1 of 6 III. State Hazardous Materials Incident Response Teams Mission Statement To create and establish
strategically located, specially trained and equipped regional hazardous materials incident response teams (regional teams) using the combined resources of the state of Montana, local
governments, and private industry. The state response teams’ mission is to protect Montana’s citizens, environment, natural resources, and property from the effect of hazardous material
releases or the threat of release of hazardous materials. Goals Goal 1: To provide emergency responders with timely, up-to-date information, in a readily accessible manner, which may
be used as a basis for emergency operations decisions. Goal 2: To assist local governments in responding to and mitigating the effects of hazardous materials incidents. Goal 3: To provide
emergency responders with appropriate hazardous materials training to meet operational and regulatory requirements. Goal 4: To provide regional teams with appropriate equipment and training
to support other emergency responders at hazardous materials incidents. Policies The State of Montana recognizes that local governments have primary responsibility for the mitigation
of hazardous materials emergencies. For those incidents where the local officials ask the State for assistance, the State Hazardous Materials Incident Response Team (SHMIRT) will provide
emergency hazardous materials incident response coverage. The regional hazardous materials incident response teams, as components
of the SHMIRT, will be strategically located in authorized agencies identified by the SERC. Trained HAZMAT personnel from host agencies will staff the regional teams. Those agencies
at their sole discretion may include members on their team who are not regular members of their organization. The regional teams will use NIMS and will not respond to an incident until
the IC has been established at the incident. The team will work under the direct supervision of a Team Leader. Administrative and legal operations of the regional response team components
and the SHMIRT are to be consistent with administrative rules adopted by the state. Such rules must meet statutory guidelines and operational needs. The Montana Hazardous Materials Response
Plan in addition to CFR 1910.120 and NFPA 472 and other applicable standards addressing will guide response team operations including:
Section III – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 2 of 6 • Personnel • Regulatory compliance • Equipment standards • Insurance requirements • Training
requirements • Certification requirements • Records and reporting • Medical surveillance • Billing/cost recovery program • Decontamination Procedures Coordination with other Government
Agencies The State of Montana and its State Hazardous Materials Incident Response Team is committed to the principles of integrated emergency management. Command and control functions
will use NIMS. SHMIRT Agencies The SERC will determine what agencies will have SHMIRT Teams and only those agencies will be authorized by the SERC. Training and performance The State
of Montana will provide specialized training to response team personnel through the SERC. State regional response team training programs will address the federal training levels as outlined
in the "Training Specifications" section of this plan. Criteria for the authorization of teams will be defined in the authorization process section of this plan and audited by a committee
of the SERC. The teams will be trained in and operate under NIMS. SHMIRT will be evaluated using the performance criteria established by 29 CFR 1910.120 (q) and National Fire Protection
Association (NFPA) Standard 471 and 472. AUTHORIZATION PROCESS FOR PERSONNEL WITH ADVANCED HAZMAT CAPABILITIES The following outlines the steps for personnel with advanced hazmat capabilities
to become authorized by the SERC: 1. The chief executive of the agency requesting authorization shall submit to the SERC annually, a letter of certification, listing the members of the
team, the qualifications of the personnel, and also certification of the minimum required hazardous materials equipment as required by this plan. 2. Once the authorization process has
been completed by the SERC, a letter shall be sent to MT-DES validating the agency’s team accreditation.
Section III – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 3 of 6 3. Each authorized team will participate, with other regional teams in, at least, one multi-agency
hazardous materials exercise a year. 4. The authorized agency will enter into a Memorandum of Understanding with the SERC. 5. If team members change or additional members are added,
the chief executive for the agency will submit the changes along with training documentation to the SERC prior to deployment as a team member. Financial Management The SHMIRT operates
under the administration of the SERC. All fiscal accounting, planning, budgeting, recording, and reporting programs of the team will be the function of the SERC and outlined in memorandums
of understanding between the SERC and the response teams. State Hazardous Materials Incident Response Team Components A regional SHMIRT consists of a minimum of six members competent
at the technician level. Regional teams can be staffed by members of a single agency or may be comprised of personnel from various agencies. Hazardous materials qualified (OSHA 1910.120)
positions that are required to be staffed at an incident to which the SHMIRT responds include: 1. Incident Commander -local agency 2. Hazmat Team Leader 3. Hazmat Safety Officer -SHMIRT
Member 4. Entry Team -SHMIRT 5. Back-up Team -SHMIRT 6. Research -SHMIRT 7. DECON -local agency or SHMIRT 8. ALS as defined by state EMT licensing rules -local agency or SHMIRT Depending
on the complexity of the incident other positions may be required to provide effective and safe management of the incident. Minimum Requirements (See Training Requirements – Section
VII) The minimum requirements for regional teams to be considered a component of the SHMIRT include: 1. The chief executive for each regional team will certify training and equipment
standards are met for their respective team members. 3. Annual approval as a team by the SERC. 3. Available, 24 hrs/day, 7 days/week for technical assistance by phone. 4. Available to
supply 3 team members on-site 24 hrs/day, 7 days/week for initial and extended response for a period not to exceed 10 days. Teams should respond to MT-DES within 30 minutes of the request
for a response and advise MT-DES whether they are able/not able to respond.
Section III – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 4 of 6 Minimum Equipment Standards for Hazardous Materials Response Scope: These standards shall be applicable
to the SHMIRT. Purpose: This standard specifies minimum hazardous material equipment requirements for regional teams involved in mitigating hazardous material related activities. These
standards are not intended to restrict jurisdictions from exceeding these minimum equipment standards. It is the intent for a full mobilization of the SHMIRT that this minimum equipment
will be on site of the incident and that not every responding team component will be required to bring all of their equipment with them to the incident. Reference Materials: NFPA Fire
Protection Guide on Hazardous Materials Condensed Chemical Dictionary A Farm Chemical Reference Book (Farm Chemical Handbook, AG Products Safety Manual) CHRIS Manual, Volumes 1, 2, &
3 Merck Index -current edition Emergency Care for Hazardous Materials Exposure or HAZMAT Injuries ACRR HAZMAT Spill Control NIOSH Pocket Guide To Chemical Hazards DOT Emergency Response
Guide “ERG” “Janes” Chem-Bio handbook Miscellaneous Equipment: Protective Clothing Equipment (NFPA-NIOSH-OSHA approved): 4 Flash Protection suits 8 Level "A" suits Cryogenic gloves Hard
Hats Chemical resistant boots Vinyl Boot Covers Neoprene Boot Covers Latex Boot Covers Butyl Rubber Boot Covers Fire Boots Butyl Rubber Gloves Viton Rubber Gloves Nitrile Rubber Gloves
PVC/Nitrile Gloves Neoprene Gloves Silvershield HAZMAT Gloves 4 -Approved Self Contained Breathing Apparatus (SCBA) 6 -1 hour spare bottles for SCBA
Section III – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 5 of 6 Spill/Leak Control Equipment: Chlorine kit "A" Access to a Chlorine "B"& Chlorine "C" kit Adsorbent
booms and sheets 2 Dome Clamp set Plug/Patch Kits Plug dike PVC pipe -assorted sizes Assorted Plumbing adapters Non-sparking barrel pump Funnels -assortment 55 & 85 Gallon over pack
drums Monitoring Equipment: Binoculars Gas detection monitor (4 gas minimum) Extension probes PH Paper Radiation detector and monitor PCB Kit Spill-Father Chemical Classifier Weather
Station Mercury Spill Kit Heinz 5 step Field Identification Kit Tools: Non-sparking tool kit Standard tool kit Shovel, round point and square point, regular and non-sparking Bung wrench,
non-sparking Pipe wrenches, non sparking Push broom Poly broom Plastic dustpans Squeegee Dolly Pinch or crow bar non-sparking Sledgehammer, 8 lb. 24" bolt cutter Drum lifters Decontamination
Equipment: Acid neutralizer Caustic neutralizer Solvent neutralizer Plastic sheeting Disposable trash bags
Section III – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 6 of 6 Salvage Covers Eyewash kit Disposable latex gloves Trash cans Bleach, vinegar, ammonia, soap Disinfectant
Scrub brushes with handles Plastic pails Disposable coveralls with booties and hoods Wash, rinse and containment system Communications/Command Equipment: Portable Radios, 5 Watt – Programmable
Batteries, Chargers, Belt Clips Cellular phones Computer Equipment: PC of choice – Compatible with Regional Teams 9600 baud or greater modem Portable printer Portable Fax Cameo/Aloha
Software
Section IV – State of Montana Hazardous Materials Response Plan IV. Response Procedures at an Incident Notification and Communication Immediate action should be taken to safeguard responders
and the public. Local jurisdiction must operate under NIMS and have an appointed IC. All responders will report to the designated staging area and check in. The local jurisdiction is
responsible for hazardous materials incident response and does so in accordance with their Local Emergency Operations Plan hereafter referred to as the “LEOP”. Emergency responders shall
evaluate the situation and determine if a hazardous material is present. If hazardous materials are thought to be present in amounts that may pose a threat to persons, the environment,
or property the responder shall follow the Standard Operating Procedures (SOP), established by their organization. The IC may request the activation of the State Hazardous Materials
Plan according to procedures established in their LEOP. The IC may, according to local procedures, request MT-DES to: 1) Contact needed resources, and 2) Conference the telephone calls
between the IC and the resource agency. If local jurisdictions need State resource assistance: • Call MT-DES Duty Officer at 406-841-3911 • Identify caller • Identify jurisdiction •
Identify location of incident MT-DES at a minimum will contact a hazardous material technician who is a member of the Montana State Hazardous Material Incident Response Team; hereafter
referred to as “SHMIRT” and conference the call with the IC. The IC and the hazardous material technician will evaluate the information and if additional support is needed, MT-DES will
conference the calls as requested. If it is determined by the on scene IC that any state agency needs to support the incident on-site, the requested agency shall dispatch personnel according
to its SOP. If SHMIRT members are to respond on-site there shall be an agreement by the authority of the IC, Governor’s Office, MT-DES, and the Hazardous Materials technician on the
conference call prior to deployment. 10/18/2006 Page 1 of 6
Section IV – State of Montana Hazardous Materials Response Plan MT-DES will continue to contact the supervisors of support services as requested by the IC, which are defined in the responsibilities
section of this plan. Each agency is responsible for documentation of their costs for reimbursement. Montana State Emergency Response Commission (SERC) MT-DES will notify the SERC chairperson
about HazMat incidents that require assistance. The chairperson may notify other SERC members. Hazardous Materials Incident Response When requested by the IC, MT-DES will contact the
nearest SHMIRT members as needed. Individual members of the response team will be contacted according to their local SOP. Responders are required to bring with them equipment practical
and necessary for the response. Response team members work under the direct supervision of their team leader. The response team leader operates at a designated level in NIMS. The response
team leader and members shall maintain regular contact with MT-DES during travel to and upon arrival at the incident. The response team leader will check in upon arrival at the designated
staging area. The Response Team Leader will be briefed from the local IC. The team leader negotiates a written set of rules of engagement and incident action plan with the incident command
team and shall be approved by the IC. The SHMIRT is required to track their expenses and apply for reimbursement according to the plan reimbursement procedure. SHMIRT members act only
in the capacity for which they were requested and shall not be requested to assume the sole responsibility of command of the incident. State Agencies Members of state agencies, other
than emergency service provider agencies, and their support staff do not normally respond to incidents, but could respond if requested by the IC. 10/18/2006 Page 2 of 6
Section IV – State of Montana Hazardous Materials Response Plan MT-DES notifies state agencies about emergency incidents as needed to support the response. Members of state agencies
are notified about emergency incidents according to procedures outlined in their agency SOP. Members of state agencies requested to respond to an incident will arrange their own transportation.
Responders shall maintain routine contact with MT-DES during travel to and arrival at the incident. Responders shall check-in upon arrival at the designated staging area. Members of
the state agencies requested to respond must track their expenses and submit them according to the plan reimbursement procedure. Members of state agencies who respond will act only in
the capacity for which they were requested or assigned by the IC. Disaster and Emergency Services Division MT-DES DUTY OFFICER Upon notification of the occurrence of a hazardous materials
incident (or a potential hazardous materials incident), MT-DES will perform the following tasks (in accordance with established guidelines in the MT-DES Duty Officer Handbook): Determine
the nature of the incident. Identify the caller, their jurisdiction and the location of the incident. Ascertain whether the IC is requesting assistance from the State, or simply notifying
the State Emergency Response Commission (SERC), through MT-DES, of an incident that has occurred and was (or, is being) handled routinely by local responders. -If the call is for notification
purposes only (and the IC indicates that he currently has time to answer questions), MT-DES will collect pertinent information and complete a Duty Officer Incident Report. If the IC
does request assistance from the State (under the provisions of this Plan), MT-DES will briefly explain the support process and their role as communications facilitator (during a telephone
conference call between the Incident Commander and a hazardous materials technician who is a member of the SHMIRT. -MT-DES Duty Officer will immediately notify the SECC Manager and activate
the SECC to the appropriate level. (Conference Call capability is limited by the DO so it should be conducted from the SECC) MTDES will place a call to the appropriate SHMIRT, explain
the situation to the hazardous materials technician handling the call, and introduce the 10/18/2006 Page 3 of 6
Section IV – State of Montana Hazardous Materials Response Plan technician and the IC. MT-DES will monitor their conversation, listening specifically for the following things: 1.) Any
immediate threats to life, property, or the environment. a. Evacuations in progress, pending or already completed? b. Evacuation routes defined? c. Sheltering in place? Perimeter(s)?
d. Special Needs population? i. Any immediate impacts? 2.) Resource needs of the local jurisdiction that the State may be able to support. 3.) “Safe Route” to and Exact Location of the
incident. 4.) Staging Area location. 5.) “ALS” ambulance dedicated to the Hazmat Team. 6.) “POC” at the Incident Scene. 7.) Current weather conditions at incident site. 8.) Incident
Command structure in place by local jurisdiction. 9.) Support capabilities of local jurisdiction to take care of team members while deployed. 10.) Local jurisdiction DECON capabilities
and needs specific to the incident. 11.) What actions have been taken? 12) Who is the responsible party party if known or is this orphan material? -If the IC’s questions/concerns are
not being met, or it becomes clear that additional support will be needed, the MT-DES may introduce additional parties to the conference. Decisions regarding possible deployment of any
component of the SHMIRT will be made jointly by: 1.) The on-scene IC. 2.) SHMIRT members 3) The MT-DES DO (and the State Emergency Coordination Center (SECC) Manager) 4) A representative
from the Governor’s Office When a course of action has been agreed to, MT-DES will make the appropriate contacts and notifications (per the guidelines established in the MT-DES Duty
Officer Handbook). Once the State Hazardous Materials Plan is activated, MT-DES is authorized (by the SERC) to place orders for resources requested by the IC. The DO will notify the
SECC manager and activate the SECC if a hazardous materials event should escalate to the point where: (any of the following) 10/18/2006 Page 4 of 6
Section IV – State of Montana Hazardous Materials Response Plan (1) incident support demands begin to exceed the DO personal span of control; (2) On Site Assistance has been requested;
Resource Ordering System 1. MT-DES can provide up to three personnel at no cost to local government including: a. MT-DES Advisor (Agency Representative) b. National Incident Management
System (NIMS) coach. c. Technical Specialist(s) 2. State and Federal agencies that provide mutual aid are responsible to bill local government, if appropriate. 3. Local government can
order any state or federal resource they need through the State ECC. Local governments will be responsible for the cost of such resources. Once local governments’ emergency two-mill
levy is committed and exhausted, eligible costs may be reimbursed by the state. MT-DES will consolidate the bill to local government for state and federal agencies. Private contractors
must bill directly to local government if ordered by local government. 4. If the size of a local incident or many incidents across the state are jamming the resource ordering process,
a conference call will be initiated, involving the local EOC, the State ECC, the Northern Rockies Coordination Center (NRCC), zone dispatch centers, Department of Natural Resources and
Conservation (DNRC), and Department of Military Affairs (DMA) Centralized Services Division (CSD). 5. ALL SECC Resource orders will be documented using the NWCG Resource Ordering Procedures.
Any and all (legitimate) Resource Orders placed by MT-DES, using National Wildfire Coordinating Group (NWCG) resource ordering procedures, should include the following minimum components:
1.) Resource Information -What (specifically) was ordered? People? Equipment? -By whom? -For what purpose? -When is it needed? 2.) Check-In Information -Location for “staging” (at the
incident) -Name of Contact -How to reach them (i.e.; phone #, radio frequency, etc.) -Responsible jurisdiction requesting assistance -Responsible party if known (shipper/owner) 10/18/2006
Page Page 5 of 6
Section IV – State of Montana Hazardous Materials Response Plan Transportation/Travel Arrangements -Who is responsible? -What is the travel route or plan? -Mode of travel and related
information (i.e. vehicle description/license plate information) 6. When local EOC’s order resources, they should order generically, not agency specific. Orphaned Material Procedure
Definition: "Orphaned hazardous material" means hazardous material of which the owner cannot be identified. (10-3-1203(11) MCA) Procedure: 1. Upon the request of the local IC, who has
responded to an orphaned hazardous material, MT-DES will locate and dispatch the nearest SHMIRT. 2. The SHMIRT will attempt to identify the material. 3. If orphaned materials are determined
to be hazardous or the SHMIRT is unable to identify the substance, the IC will notify MT-DES. 4. MT-DES in consultation with Department of Environmental Quality (DEQ) and other state
and federal agencies, as appropriate, shall determine the appropriate methodology and provide guidance to the IC for securing, transporting, clean up and disposal of an orphaned material.
5. The SHMIRT shall complete appropriate documentation of the response and forward it to MT-DES. 10/18/2006 Page 6 of 6
Section V – State of Montana Hazardous Materials Response Plan V. Responsibilities: Functional Responsibilities: MT-DES Duty Officer will conference any calls the IC requests and moderate
those conferences. Other than initial calls, the duty officer will be required to have a presence in the SECC for additional conference call capability and will notify the SECC manager
for assistance. Montana State Hazardous Material Incident Response Team -SHMIRT -is a cadre of trained personnel operating under an emergency response plan and appropriate SOPS. The
team is expected to perform work to control the actual release or threatened release of hazardous material requiring close approach to the material; to respond to releases or threatened
releases of hazardous material for the purpose of control or stabilization of the incident; and to provide technical assistance to local jurisdictions. The SHMIRT is under the direction
of the IC. If requested they may provide technical guidance to the IC; however this does not release local response agencies from their duty to provide response functions. Team response
functions may not require the team to be on site. Under no circumstances should the local jurisdiction expect the SHMIRT assume management of an incident. Incident Commander (IC) will
be in charge of all efforts at the scene including those of state agencies support personnel. The IC will be designated according to the local response plan. The IC shall be responsible
for on-site communications and information releases to the public or press, enforcement investigation and site command and control. The IC has the authority to direct all response activities
assuring life safety, environmental, and property protection. The IC determines when the emergency phase of the response should be terminated and when the incident should be assigned
to the appropriate agency for follow-up. Primary Agencies are given a standby notification that a hazardous materials incident has been called into the MT-DES. The standby notification
provides the primary agencies with early notice of the incident and that they may be notified to join a conference call at a later time. They include any or all of the State Hazardous
Materials Incident Response Team members, and the DEQ Duty Officer, and MT-DES. Local governments -Local governments are responsible for the safety and welfare of their constituents.
Emergency response is based on the principle that local authorities bear initial and continuing responsibility for emergency incident mitigation. Each local discipline is responsible
for duties agreed to and defined in the LEOP. Those disciplines include but are not limited to; Law Enforcement, Fire Departments, Emergency Medical Responders, Search and Rescue, Public
Works, and Elected Officials. [Local government is also responsible to the collection of all response and cleanup expenses for the incident from the responsible party and reimbursing
any state funding source that covers the initial expense of state response to an incident. (10-3-1216 (1) MCA)] 10/18/2006 Page 1 of 9
Section V – State of Montana Hazardous Materials Response Plan Responsibilities Common to All Agencies Designate agency personnel who will be made available and are capable of responding
to hazardous materials emergencies, including regular updates as personnel and training levels change. Designate specific state agency personnel to be on 24-hour call and insure their
agency duty officer has this information available for notification and deployment by the MT-DES Duty Officer or the SECC. Notify the MT-DES Duty Officer (406-841-3911) for reporting
hazardous materials incidents. Adhere to the provisions and procedures of the Montana Hazardous Materials Plan, i.e., this document. Channel on-site media communications through the
IC or the incident’s designated Public Information Officer (PIO). Cooperate with the directions of the IC for on-site emergency response activities. Educate and train employees in hazardous
materials response on a continuing basis as required by OSHA and EPA regulation (29 CFR 1910.120). Participate in incident critique to aid in future prevention and improved emergency
response. Practice using provisions and procedures of the Montana Hazardous Materials Plan. Responsibilities of Local Governments and Private Sector Organizations It is the responsibility
of local jurisdictions and private sector organizations to understand and comply with the federal rules and regulations regarding hazardous material and response to hazardous material
incidents. Those rules include but are not limited to SARA Title III, OSHA (1910.120) and Title 10 MCA. While it is the statutory responsibility of the designated local organization
or agency, to respond to hazardous material incidents, it is not the normal responsibility of said organization or agency to conduct removal or remedial action. The responsibility lies
with the legally responsible party, be it the land owner, owner, buyer, shipper, manufacturer, or insurance carrier. Each local government is required under the authority of Title 10-3-401
MCA to have an LEOP. In addition, every local jurisdiction must have completed a Local Emergency Response Plan or Annex for hazardous materials, with up-dates completed annually. A copy
10/18/2006 Page 2 of 9
Section V – State of Montana Hazardous Materials Response Plan of the plan, or its up-date, must be on file in the state office of MT-DES and be reviewed by MT-DES staff (10-3-401 MCA).
Responsibilities of State Agencies including Orphaned Hazardous Materials and Clandestine Drug Labs Governor’s Office The Governor has overall responsibility to direct and control state
government operations that support local emergency or disaster operations and to mitigate the dangers to the state and its citizens presented by a disaster or emergency. The Governor
exercises emergency responsibilities by proclamation, executive order, or directive to facilitate emergency operations. All departments of state government support the Governor’s efforts.
The Governor or a designee may be requested to, participate in a conference call conducted during a hazardous materials incident. The Governor may authorize the use of the Environmental
Contingency Grant Account funds for SHMIRT response. The Governor may determine to apply disaster funds to an incident. The Governor may activate the Montana National Guard, (MTNG) once
a disaster is declared. Department of Environmental Quality (DEQ) DEQ and its environmental health programs provide a variety of support to hazardous material incidents. DEQ joins other
state agencies in forming a cooperative resource for offering advice, guidance and assistance to hazardous material to the IC during incident stabilization. DEQ will be responsible for
assuring the proper management of cleaning up the site and disposal. As an agency, DEQ has a variety of roles and responsibilities. It advises the governor when an official assistance
request might be made to the U.S. Coast Guard to use the Oil Spill Liability Trust Fund. If the governor is unavailable to make the request, the director of DEQ or administrator of MT-DES
can make it. Through its relationship with the EPA, the department can formally request that the EPA lend its expertise and financial resources to assist in emergency situations. As
the state's representative to the Federal Regional Response Team, DEQ can also access the expertise and materiel resources of a number of federal agencies and states in EPA Region VIII
(which includes: North Dakota, South Dakota, Colorado, Utah, Wyoming and Montana). The response time for these resources generally will vary from several days to a couple of weeks. The
department's philosophy is the person or entity owning or contributing to the release of a hazardous substance(s) is responsible for properly cleaning up and disposing of the released
substance(s). DEQ maintains a contract for hazardous material response and cleanup and has 10/18/2006 Page 3 of 9
Section V – State of Montana Hazardous Materials Response Plan the spending authority to have its contractor assist in situations if funds are available and the IC or responsible local
official(s) formally request assistance. If the DEQ Director officially declares a situation an emergency, the contractor must have the capability to respond upon request. Since the
early 1980's, DEQ has participated with other state agencies in a 24-hour emergency response system. The system requires department volunteers to carry a portable radio for a week. DEQ
person on duty acts as a communications link between hazardous material response calls that come into the Montana Highway Patrol's Central Communications
Center to the MT-DES and the appropriate DEQ program personnel. Due to Montana's geographic expanse and DEQ limited resources, the department's initial response is normally that of an
advisor. A telephone conversation with the IC can be followed by DEQ personnel going to the accident site, within varying amounts of of time, depending on location and weather conditions.
Department of Fish, Wildlife & Parks (FW&P) The DEQ Duty Officer will contact the department when there is a chance that hazardous material has or is likely to reach surface waters or
cause damage to fish and wildlife unless consensus is reached between the DEQ Duty Officer and the MT-DES Duty Officer or SECC for MT-DES to make the notification. The Department can
provide technical information concerning the potential damage to the environment resulting from an incident. They can provide technical information to help minimize the loss of fish
or wildlife resources associated with spills, help to ensure timely and effective clean-up, and encourage clean-up techniques that will minimize ancillary damage to fish and wildlife
resources. Department of Justice (DOJ) A Montana Highway Patrol Officer is often the first law enforcement officer to arrive at the scene of a hazardous materials incident on the highways
of Montana. They can provide assistance with the collection of evidence and information necessary to support criminal and or civil proceedings. They possess the authority and have the
capability of enforcing the motor carrier safety rules and standards, and any state laws, which govern the transportation of hazardous materials. Department of Military Affairs • Montana
National Guard The Montana National Guard (MTNG), upon activation by the Governor, may provide assistance to civilian authorities in response to a hazardous materials spill or incident
in order to protect the welfare, life, and property of the people of Montana. 10/18/2006 Page 4 of 9
Section V – State of Montana Hazardous Materials Response Plan The following are potential tasks and/or missions that the MTNG may be asked to provide in support of civilian agencies
responding to a hazardous materials incident: 1. Public safety measures: a. Traffic control and roadblocks (assist local law enforcement only). b. Disaster search/relief and recovery.
c. Perimeter security and security of critical facilities (assist local law enforcement only). d. Area evacuation (assist local law enforcement only). 2. Public health: a. Emergency
medical treatment (limited). b. Limited aero medical evacuation. 3. Public welfare measures: a. Emergency shelter. b. Mass feeding and potable water supply 4. Transportation support.
5. Communication support. 6. Aviation and Logistics support. 7. Confined Space Rescue (Air National Guard) 8. EOD Response (Air National Guard) 9. Hazardous Material Response (Air National
Guard) 10. Disaster Preparedness Assistance (Air National Guard) • Disaster and Emergency Services Division (MT-DES) MT-DES is charged with the responsibility for expediting and enhancing
a coordinated State level response to disasters, emergencies, and incidents affecting the citizens of Montana, their property, and/or the environment. The State Emergency Response Commission
(SERC) has authorized the MT-DES to: • Provide the federally mandated State Point-of-Contact (POC) for notification of reportable hazardous materials incidents. • Serve as the single
POC for a IC requesting activation of the State Hazardous Materials Plan. • Serve as a clearinghouse regarding resource availability and other emergency-related services available through
the State of Montana. MT-DES may be contacted, 24 hours-a-day, by simply calling: (406) 841-3911. Upon request of the IC, MT-DES is able to provide any or all of the following services:
1. Notification and Incident Reporting. 2. Limited Communications Services. 3. Resource Ordering of state owned resources and locating private resources for local jurisdictions. 10/18/2006
2006 Page 5 of 9
Section V – State of Montana Hazardous Materials Response Plan 4. Coaching Assistance with a MT-DES Agency Representative (designed to help guide local authorities through the bureaucratic
maze surrounding disaster assistance and provide enhanced situational information to the SECC). Department of Natural Resources and Conservation (DNRC) The Montana DNRC is assigned stewardship
and management of just over 5 million acres of State Lands. Any hazardous materials incident occurring or threatening State Lands will require notification by the IC to the administrative
DNRC office. The DNRC office will designate an agency administrator to work with the IC staff to represent the state's stewardship interests. DNRC provides technical incident management
system coaching/assistance by phone or on-site at hazardous materials incidents when requested. Department of Public Health and Human Services (DPPHS) The DPPHS primarily deals with
the health of individuals and the public health of communities. The Department can provide supplemental technical assistance to local health departments and other local agencies and
emergency response units. Department services include the services of the public health lab (microbiology and chemistry); epidemiological services to assess and to monitor the short
and long-term impact of a hazardous materials spill on public health; specialized assistance regarding food and consumer safety issues; the provision of physician clinical toxicology
services regarding the health impact of chemicals on individual and community health; and support of local emergency medical services and provision of a variety of social services functions.
The Department serves as the single point of contact for Emergency Support Function of the Federal Emergency Response Plan, and as a conduit for activation of the National Disaster Medical
System (NDMS). These services can range from small DMAT (Disaster Medical Assistance Team) to a full-fledged and fully staffed self-supporting medical facility, and transportation to
out-of-state, designated NDMS hospitals. Montana Department of Transportation (MDT) The MDT responsibility is the preservation of the entire highway system as defined in MCA 60-1-103,
including surfaces, shoulders, roadside, structures and such traffic control devices as are necessary for its safe and efficient utilization. MDT’s personnel may perform traffic control,
statewide communications, signing, flagging, road closures, or provide equipment and material, when called upon by the IC or MT-DES. 10/18/2006 Page 6 of 9
Section V – State of Montana Hazardous Materials Response Plan Responsibilities of Federal Agencies Department of Defense (DOD) Support the IC, if the incident involves defense-related
materials. Acts as the lead response agency within designated National Security areas. National Park Service, Department of Interior (DOI) All-Hazard jurisdictions for National Parks
and Monuments. The DOI manages lands under the jurisdiction of the National Park Service, National Wildlife Refuges and Federal Fish Hatcheries, the Bureau of Indian Affairs (BIA), and
the Bureau of Land Management (BLM). DOI is contacted through the regional environmental officer (REO), who is a designated member of the Federal Regional Response Team (FRRT). The DOI
can provide natural resource expertise regarding fish, wildlife, threatened and endangered species habitats, migratory birds, soils, minerals, surface and ground water hydrology. They
can also provide technological expertise regarding contaminants affecting habitat resources, analysis and identification of inorganic hazardous substances, metals, metallurgy relevant
to site cleanup, coal mine wastes, land reclamation, engineering and laboratory research facilities. Center for Disease Control (CDC) The Centers for Disease Control and Prevention (CDC)
is recognized as the lead federal agency for protecting the health and safety of people – at home and abroad, providing credible information to enhance health decisions, and promoting
health through strong partnerships. CDC serves as the national focus for developing and applying disease prevention and control, environmental health, and health promotion and education
activities designed to improve the health of the people of the United States. Agency for Toxic Substances and Disease Registry (ATSDR) Agency for Toxic Substance and Disease Registry
(ATSDR) is directed by congressional mandate to perform specific functions concerning the effect on public health of hazardous substances in the environment. These functions include
public health assessments of waste sites, health consultations concerning specific hazardous substances, health surveillance and registries, response to emergency releases of hazardous
substances, applied research in support of public health assessments, information development and dissemination, and education and training concerning hazardous substances. 10/18/2006
Page 7 of 9
Section V – State of Montana Hazardous Materials Response Plan Environmental Protection Agency (EPA) The EPA may provide assistance when the responding agency is in a situation beyond
the capability of the resources of the local agency. They provide expertise on the effects of hazardous material releases on human life and the environment. EPA may initiate containment
and cleanup activities when the responsible party is incompetent, unwilling or unable to initiate a cleanup. The EPA is the Federal On-Scene Coordinator (OSC) as outlined in the National
Contingency Plan. The OSC is the primary Federal representative at a response and is the point-of-contact for the coordination of federal efforts with the local response agency. The
following emergency response resources are available through the EPA at the direction of the OSC with a 2 to 18 hour response time, depending on the location of the incident: Oil and
Hazardous Substance Spill Response Air Monitoring Equipment Radiological Monitoring Equipment Level ““A” – “D” Entry Teams Air, Water and Soil Sampling Spill Containment/Remediation
Technical Assistance Response to Nuclear, Biological and Chemical Incidents. • Environmental Response Team (ERT) The ERT supports EPA’s OSC's with expertise in treatment technology,
biology, chemistry, hydrology, geology, and engineering. EPA’s ERT can provide 24-hour access to special decontamination equipment for chemical releases and advice to the OSC in hazard
evaluation; risk assessment; multimedia sampling and analysis; on-site safety; cleanup techniques; water supply decontamination and protection; application of dispersants; and disposal.
ERT support may by request through the Federal OSC. • Coast Guard’s National Strike Force (NSF) The NSF is composed of three strategically located strike teams, a public information
assist team, and a coordination center. The NSF has specially trained personnel and is equipped to respond to major oil spills and chemical releases. NSF response time to an incident
is from 12 to 24 hours. hours. The NSF provides response management, entry-level “A – C” site assessments, safety and action plan development, and documentation for both inland and coastal
zone incidents. The coordination center maintains a national inventory list of spill response equipment. NSF support may be requested through the Federal OSC. National Transportation
Safety Board (NTSB) The NTSB has the federal responsibility for conducting transportation related accident investigations. 10/18/2006 Page 8 of 9
Section V – State of Montana Hazardous Materials Response Plan National Railroad Administration (NRA) The NRA has the responsibility for conducting investigations into railroad accidents.
Department of Energy (DOE) The Federal Radiological Emergency Response Plan outlines each federal agency’s responsibility. The DOE is the primary agency for providing radiological monitoring
and assessment assistance. DOE’s support ranges from giving technical advice over the telephone to sending highly trained personnel and state-of-the-art equipment to the accident site
to help identify and minimize any radiological hazards. Radiological information, advice, or assistance can be requested by calling the nearest DOE Regional Coordinating Office (RCO).
The DOE Regional Response Coordinator (RRC) decides what action is needed based upon the request. If necessary, the RCO sends a federal team to the accident site to help or advise the
IC. If the emergency escalates to a point that personnel and/or equipment are needed at the the accident scene, the RCO coordinates the activation of a DOE Radiological Assistance Program
(RAP) team. The RAP team’s capabilities include field monitoring, spectrometry, sampling, decontamination, dedicated response vehicles, mobile laboratories, generator, communication,
and aerial surveys. Personnel include radiological engineers, health physicists, medical, security, legal, and public information personnel, and industrial hygienists. Should the emergency
require monitoring and assessment resources exceeding those of the RAP team, a Federal Radiological Monitoring and Assessment Center, where all the federal agencies provide support,
is established. After the immediate threat of the accident has passed, the lead federal radiological monitoring and assessment role is transferred from DOE to EPA. 10/18/2006 Page 9
of 9
Section VI – State of Montana Hazardous Materials Response Plan VI. Federal resources available for radiological emergencies: Resource Specialty DOE Responsible Organization Accident
Response Group (ARG) Primary accident response element for events or accidents involving nuclear weapons. Trained in weapon recovery and in evaluation, collection, handling, and mitigating
radioactive and other weaponsassociated hazards. Albuquerque Operations Office Nuclear Emergency Search Team (NEST) Provide technical assistance to the Federal Bureau of Investigation
(FBI). The technical assistance includes such support as locating nuclear or explosive materials or devices that may be lost, stolen, or associated with bomb threats Nevada Operations
Office Radiological Assistance Program (RAP) Provides radiological assistance to other federal agencies, state, tribal, and local governments, and NRC Licensees requesting assistance
for events involving radioactive materials Regional Coordinating Offices Federal Radiological Monitoring and Assessment Center (FRMAC) Temporary facility for production of complied,
quality-controlled monitoring and assessment data for the lead federal agency and state, tribal, or local authorities involved in a radiological event. Nevada Operations Office 10/18/2006
Page 1 of 2
Section VI – State of Montana Hazardous Materials Response Plan Aerial Measuring System (AMS) Aerial detection system for measuring extremely low levels of gamma radiation and locating
and tracking airborne radiation. The system also includes aerial photography and multi-spectral scanning capabilities. Nevada Operations Office Atmospheric Release Advisory Capability
(ARAC) Computer-based, emergency response and preparedness system that provides rapid predictions of the transport, diffusion, and deposition of radio nuclides or other toxic materials
released into the atmosphere. Oakland Operations Office Radiation Emergency Assistance Center/Training Site (REAC/TS) 24-hour direct or consultative assistance regarding medical and
health physics problems associated with radiation accidents. Training in medical management for radiation accidents. Oak Ridge Operations Office 10/18/2006 Page 2 of 2
Section VII – State of Montana Hazardous Materials Response Plan VII. Training Specifications Federal regulations specify minimum training levels for responders to hazardous materials
incidents. The requirements for each level are detailed in this section the Montana Hazardous Materials Plan. OSHA enforces the requirements for federal and private workers (29 CFR 1910.120).
State and local employees must follow the same regulations, but are overseen by the MT Department of Labor. Each responding agency must determine what level of response and training
is appropriate. Agencies in the state of Montana, which provide appropriate training courses, including, but not limited to, the Montana Law Enforcement Academy, MSU FTS, and MT-DES.
It is the policy of the State of Montana, that all first responders be trained at least to the First Responder HazMat Awareness level. This includes fire fighters, law enforcement, emergency
medical, emergency management and health or environmental personnel. This is the training level for those personnel who will initiate an emergency response by notifying the proper authorities,
but take no further action. Awareness level training is useful to any person who may encounter hazardous materials, even incidentally, in the course of their work. It is also useful
for administrative and support staff who may be involved in planning, preparation, or decision-making on any hazardous materials issue. The First Responder HazMat Operations level is
for those personnel who respond on-site to hazardous materials releases (or potential releases). With Operations level training, an individual should be prepared to take necessary defensive
actions to protect people, property, and the environment from the effects of a release. The State of Montana recommends that all fire fighters, any law enforcement officer, emergency
management, emergency medical, health or environmental personnel or anyone else who may respond to a hazardous materials incident should be trained to the First Responder HazMat Operations
level. Hazardous Materials Technician and Specialist level training is for those personnel who attempt to stop a release of hazardous materials. This training is required for hazardous
materials response teams. It is the state’s recommendation that fire departments that have identified a serious hazardous materials risk within their jurisdiction train several members
of their organization to the technician level, with specialist support if possible. Individuals who may be called upon to serve as Incident Commander for a response beyond the awareness
level are required to have special knowledge and training in the NIMS. The State of Montana recommends that the LEOP establish a minimum number of qualified hazardous materials Incident
Commanders to be available to provide Command at a hazardous materials incident in the county. These might include a fire chief, county sheriff, emergency services director, or others
as appropriate to the county. 10/18/2006 Page 1 of 4
Section VII – State of Montana Hazardous Materials Response Plan The following language is from 29 CFR 1910.120, effective March 6, 1990: TRAINING LEVELS. Training shall be based on
the duties and function to be performed by each responder of and emergency response organization. The skill and knowledge levels required for all new responders, those hired after the
effective date of this standard, shall be conveyed to them through training before they are permitted to take part in actual emergency operations at an incident. Employees who participate,
or are expected to participate, in emergency response, shall be given training in accordance with the following paragraphs: [I] FIRST RESPONDER HAZMAT AWARENESS LEVEL. First responders
at the awareness level are individuals who are likely to witness or discover a hazardous substance release and who have been trained to initiate an emergency response sequence by notifying
the proper authorities of the release. They would take no further actions beyond notifying the authorities of the release. First responders at the awareness level shall have sufficient
training or have had sufficient experience to objectively demonstrate competency in the following areas: (A) An understanding of what hazardous materials are, and the risks associated
with them in an incident. (B) An understanding of the potential outcomes associated with an emergency created when hazardous materials are present. (C) The ability to recognize the presence
of hazardous material in an emergency. (D) The ability to identify the hazardous materials, if possible. (E) An understanding of the role of the first responder awareness individual
in the employer’s emergency response plan including site security and control and the U.S. Department of Transportation’s Emergency Response Guidebook. (F) The ability to realize the
need for additional resources, and to make appropriate notifications to the Coordination center. [II] FIRST RESPONDER HAZMAT OPERATIONS LEVEL. First responders at the operations level
are individuals who respond to releases or potential releases of hazardous substances as part of the initial response to the site for the purpose of protecting nearby persons, property,
or the environment from the effects of the release. They are trained to respond in a defensive fashion without actually trying to stop the release. Their function is to contain the release
from a safe distance, keep it from spreading, and prevent exposures. First responders at the operational level shall have received at least eight hours of training or have had sufficient
experience to objectively demonstrate competency in the following areas in addition to those listed for the awareness level and the employer shall so certify: (A) Knowledge of the basic
hazard and risk assessment techniques. (B) Know how to select and use proper personal protective equipment provided to the first responder operational level. (C) An understanding of
basic hazardous materials terms. (D) Know how to perform basic control, containment and/or confinement operations within the capabilities of the resources and personal protective equipment
available with their unit. 10/18/2006 Page 2 of 4
Section VII – State of Montana Hazardous Materials Response Plan (E) Know how to implement basic decontamination procedures. (F) An understanding of the relevant SOP procedures and termination
procedures. [III] HAZARDOUS MATERIALS TECHNICIAN. Hazardous materials technicians are individuals who respond to releases or potential releases for the purpose of stopping the release.
They assume a more aggressive role than a first responder at he operations level in that they will approach the point of release in order to plug, patch, or otherwise stop the release
of a hazardous substance. Hazardous materials technicians shall have received at least 24 hours of training equal to first responder operations level and in addition have competency
in the following areas and the employer shall so certify: (A) Know how to implement the employer’s emergency response plan. (B) Know the classification, identification and verification
of known and unknown materials by using field survey instruments and equipment. (C) Be able to function within an assigned role in the Command System. (D) Know how to select and use
proper specialized chemical PPE provided to the hazardous materials technician. (E) Understand hazard and risk assessment techniques. (F) Be able to perform advance control, containment,
and/or confinement operations within the capabilities of the resources and PPE available on the unit. (G) Understand and implement decontamination procedures. (H) Understand termination
procedures. (I) Understand basic chemical and toxicological terminology and behavior. [IV] HAZARDOUS MATERIALS SPECIALIST. Hazardous materials specialists are individuals who respond
with and provide support to hazardous materials technicians. Their duties parallel those of the hazardous materials technician, however, those duties require a more directed or specific
knowledge of the various substances they may be called upon to contain. The hazardous materials specialist would also act as the site liaison with Federal, state, local and other government
authorities in regards to site activities. Hazardous materials specialists shall have received at least 24 hours of training equal to the technician level and in addition have competency
in the following areas and the employer shall so certify: (A) Know how to implement the LEOP (B) Understand classification, identification and verification of known and unknown materials
by using advanced survey instruments and equipment. (C) Knowledge of the state emergency response plan. (D) Be able to select and use proper specialized chemical PPE provided to the
hazardous materials specialist. (E) Understand in-depth hazard and risk assessment techniques. (F) Be able to perform specialized control, containment, and/or confinement operations
within the capabilities of the resources and PPE available. (G) Be able to determine and implement decontamination procedures. (I) Understand chemical, radiological and toxicological
terminology and behavior. 10/18/2006 Page 3 of 4
Section VII – State of Montana Hazardous Materials Response Plan [V] ON-SCENE INCIDENT COMMANDER. ICs, who will assume control of the incident scene beyond the first responder awareness
level, shall receive at least 24 hours of training equal to the first responder operations level and in addition have competency in the following areas and the employer shall so certify:
(A) Know and be able to implement NIMS. (B) Know how to implement the employer’s emergency response plan. (C) Know and understand the hazards and risks associated with employees working
in chemical protective clothing. (D) Knowledge of the state emergency response plan and of the Federal Regional Response Team. (E) Know and understand the importance of decontamination
procedures. 10/18/2006 Page 4 of 4
Section VIII – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 1 of 4 VIII.Financial Reimbursement Procedures & Cost Recovery Packet Montana Law requires the SERC
to “promulgate rules and procedures limited to cost recovery procedures…” (10-3-1204 (2) MCA). Montana Law allows: “State hazardous material incident response team members (SHMIRT)
to submit claims to the commission for reimbursement of documented costs incurred as a result of the team’s response to an incident…” The law also allows a party who is not a member
of the organized regional response team to submit a claim if the commission or the state hazardous materials team requested the party to respond (10-3-1214 (1) MCA). Montana Law establishes
time limits for claim submission of no longer than 60 days after the termination of the response to the incident (10-3-1214 (4) MCA). Montana Law further states: “Reimbursement may
be made only after the commission finds that the actions by the applicant were taken in response to an incident and only if adequate funds are available (10-3-1214 (4) MCA)”. The commission
shall review all claims for reimbursement and make recommendations to the governor as to payment or nonpayment of the claims within 90 days of receipt. The governor may authorize the
issuance of warrants to be paid from the environmental contingency account provided for in 75-1-1101 to the limit of the fund balance for the purpose of reimbursing reasonable and documented
costs associated with emergency actions taken (10-3-1215(1)(a) MCA). The costs of routine firefighting procedures are not reimbursable costs under this part. (10-3-1215 (1)(b) MCA).
Reimbursement must be in accordance with the schedule defined in the plan (10-3-1215 (1)(c) MCA). The decision of the governor is final and non-appealable (10-3-1215 (1)(d) MCA). Local
responders and their mutual aid response are not eligible for reimbursement from the state fund. They may be able to collect for eligible expenses under federal and state statutes. Document
all costs. Save original receipts. Record Mileage. Equipment time usage. Detail supplies used. Record personnel response times. Lodging and per diem rates. Within 60 days of your release
from the incident submit to the SERC a detailed invoice and documentation of costs. Charges must be according to this plan’s Schedule of Costs established annually by the SERC State
Hazardous Materials Response Team subcommittee.
Section VIII – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 2 of 4 Invoices can be in any format but must include: • The date and time of response; • The names,
addresses, and Social Security numbers, completed “I 9” (INS employee eligibility verification) and “W 4” (IRS Withholding form) forms of all responders if they are to be paid under
the state plan; • The name of the jurisdiction where the response took place; and • Documentation and receipts of costs, and the name, address of the party requesting reimbursement.
Additionally the applicant must submit a narrative of their activities during the response.
Schedule of Costs If the SHMIRT is deployed according to this plan, all associated costs of SHMIRT response, including backfilling of personnel to cover for deployed SHMIRT members will
be eligible for reimbursement according to the SERC approved schedule of costs. Equipment costs will be at the same rate as used by Northern Rockies Coordinating Group. Personnel costs
will be uniform according to a personnel rate annually approved by the SERC and on file with the Division. Cost Recovery Forms Provisions for cost recovery for HAZMAT incidents are provided
in 75-10-717, MCA. The SERC has developed a Cost Recovery Packet to assist local agencies in recovering costs from the shipper/owner for expenses incurred during a HazMat emergency.
The following is a guide for completing a Cost Recovery Packet and other related documents. 1. Attach a copy of the NFIRS report and all related documents. 2. Billing Information Worksheets:
a. Complete all spiller data. b. Incident report number and names of agencies -law enforcement, fire department, other. c. Exact location of incident. d. Date and time of incident. e.
Name of material(s) released. f. Attachments: Resource Order Number(s), Montana Fire Incident Report, invoices for costs of rental equipment, and any other reports that may apply to
cost recovery. g. Description of incident activities. 3. Apparatus/Vehicle Cost Worksheet -Fill in the appropriate information. 4. Personnel Cost Worksheet -Fill in the appropriate information.
5. Equipment Cost Worksheet -Fill in the appropriate information. 6. Miscellaneous Cost Worksheet -Fill in the appropriate information. 7. Cost Summary Sheet (transfer sub-totals from
cost worksheets to this page). 8. Within fifteen (15) days, forward copy of completed packet to the SERC.
Section VIII – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 3 of 4 Cost Recovery for State Response Personnel 10-3-1203(3) Duration of Response “Duration of response"
means a period of time beginning when an emergency responder is requested by the appropriate authority to respond to an incident and ending when the responder is released from the incident
by the incident commander and returned to the emergency responder's place of residence by the most direct route and includes the time required to replace and return all materials used
for the incident to the same or similar condition and state of readiness as before the response. Right to reimbursement (10-3-1214 MCA). (1) SHMIRT members may submit claims to the
commission for reimbursement of documented costs incurred as a result of the team’s response to an incident. Reimbursement for the costs may not exceed the duration of response (2) A
party who is not a part of the SHMIRT and is not liable under federal or state law may submit a a claim to the commission for costs if the claim is associated with a request by the SHMIRT
or the commission. (3) Claims for reimbursement must be submitted to the commission within 60 days after termination of the response to the incident for the state's determination of
payment, if any. (4) Reimbursement may be made only after the commission finds that the actions by the applicant were taken in response to an incident and only if adequate funds are
available. Deficiency Warrants for Reimbursement of Response Costs (10-3-1215 MCA). (1)(a) The SERC shall review all claims for reimbursement and make recommendations to the governor
as to payment or nonpayment of the claims within 90 days of receipt. The governor may authorize the issuance of warrants to be paid from the environmental contingency account provided
for in Sec. 75-1-1101 MCA to the limit of the fund balance for the purpose of reimbursing reasonable and documented costs associated with emergency actions taken. (1)(b) The costs of
non-incident routine firefighting procedures are not reimbursable costs. (2) Reimbursement must be in accordance with the schedule defined in the plan. (3) The decision of the governor
is final and non-appealable. (4) This section may not be construed to change or impair any right of recovery or subrogation arising under any other provision of law. Cost recovery and
civil remedies (10-3-1216 MCA). (1) Cost recovery including any requested state assistance expenses is the duty of the local jurisdiction having authority where an incident occurred.
(2) The commission shall ensure the recovery of all state response related expenditures according to the plan. (3) The Responsible Party for an incident is liable for attorney fees and
costs of any requested state agency response as well as expenses the commission incurred in recovering costs associated with responding to an incident. (4) The remedy for the recovery
of emergency response costs identified is in addition to any other remedy for recovery of the costs provided by applicable federal or state law.
Section VIII – State of Montana Hazardous Materials Response Plan 10/18/2006 Page 4 of 4 (5) Any person who receives compensation for the emergency response costs pursuant to any other
federal or state law is precluded from recovering compensation for those costs pursuant to this chapter. (6) Except for the commission and the state hazardous material incident response
team, the plan does not otherwise affect or modify in any way the obligations or liability of any person under any other provision of state or federal law, including common law, for
damages, injury, or loss resulting from the release or threatened release of any hazardous material or for remedial action or the costs of remedial action for a release or threatened
release. (7) Any person who is not a liable party under the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980, 42 U.S.C. 9601, et seq., as amended,
or the Comprehensive Environmental Cleanup and Responsibility Act, Title 75, chapter 10, part 7, and who renders assistance in response to an emergency situation associated with an incident
may file a civil action against the responsible party for recoverable costs that have not been reimbursed by the state. (8) Recoveries by the state for reimbursed costs must be deposited
in the environmental contingency account or the state disaster fund to offset amounts paid as reimbursement. (9)(a) In the event of orphaned hazardous material or the inability of the
state to recover the full cost associated with an incident and the cost of collection described in this section, the state shall recover from the city or county having authority where
the incident occurred an amount equal to 25% of the total cost. (9)(b) When the hazardous material incident occurs in or involves multiple jurisdictions, the collectible amount must
be divided as agreed to by the governing bodies equally divided among of the jurisdictions. Liability of persons and response personnel rendering assistance (10-3-1217 MCA). The commission
and the SHMIRTs are not liable for injuries, costs, damages, expenses, or other liabilities resulting from the release or threatened release of a hazardous material. The immunity includes
but is not limited to indemnification, contribution, or third-party claims for wrongful death, personal injury, illness, loss or damages to property, or economic loss. A person becomes
a member of the SHMIRT when the person is contacted for response regardless of the person's location.
Appendix i Cost Recovery Packet MTDES INCIDENT #: STATE EMERGENCY RESPONSE LOCATION: COMMISSION (SERC) HAZARDOUS MATERIALS STANDARD COST RECOVERY PACKET DATE: TELEPHONE: RESPONSE AGENCY:
COMPLETED BY: 08/17/05 1 of 1
Appendix i Cost Recovery Packet A) Spiller Name: Address: City: State: Zip: Insurance Co.: Policy #: B) Incident Commander: IC Agency/Dept.: Long. Actions Taken: Chemicals involved in
incident: Amount: Incident Location: Lat. Address: Incident Time: MTDES Resource Order #s: MTDES DO Incident #: Telephone #: Insurance Agent /Adjuster:STATE OF MONTANA HAZARDOUS MATERIALS
RESPONSE PLAN BILLING INFORMATION WORKSHEET Billing Information -Spiller Information Responsible Party Information: Business Name: LEA Incident No.: Incident Information: Fire Incident
No.: Your Agency: Incident Date: 08/17/05 1 of 1
Appendix i Cost Recovery Packet TOTAL DAYS TOTAL VEHICLE/APPARATUS COST: APPARATUS/VEHICLE DESCRIPTION INCIDENT NUMBER: APPARATUS/VEHICLE COST WORKSHEET MILEAGE RATE TIME RELEASED TIME
REQUESTED RATE PER DAY SINGLE OR DOUBLE SHIFT TOTAL COST TOTAL MILES 08/17/05 1 of 1
Appendix i Cost Recovery Packet TOTAL HOURLY TOTAL HOURS RATE COST TOTAL PERSONNEL COST: PERSONNEL COST WORKSHEET INCIDENT NUMBER: DATE AGENCY RESPONDER POSITION 08/17/05 1 of 1
Appendix i Cost Recovery Packet DAYS DAILY TOTAL USED RATE COST EQUIPMENT COST WORKSHEET INCIDENT NUMBER: USED BY NUMBER ITEM DESCRIPTION USED TOTAL EQUIPMENT COST: 08/17/05 1 of 1
Appendix i Cost Recovery Packet TOTAL COST TOTAL PERSONNEL COST: MISCELLANEOUS MATERIALS (SUPPLIES) COST WORKSHEET INCIDENT NUMBER: ITEM DESCRIPTION USED BY NUMBER USED COST EACH 08/17/05
1 of 1
Appendix i Cost Recovery Packet Date: City: State: Zip: ITEMIZED COSTS: Personnel: Vehicles: Equipment: Supplies: TOTAL: Date: Title: Montana Disaster & Emergency Services P.O. Box 4789
Fort Harrison, MT 59636-4789 If you have any questions, please call (406) 841-3911. Thank You Mail completed form to: MTDES DO Incident Number: (The itemized costs will automatically
populate as you fill in the remainder of the worksheets.) I certify that the claims on this form have been paid by the payee and that this claim will not be duplicated on any other claim:
Signature: Payee's EIN/SSN: Payee's Mailing Address: Incident: Incident Date: STATE OF MONTANA HAZARDOUS MATERIALS RESPONSE PLAN HAZARDOUS MATERIALS RESPONSE REIMBURSEMENT FORM Payee's
Name: Incident Time: Point of Contact: 08/17/05 1 of 1
Appendix II – State of Montana Hazardous Materials Response Plan Appendix II. Memorandum of Understanding for Hazardous Material Incident Response Team Response THIS AGREEMENT is by
and between the State Emergency Response Commission (SERC) and the State Hazardous Material Incident Response Team (SHMIRT) composed of members of the authorized agencies, units of (state
& local) government (Department). WITNESSETH: WHEREAS, Montana law allows the SERC to enter into a memorandum of understanding with persons or entities providing equipment or services
to the SHMIRT; WHEREAS, Montana law allows local government entities to enter into agreements for protection against natural and manmade disasters; WHEREAS, response to hazardous materials
incidents is a difficult and dangerous task that requires expertise, training and technical equipment; WHEREAS, the SERC desires to ensure that the needed technical expertise and equipment
responds to hazardous materials emergencies throughout the state of Montana. NOW, THEREFORE, in consideration of the mutual promises and covenants contained herein the parties agree
as follows: 1. Purpose: The purpose of this agreement is to secure the benefit of aid in hazardous materials emergencies for the protection of life and property of the citizens of the
state of Montana when the SERC requests assistance for an incident requiring additional expertise, equipment, or personnel. 2. Request for Assistance. When a designated SERC representative
(MT-DES) requests assistance from the SHMIRT for a hazardous materials incident, the SHMIRT will dispatch the equipment and personnel if they are available for use outside the SHMIRT’s
jurisdiction to any point as the SERC may direct. 3. Assistance not Mandatory. The rendering of assistance under the terms of this agreement shall not be mandatory. However, the SHMIRT
will immediately inform the SERC of the reasons assistance cannot be rendered. 4. Procedures. Any request for services shall follow the procedures outlined in the Montana Hazardous Materials
Plan. The Plan provides as follows: The SHMIRT will report to the IC of the incident scene and shall act only upon the orders of that officer. In no case shall the SHMIRT assume responsibility
for command of the incident site. 10/18/2006 Page 1 of 2
Appendix II – State of Montana Hazardous Materials Response Plan The SHMIRT will be released by the incident commander when its services are no longer required. The SHMIRT may withdraw
its assistance if it deems the actions or directives of the IC or the incident to be unsafe or contrary to accepted hazardous materials response practices. The team leader prior to withdrawing
their resources shall notify the IC and MTDES duty officer. 5. Costs. The SERC will pay the SHMIRT according the requirements of the 10-3-1214, MCA and the procedures for financial reimbursement
established in the Plan. 6. Third Party Collections. Nothing in this agreement shall be construed to prevent the SERC from seeking reimbursement and damages from third parties. 7. Duration.
This Agreement shall become effective upon the signature of both parties and shall remain in full force and effect until terminated by either party by thirty days written notice, or
by failure of the SHMIRT to meet the accreditation criteria. 8. Administration. No new or separate legal or administrative entity is created to administer the provisions of this agreement.
9. Compliance with Legal Requirements. Each party is responsible for compliance with applicable federal, state, tribal and local laws and regulations. 10. Amendments. This agreement
may be amended upon the mutual written agreement of the parties. Authorized Agency Chief Executive State Emergency Response Commission Title: Dan McGowan/Tom Ellerhoff City/County of
Co-Chair of the SERC Date Signed: Date Signed: 10/18/2006 Page 2 of 2
Appendix III – State of Montana Hazardous Materials Response Plan Appendix III. Definitions, Explanations, and Acronyms Definitions MT-DES DUTY OFFICER -MT-DES personnel with special
knowledge of technical equipment used to support this plan, and the Montana Emergency Coordination Plan; who will receive the initial call; serves as the Communications Coordinator.
The Communications Coordinator will contact and coordinate any support needed by the IC. EMERGENCY DUTY ROSTER -A current list of state agency personnel trained and available for hazardous
material emergency response support. The roster shall be developed and regularly updated by all participating agencies, shall briefly describe response capabilities, and shall provide
24-hour response within each agency's area of expertise. The roster and updates shall be provided to the MT-DES Coordination Center and be available to the Communications Coordinator.
STATE EMERGENCY RESPONSE COMMISSION -Committee of representatives defined by 10-3-1204 MCA responsible for approval of any Montana Hazardous Materials Plan. INCIDENT -An event that involves
the release or threat of release of a hazardous material that may cause injury to persons, the environment, or to property. This may include either transportation or fixed location spills,
leaks, or accidents involving hazardous materials. INCIDENT COMMANDER -The IC is the designated emergency response officer or official responding to an incident that is responsible for
the completion of tactical priorities. This person must be fully trained and knowledgeable in NIMS. The discipline that will serve as the IC will be defined in the LEOP. A local jurisdiction,
based on its local plan and resource assessment, may request that the State Emergency Response Commission assume command and designate an on-scene Incident Commander. The Incident Commander
shall be in overall charge of all efforts at the scene. INITIAL RESPONDER -The emergency responder, or group of responders, who take initial action at the scene of a hazardous materials
emergency. LOCAL EMERGENCY RESPONSE AUTHORITY -Person or persons designated by the city, county or commission to be responsible for the management of an incident at the local level.
NATIONAL INCIDENT MANAGEMENT SYSTEM -The Purpose of NIMS is to provide for a systematic development of a complete, functional Command organization designed to allow for a single or multi-agency
use which increases the effectiveness of Incident Command and the safety of responding personnel. 10/18/2006 Page 1 of 20
Appendix III – State of Montana Hazardous Materials Response Plan PRIMARY AGENCIES -A set of agencies that are given a standby notification that a hazardous materials incident has been
received at the State Emergency Coordination Center. The primary agencies consist of: DEQ, MT-DES, the Governors Office and the conference hazardous materials technician. RADIATION RESPONSE
COORDINATOR -Person responsible for coordinating and directing environmental support team actions involving response to radiation, radioactive materials or radioactive waste. This person
will be designated by DPHHS. The Radiation Response Coordinator should have emergency response knowledge and training to include NIMS, as well as specialized knowledge and experience
in the use, identification, monitoring and control of radiation sources, radioactive materials, and radioactive wastes. RESPONSIBLE PARTY -The owner, user, site operator, shipping agent
or others having custody of hazardous materials as defined by federal and state statute. This includes property or facility owners where hazardous materials have been spilled or released
or have the potential to be spilled or released to the environment and/or where the hazardous materials may present a threat to the public health or the environment. ACRONYMS AMS: Aerial
Monitoring System ARAC: Atmospheric Release Advisory Capability ARG: Accident Response Group ATSDR: Agency for Toxic Substances and Disease Registry CFR: Codes of Federal Regulations
CGNSF: Coast Guard National Strike Force DEQ: Department of Environmental Quality DHS: Department of Homeland Security DMA: Department of Military Affairs DMAT: Disaster Medical Assistance
Team DNRC: Department of Natural Resources and Conservation DO: Duty Officer DOD: Department of Defense DOE: Department of Energy DOERAP: Department of Energy Radiological Assistance
Program DOI: Department of Interior DOJ: Department of Justice DPHHS: Department of Public Health and Human Services EPA: Environmental Protection Agency EOC: Emergency Operations Center
EOD: Explosive Ordinance Disposal ECC: Emergency Coordination Center (also known as the SECC) EPA: Environmental Protection Agency ERT: Emergency Response Team FBI: Federal Bureau of
Investigation 10/18/2006 Page 2 of 20
Appendix III – State of Montana Hazardous Materials Response Plan FEMA: Federal Emergency Management Agency, Division of DHS FRMAC: Federal Radiological Monitoring and Assessment Center
FRRT: Federal Regional Response Team FW&P: Montana Fish Wildlife and Parks HAZMAT: Hazardous Materials IAP: Incident Action Plan IC: Incident Commander ICS: see NIMS IEDD: Improvised
Explosive Device Disposal LEOP: Local Emergency Operations Plan MCA: Montana Codes Annotated MDT: Montana Department of Transportation MHP: Montana Highway Patrol MSUFTS: Montana State
University-Fire Training School MT-DES: Disaster Emergency Services Division MTNG: Montana National Guard NDMS: National Disaster Medical System NEST: Nuclear Emergency Search Team NFPA:
National Fire Protection Agency NIMS: National Incident Management System NRA: National Railroad Administration NRCG: Northern Rockies Coordinating Group NRCC: Northern Rockies Coordination
Center NTSB: National Transportation Safety Board NWS: National Weather Service OSC: On-Scene Coordinator OSHA: Occupational Safety and Health Administration PC: Personnel Computer POC:
Point of Contact RCO: Regional Coordinating Office REAC/TS: Radiation Emergency Assistance Center/Training Site REO: Regional Environmental Officer SARA: Superfund Amendments and Reauthorization
Act SCBA: Self Contained Breathing Apparatus SECC: State Emergency Coordination Center (also referred to as the ECC) SECP: State Emergency Coordination Plan SERC: State Emergency Response
Commission SHMIRT: State Hazardous Materials Incident Response Team SOP: Standard Operating Procedures USDA: United States Department of Agriculture 10/18/2006 Page 3 of 20
Appendix III – State of Montana Hazardous Materials Response Plan Legal Authorities (Including Compilers Notes, Cross References, Attorney General Opinions and other information) CONTENTS
Code Description Page 7-33-2104 Operation of Fire Districts 5 10-3-105 Division of disaster & emergency services – duties 5 10-3-401 Local and interjurisdictional disaster & emergency
plan 7 10-3-1203 Definitions 7 10-3-1204 State Emergency Response Commission 9 10-3-1207 Commission budget and expenditures 11 10-3-1211 Notification of release 11 10-3-1214 Right to
reimbursement 11 10-3-1215 Deficiency warrants for reimbursement of response costs 12 10-3-1216 Cost recovery and civil remedies 12 10-3-1217 Liability of persons and response team members
rendering assistance 13 60-1-103 General definitions 14 75-1-1101 Environmental contingency account objectives 17 75-10-717 Recovery of costs 18 75-10-718 Liability of remedial action
contractor 18 10/18/2006 Page 4 of 20
Appendix III – State of Montana Hazardous Materials Response Plan Legal Authorities (Including Compilers Notes, Cross References, Attorney General Opinions and other information) 7-33-2104.
Operation of fire districts. Whenever the board of county commissioners shall have established a fire district in any unincorporated territory, town, or village, said commissioners:
(1) may contract with a city, town, or private fire company to furnish fire protection for property within said district; or (2) shall appoint five qualified trustees to govern and manage
the affairs of the fire district. History: En. Sec. 1, Ch. 107, L. 1911; amd. Sec. 1, Ch. 19, L. 1921; re-en. Sec. 5149, R.C.M. 1921; amd. Sec. 1, Ch. 130, L. 1925; re-en. Sec. 5149,
R.C.M. 1935; amd. Sec. 3, Ch. 97, L. 1947; amd. Sec. 2, Ch. 75, L. 1953; amd. Sec. 2, Ch. 77, L. 1959; amd. Sec. 1, Ch. 118, L. 1959; amd. Sec. 1, Ch. 2, L. 1965; amd. Sec. 1, Ch. 333,
L. 1969; amd. Sec. 1, Ch. 120, L. 1973; R.C.M. 1947, 11-2010(part). Cross References: Interlocal agreements, Title 7, ch. 11, part 1. Attorney General Opinions: Response by Fire Service
Organizations to Hazardous Materials Incidents: Unless otherwise provided by law, the decision to order a firefighter to respond to or investigate a hazardous materials incident is within
the discretion of the supervising entity of each fire service organization. The State Fire Marshal (now the state fire prevention and investigation program of the Department of Justice)
does not have specific rulemaking authority to prescribe which fire service organization should respond to such incidents. 42 A.G. Op. 104 (1988). Trustee-Operated Fire District Liable
for Indemnification: Employees of a fire district operated by trustees must be indemnified under the comprehensive state insurance plan and the Tort Claims Act by the fire district rather
than by the county in which the fire district is located. 42 A.G. Op. 84 (1988), overruling a contrary holding in 35 A.G. Op. 71 (1974), and followed in 43 A.G. Op. 2 (1989). Question
of Rural Fire District as Taxing Unit: A rural fire district operated by a board of trustees is a taxing unit within the meaning of 15-10-412 (now repealed); however, a rural fire district
operated by the county and not by a board of trustees is not a taxing unit. 42 A.G. Op. 80 (1988). Rural Fire District Created After 1986 Not Subject to Property Tax Limitations: A rural
fire district created after 1986 and established as a taxing unit is not subject to the property tax limitations of Title 15, ch. 10, part 4. There is no provision for new taxing units
to limit their levies to their first year of existence or to 1986 amounts levied by another taxing unit. 42 A.G. Op. 80 (1988), followed in 42 A.G. Op. 109 (1988). 10-3-105. Division
of disaster and emergency services --duties. (1) A division of disaster and emergency services is established in the department. The division must have an administrator and other professional,
technical, secretarial, and clerical employees as necessary for the performance of its its functions. (2) The department through the division of disaster and emergency services is responsible
to the governor for carrying out the planning and program for disaster and emergency services of this state. (3) The division shall prepare and maintain a comprehensive plan and program
for disaster and emergency services of this state. The plan and program must be coordinated with the disaster and emergency plans and programs of the federal 10/18/2006 Page 5 of 20
Appendix III – State of Montana Hazardous Materials Response Plan government, other states, political subdivisions, and Canada to the fullest extent possible. (4) The division shall:
(a) coordinate the preparation of the plan and program for disaster and emergency services with the political subdivisions of this state; (b) coordinate disaster and emergency prevention
and preparation activities of all departments, agencies, and organizations within the state; (c) advise and assist the political subdivisions of this state in executing their disaster
and emergency services responsibilities; (d) make recommendations on the formation of interjurisdictional disaster and emergency services areas when individual political subdivisions
are unable to fully and adequately mount an effective local program because of limitations of funding, personnel, or other reasons; (e) make surveys of industries, resources, and facilities
within the state, both public and private, as are necessary to carry out the purposes of parts 1 through 4 of this chapter; (f) periodically review local and interjurisdictional plans
and programs for disaster and emergency services; (g) develop or assist in the development of mutual aid plans and agreements between the federal government, other states, and Canada
and among the political subdivisions of this state; (h) plan and make arrangements for the availability and use of any private facilities, services, and property and, if necessary and
if in fact used, provide for payment for use under terms and conditions agreed upon; (i) institute training and public information programs and take all other preparatory steps, including
the partial or full mobilization of disaster and emergency services organizations in advance of an actual incident, emergency, or disaster, to ensure the availability of adequately trained
and equipped personnel in time of an incident, emergency, or disaster; (j) direct emergency response and disaster preparation activities as authorized by the governor; (k) direct disaster
response and recovery activities as authorized by the governor; (l) prepare, for issuance by the governor, executive orders or proclamations as necessary or appropriate in coping with
incidents, emergencies, and disasters; (m) maintain liaison with and cooperate with disaster and emergency services agencies and organizations of the federal government, other states,
and Canada in achieving any purpose of parts 1 through 4 of this chapter and in implementing programs for disaster prevention, preparation, response, and recovery; and (n) assume any
additional authority, duties, and responsibilities authorized by parts 1 through 4 of this chapter as may be prescribed by the governor. History: (1), (3), (4)En. Sec. 7, Ch. 335, L.
1977; Sec. 77-2305.1, R.C.M. 1947; (2)En. Sec. 4, Ch. 218, L. 1951; amd. Sec. 3, Ch. 220, L. 1953; amd. Sec. 7, Ch. 237, L. 1967; Sec. 77-1304, R.C.M. 1947; amd. and redes. 77-2303 by
Sec. 10, Ch. 94, L. 1974; amd. Sec. 5, Ch. 335, L. 1977; Sec. 77-2303, R.C.M. 1947; R.C.M. 1947, 77-2303, 77-2305.1(part); amd. Sec. 5, Ch. 430, L. 1983; amd. Sec. 3, Ch. 176, L. 1995.
Compiler's Comments: 1995 Amendment: Chapter 176 in (4)(i), in two places, and in (4)(l) inserted references to an incident or incidents; and made minor changes in style. 10/18/2006
Page 6 of 20
Appendix III – State of Montana Hazardous Materials Response Plan 1983 Amendment: In (4), deleted: "(h) determine the requirements of the state and its political subdivisions for food,
clothing, and other necessities in the event of an emergency or disaster; (i) plan for the procurement of food, clothing, other necessities, supplies, medicines, materials, and equipment
that may be necessary in the event of an emergency or disaster and, as funding is authorized, procure and pre-position the same;". Cross References: Department of Military Affairs created,
2-15-1201. Division created, 2-15-1204. Department power to authorize construction on federal land, 18-2-102. Attorney General
Opinions: Designation of Fire Service Organization as First Responder to Hazardous Materials Incident: The designation of a fire service organization as first responder to a hazardous
materials incident is a matter to be included in the state and local disaster and emergency plans. 42 A.G. Op. 104 (1988). "Political Subdivision" to Exclude Indian Reservation: An Indian
reservation, represented by a tribal council, is not a political subdivision of the State of Montana for purposes of receiving aid and assistance pursuant to state civil defense law.
36 A.G. Op. 53 (1976). 10-3-401. Local and interjurisdictional disaster and emergency plan --distribution. (1) Each political subdivision eligible to receive funds under this chapter
shall prepare a local or interjurisdictional disaster and emergency plan and program covering the area for which that political subdivision is responsible. This plan shall be in accordance
with and in support of the state disaster and emergency plan and program. (2) The political subdivision shall prepare and distribute on behalf of the principal executive officers, in
written form, a clear and complete statement of: (a) the emergency responsibilities of all local agencies, if any, and officials; (b) the disaster and emergency chain of command; (c)
local evacuation authority and responsibility; and d) local authority and responsibility for control of ingress and egress to and from an emergency or disaster area. History: En. 77-2307.1
by Sec. 8, Ch. 335, L. 1977; R.C.M. 1947, 77-2307.1(5), (6); amd. Sec. 9, Ch. 430, L. 1983; amd. Sec. 4, Ch. 71, L. 1987. Compiler's Comments: 1987 Amendment: Inserted (2)(c) referring
to local evacuation authority and responsibility; and inserted (2)(d) referring to local authority over ingress and egress to emergency or disaster area. 1983 Amendment: At beginning
of (1), substituted "Each political subdivision eligible to receive funds under this chapter shall prepare a local" for "Each local and interjurisdictional agency shall prepare and keep
current a local"; near end of (1) substituted "political subdivision" for "agency"; at beginning of (2) substituted "The political subdivision" for "The local or interjurisdictional
agency"; and in (2)(a) inserted "if any" after "the emergency responsibilities of all local agencies". Cross References: Local and interjurisdictional emergency and disaster agencies
and services, 10-3-201. Mutual aid and cooperation, 10-3-202. State disaster and emergency plan, 10-3-301. Attorney General Opinions: Designation of Fire Service Organization as First
Responder to Hazardous Materials Incident: The designation of a fire service organization as first responder to a hazardous materials incident is a matter to be included in the state
and local disaster and emergency plans. 42 A.G. Op. 104 (1988). 10-3-1203. Definitions. As used in this part, the following definitions apply: (1) "Commission" means the state emergency
response commission. 10/18/2006 Page 7 of 20
Appendix III – State of Montana Hazardous Materials Response Plan (2) "Division" means the division of disaster and emergency services in the department of military affairs. (3) "Duration
of response" means a period of time beginning when an emergency responder is requested by the appropriate authority to respond to an incident and ending when the responder is released
from the incident by the incident commander and returned to the emergency responder's place of residence by the most direct route and includes the time required to replace and return
all materials used for the incident to the same or similar condition and state of readiness as before the response. (4) "Hazardous material" means a hazardous substance, a hazardous
or deleterious substance as defined in 75-10-701, radioactive material, or a combination of a hazardous substance, a hazardous or deleterious substance, and radioactive material. (5)
"Hazardous material incident response team" means an organized group of trained response personnel, operating under an emergency response plan and appropriate standard operating procedures,
that is expected to perform work to control an actual release or threatened release of hazardous material requiring close approach to the material, to respond to releases or threatened
releases of hazardous material for the purpose of control or stabilization of the incident, and to provide technical assistance to local jurisdictions. (6) (a) "Hazardous substance"
means flammable solids, semisolids, liquids, or gases; poisons; explosives; corrosives; compressed gases; reactive or toxic chemicals; irritants; or biological agents. (b) The term does
not include radioactive material. (7) "Incident" means an event involving the release or threat of release involving hazardous material that may cause injury to persons, the environment,
or property. (8) "Incident commander" means the person who is designated in the local emergency operations plan. (9) "Local emergency operations plan" means the local and interjurisdictional
disaster and emergency plan developed pursuant to 10-3-401. (10) "Local emergency response authority" means the agency designated by the city, county, or commission to be responsible
for the management of an incident at the local level. (11) "Orphaned hazardous material" means hazardous material of which the owner cannot be identified. (12) "Plan" means the Montana
incident management and hazardous material response support plan. (13) (a) "Radioactive material" means any material or combination of material that spontaneously emits ionizing radiation.
(b) The term does not include material in which the specific activity is not greater than 0.002 microcuries per gram of material unless the material is determined to be radioactive by
the U.S. environmental protection agency or the U.S. occupational safety and health administration. (14) "State hazardous material incident response team" means persons who are designated
as state employees by the commission while they are engaged in activities as provided for in 10-3-1204 and may include members of the commission and local and state government responders.
10/18/2006 Page 8 of 20
Appendix III – State of Montana Hazardous Materials Response Plan (15) "Threat of release" or "threatened release" means an indication of the possibility of the release of a hazardous
material into the environment. History: En. Sec. 3, Ch. 270, L. 1995; amd. Sec. 2, Ch. 520, L. 1999. Compiler's Comments: 1999 Amendment: Chapter 520 inserted definition of incident
commander; in definition of local emergency response authority substituted "agency" for "person or persons"; and made minor changes in style. Amendment effective October 1, 1999. 10-3-1204.
State emergency response commission. (1) There is a state emergency response commission that is attached to the department for administrative purposes. The commission consists of 27
members appointed by the governor. The commission must include representatives of the national guard, the air force, the department of environmental quality, the division, the department
of transportation, the department of justice, the department of natural resources and conservation, the department of public health and human services, a fire service association, the
fire training school, the emergency medical services and injury prevention section of the health policy and services division in the department of public health and human services, the
department of fish, wildlife, and parks, Montana hospitals, an emergency medical services association, a law enforcement association, an emergency management association, a public health-related
association, a trucking association, a utility company doing business in Montana, a railroad company doing business in Montana, the university system, a local emergency planning committee,
a tribal emergency response commission, the national weather service, the Montana association of counties, the Montana league of cities and towns, and the office of the governor. Members
of the commission serve a term of 4 years and may be reappointed. The members shall serve without compensation. The governor shall appoint two presiding officers from the appointees,
who shall act as copresiding officers. (2) The commission shall implement the provisions of this part, and in so doing, the commission may create and implement a state hazardous material
incident response team to respond to incidents. The members of the team must be certified in accordance with the plan. (3) The commission may enter into written agreements with each
entity or person providing equipment or services to the state hazardous material incident response team. (4) The commission or its designee may direct that the state hazardous material
incident response team be available and respond, when requested by a local emergency response authority, to incidents according to the plan. (5) The commission may contract with persons
to meet state emergency response needs for the state hazardous material incident response team. (6) The commission may advise, consult, cooperate, and enter into agreements with agencies
of the state and federal government, other states and their state agencies, cities, counties, counties, tribal governments, and other persons concerned with emergency response and matters
relating to and arising out of incidents. (7) The commission may encourage, participate in, or conduct studies, investigations, training, research, and demonstrations for and with the
state hazardous material incident response team, local emergency responders, and other interested persons. 10/18/2006 Page 9 of 20
Appendix III – State of Montana Hazardous Materials Response Plan (8) The commission may collect and disseminate information relating to emergency response to incidents. (9) The commission
may accept and administer grants, gifts, or other funds, conditional or otherwise, made to the state for emergency response activities provided for in this part. (10) The commission
may prepare, coordinate, implement, and update a plan, which coordinates state and local emergency authorities, to respond to incidents within the state. The plan must be consistent
with this part. All state emergency response responsibilities relating to an incident must be defined by the plan. (11) The commission has the powers and duties of a state emergency
response commission under the federal Emergency Planning and Community Right-to-Know Act of 1986, 42 U.S.C. 11001, et seq., except that the division shall oversee the creation, annual
local review, and exercise and revision of the local emergency operations plan as provided by state law. (12) The commission shall promulgate rules and procedures limited to cost recovery
procedures, certification of state response team members, and deployment of the state hazardous material incident response team, which must be a part of the plan. (13) The commission
shall act as an all-hazard advisory board to the division by: (a) assisting the division in carrying out its responsibilities by providing the division with recommendations on issues
pertaining to all-hazard emergency management; and (b) authorizing the establishment of subcommittees to develop and provide the recommendations called for in subsection (13)(a). (14)
All state agencies and institutions shall cooperate with the commission in the commission's efforts to carry out its duties under this part. History: En. Sec. 4, Ch. 270, L. 1995; amd.
Sec. 1, Ch. 45, L. 1999; amd. Sec. 1, Ch. 37, L. 2003. Compiler's Comments: 2003 Amendment: Chapter 37 in (1) in second sentence increased the number of commission members from 19 to
27 and in third sentence after "air force" deleted "state and local fire organizations, state and local emergency medical responders, state and local law enforcement agencies, local
emergency planning committees, a Montana utility company, and a railroad company doing business in the state", after "department of justice" deleted "department of fish, wildlife, and
parks", inserted "the department of natural resources and conservation, the department of public health and human services, a fire service association, the fire training school, the
emergency medical services and injury prevention section of the health policy and services division in the department of public health and human services, the department of fish, wildlife,
and parks, Montana hospitals, an emergency medical services association, a law enforcement association, an emergency management association, a public health-related association, a trucking
association, a utility company doing business in Montana, a railroad company doing business in Montana, the university system, a local emergency planning committee, a tribal emergency
response commission, the national weather service, the Montana association of counties, the Montana league of cities and towns", and at end after "governor" deleted "and any other representatives
that the governor appoints"; inserted (13) describing the duties of the commission acting as an all-hazard advisory board; and made minor changes in style. Amendment effective October
1, 2003. 1999 Amendment: Chapter 45 in (1) in second sentence reduced number of appointed members from 20 to 19, in third sentence near middle substituted representative from department
of environmental quality for representative from department of public health and human services and deleted representative from department of administration, inserted fourth sentence
establishing 4-year terms and allowing reappointment, and in sixth sentence substituted requirement for two co-presiding officers for former requirement for one presiding officer; and
made minor changes in style. Amendment effective October 1, 1999. 10/18/2006 Page 10 of 20
Appendix III – State of Montana Hazardous Materials Response Plan Applicability: Section 2, Ch. 45, L. 1999, provided: "[Section 1] [amending 10-3-1204] applies to members of the state
emergency response commission who are members on October 1, 1999." Code Commissioner Change: Pursuant to sec. 3, Ch. 546, L. 1995, the Code Commissioner substituted Department of Public
Health and Human Services for Department of Health and Environmental Sciences.10-3-1207. Commission budget and expenditures. (1) The commission shall submit its budget to the division.
(2) The commission shall expend any funds appropriated to it in the following priority: (a) payment of workers' compensation premiums for coverage of state hazardous material incident
response team members; (b) training activities for the state hazardous material incident response team; (c) equal payments to each hazardous material incident response team as compensation
for duties established in the plan; and (d) any remaining funds to be used at the discretion of the commission for programs related to the plan. History: En. Sec. 5, Ch. 270, L. 1995.
10-3-1211. Notification of release. (1) A person responsible for reporting a release under the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980,
42 U.S.C. 9603, shall, as soon as practicable after obtaining the knowledge of a required reportable release, other than a permitted release, notify the division of the release. (2)
The division shall notify the commission of releases or threatened releases as defined in the plan. (3) The division shall immediately notify the department of environmental quality
of any release reported and who will respond according to the plan. (4) Any person who does not make notification in accordance with the provisions of this section is liable for a civil
penalty not to exceed $10,000 for each day the violation continues to a maximum of $100,000. These penalties are in addition to any other penalties imposed by law. All penalties collected
must be deposited in the environmental contingency account provided for in 75-1-1101. (5) Compliance with the reporting requirements of this section does not relieve any person of the
obligation to report the same incident under any other applicable state or federal law, regulation, or other requirement. History: En. Sec. 9, Ch. 270, L. 1995. Compiler's Comments:
Code Commissioner Change: Pursuant to sec. 568, Ch. 546, L. 1995, the Code Commissioner substituted Department of Environmental Quality for Department of Health and Environmental Sciences.
10-3-1214. Right to reimbursement. (1) State hazardous material incident response team members may submit claims to the commission for reimbursement of documented costs incurred as a
result of the team's response to an incident. Reimbursement for the costs may not exceed the duration of response. 10/18/2006 Page 11 of 20
Appendix III – State of Montana Hazardous Materials Response Plan (2) A party who is not a part of the state hazardous material incident response team and is not liable under federal
or state law may submit a claim to the commission for costs if the claim is associated with a request by the state hazardous material incident response team or the commission. (3) Claims
for reimbursement must be submitted to the commission within 60 days after termination of the response to the incident for the state's determination of payment, if any. (4) Reimbursement
may be made only after the commission finds that the actions by the applicant were taken in response to an incident as defined in this part and only if adequate funds are available.
History: En. Sec. 10, Ch. 270, L. 1995. 10-3-1215. Deficiency warrants for reimbursement of response costs. (1) (a) The commission shall review all claims for reimbursement and make
recommendations to the governor as to payment or nonpayment of the claims within 90 days of receipt. The governor may authorize the issuance of warrants to be paid from the environmental
contingency account provided for in 75-1-1101 to the limit of the fund balance for the purpose of reimbursing reasonable and documented costs associated with emergency actions taken
pursuant to this part. (b) The costs of routine firefighting procedures are not reimbursable costs under this part. (2) Reimbursement must be in accordance with the schedule defined
in the plan. (3) The decision of the governor is final and non-appealable. (4) This section may not be construed to change or impair any right of recovery or subrogation arising under
any other provision of law. History: En. Sec. 11, Ch. 270, L. 1995. 10-3-1216. Cost recovery and civil remedies. (1) Cost recovery is the duty of the city or county having authority
where an incident occurred. (2) The commission shall ensure the recovery of state expenditures according to the plan. (3) A person responsible for an incident is liable for attorney
fees and costs of the commission incurred in recovering costs associated with responding to an incident. (4) The remedy for the recovery of emergency response costs identified in this
part is in addition to any other remedy for recovery of the costs provided by applicable federal or state law. (5) Any person who receives compensation for the emergency response costs
pursuant to any other federal or state law is precluded from recovering compensation for those costs pursuant to this chapter. (6) Except for the commission, the state hazardous material
incident response team, and the local emergency response authority, this part does not otherwise affect or modify in any way the obligations or liability of any person under any other
provision of state or federal law, including common law, for damages, injury, or loss resulting from the release or threatened release of any hazardous material or for remedial action
or the costs of remedial action for a release or threatened release. (7) Any person who is not a liable party under the federal Comprehensive Environmental Response, Compensation, and
Liability Act of 1980, 42 U.S.C. 9601, et 10/18/2006 Page 12 of 20
Appendix III – State of Montana Hazardous Materials Response Plan seq., as amended, or the Comprehensive Environmental Cleanup and Responsibility Act, Title 75, chapter 10, part 7, and
who renders assistance in response to an emergency situation associated with an incident may file a civil action against the responsible party for recoverable costs that have not been
reimbursed by the state. (8) Recoveries by the state for reimbursed costs under this section must be deposited in the environmental contingency account to offset amounts paid as reimbursement.
(9) (a) In the event of orphaned hazardous material or the inability of the state to recover the full cost associated with an incident and the cost of collection described in this section,
the state shall recover from the city or county having authority where the incident occurred an amount equal to 25% of the total cost identified pursuant to this part. (b) When the hazardous
material incident occurs in or involves multiple jurisdictions, the collectible amount must be equally divided among the jurisdictions. History: En. Sec. 12, Ch. 270, L. 1995; amd. Sec.
3, Ch. 520, L. 1999. Compiler's Comments: 1999 Amendment: Chapter 520 in (6) after "team" inserted "and the local emergency response authority"; and made minor changes in style. Amendment
effective October 1, 1999. Cross References: Costs, Title 25, ch. 10. Availability of remedies --liability, Title 27, ch. 1. Nuisances, Title 27, ch. 30. Environmental contingency account,
75-1-1101. 10-3-1217. Liability of persons and response team members rendering assistance. (1) The following are not liable under this part for injuries, costs, damages, expenses, or
other liabilities resulting from the release or threatened release or remedial action resulting from the release or threatened release of a hazardous material: (a) the state or a political
subdivision of the state; (b) the commission; (c) the local emergency response authority; (d) the state hazardous material incident response team; (e) a private emergency response team
dispatched by the state, a political subdivision of the state, or a local or tribal emergency response authority for emergency response activities; and (f) an employee, representative,
or agent of any of the entities listed in subsections (1)(a) through (1)(e), except for willful misconduct or gross negligence. (2) The immunity includes but is not limited to indemnification,
contribution, or third-party claims for wrongful death, personal injury, illness, loss or damages to property, or economic loss. (3) A person becomes a member of the state hazardous
material incident response team when the person is contacted, dispatched, or requested for response regardless of the person's location. History: En. Sec. 13, Ch. 270, L. 1995; amd.
Sec. 4, Ch. 520, L. 1999; amd. Sec. 1, Ch. 517, L. 2003. Compiler's Comments: 2003 Amendment: Chapter 517 inserted (1)(e) relating to private emergency response team dispatched by governmental
entity for emergency response activities; in (1)(f) after "gross negligence" deleted "bad faith"; and made minor changes in style. Amendment effective April 25, 2003. 10/18/2006 Page
13 of 20
Appendix III – State of Montana Hazardous Materials Response Plan 1999 Amendment: Chapter 520 in first sentence at beginning inserted "The state or a political subdivision of the state",
after "commission" inserted "the local emergency response authority", after "team" inserted "or, except for willful misconduct, gross negligence, or bad faith, an employee, representative,
or agent of the state or a political subdivision of the state, the commission, the local emergency response authority, and the state hazardous material incident response team", and near
end after "release" inserted "or remedial action resulting from the release or threatened release"; in third sentence after "contacted" inserted "dispatched, or requested"; and made
minor changes in style. Amendment effective October 1, 1999. 60-1-103. General definitions. Subject to additional definitions contained in this title that are applicable to specific
chapters or sections and unless the context otherwise requires, the following definitions apply: apply: (1) "Abandonment" means cessation of use of right-of-way or an easement or cessation
of activity on the right-of-way or easement with no intention to reclaim or use again. Abandonment is sometimes called vacation. (2) "Bridge" means any bridge constructed by the department,
together with all appurtenances, additions, alterations, improvements, and replacements and the approaches to the bridge, lands used in connection with the bridge, and improvements incidental
or integral to the bridge. (3) "Commission" means the transportation commission provided for in 2-15-2502. (4) "Condemnation" means taking by exercise of the right of eminent domain,
as provided in Title 70, chapter 30, and chapter 4 of this title. (5) "Construction" means supervising, inspecting, actual building, and all expenses incidental to the construction or
reconstruction of a highway, including locating, surveying, mapping, and costs of right-of-way or other interests in land and elimination of hazards at railway grade crossings. (6) ""Control
of access" means the condition in which the right of owners or occupants of abutting land or other persons to access, light, air, or view in connection with a highway is fully or partially
controlled by public authority. (7) "County road" means any public highway opened, established, constructed, maintained, abandoned, or discontinued by a county in accordance with Title
7, chapter 14. (8) "Department" means the department of transportation provided for in Title 2, chapter 15, part 25. (9) "Director" means the director of transportation, a position provided
for in 2-15-2501. (10) "Easement" means a right acquired by public authority to use or control property for a designated purpose. (11) "Eminent domain" means the right of the state to
take private property for public use. (12) "Federal-aid highway" means a public highway that is a portion of any of the federal-aid highway systems. (13) "Federal-aid highway systems"
means all of the systems named as part of the systems and their urban extensions. extensions. (14) "Federal-aid interstate system" means that system of public highways selected by the
commission in cooperation with adjoining states, subject to the approval of the secretary of commerce, as provided in Title 23, U.S.C. 10/18/2006 Page 14 of 20
Appendix III – State of Montana Hazardous Materials Response Plan (15) "Federal-aid primary system" means that system of connected public highways designated by the commission, subject
to the approval of the secretary of commerce, as provided in Title 23, U.S.C. (16) "Federal-aid secondary system" means that system of public highways not in the federal-aid primary
or interstate systems selected by the commission in cooperation with the boards of county commissioners, subject to the approval of the secretary of commerce, as provided in Title 23,
U.S.C. (17) "Fee simple" means an absolute estate or ownership in property, including unlimited power of alienation. (18) "Highway" includes rights-of-way or other interests in land,
embankments, retaining walls, culverts, sluices, drainage structures, bridges, railroad-highway crossings, tunnels, signs, guardrails, and protective structures. (19) "Highway", "road",
and "street", whether the terms appear together or separately or are preceded by the adjective "public", are general terms denoting a public way for purposes of vehicular travel and
include the entire area within the right-of-way. (20) "Highway authority" means the entity at any level of government authorized by law to construct and maintain highways. (21) "Maintenance"
means the preservation of the entire highway, including surface, shoulders, roadsides, structures, and traffic-control devices that are necessary for the safe and efficient use of the
highway. (22) "Public highways" means all streets, roads, highways, bridges, and related structures: (a) built and maintained with appropriated funds of the United States or the state
or any political subdivision of the state; (b) dedicated to public use; (c) acquired by eminent domain, as provided in Title 70, chapter 30, and chapter 4 of this title; or (d) acquired
by adverse use by the public, with jurisdiction having been assumed by the state or any political subdivision of the state. (23) "Right-of-way" is a general term denoting land, property,
or any interest in land or property, usually in a strip, acquired for or devoted to highway purposes. (24) "Scenic-historic byway" means a public road or segment of a public road that
has been designated as a scenic-historic byway by the commission, as provided
in 60-2-601. (25) "State highway" means any public highway planned, laid out, altered, constructed, reconstructed, improved, repaired, maintained, or abandoned by the department. History:
En. Sec. 2-101, Ch. 197, L. 1965; amd. Sec. 69, Ch. 316, L. 1974; R.C.M. 1947, 32-2203(part); amd. Sec. 2, Ch. 23, L. 1979; amd. Sec. 3, Ch. 512, L. 1991; amd. Sec. 2, Ch. 75, L. 1995;
amd. Sec. 1, Ch. 546, L. 1999; amd. Sec. 34, Ch. 125, L. 2001. Compiler's Comments: 2001 Amendment: Chapter 125 in definitions of condemnation and public highways inserted "as provided
in Title 70, chapter 30, and chapter 4 of this title"; and made minor changes in style. Amendment effective October 1, 2001. 1999 Amendment: Chapter 546 inserted definition of scenic-historic
byway; and made minor changes in style. Amendment effective July 1, 1999. Severability: Section 6, Ch. 546, L. 1999, was a severability clause. 10/18/2006 Page 15 of 20
Appendix III – State of Montana Hazardous Materials Response Plan 1995 Amendment: Chapter 75 near beginning of definition of abandonment, before "easement", inserted "or an" and at beginning
of second sentence inserted "Abandonment is"; in definition of Commission substituted "transportation" for "highway"; and made minor changes in style. Amendment effective July 1, 1995.
1991 Amendment: Substituted references to Department of Transportation for references to Department of Highways and reference to Director of Transportation for reference to Director
of Highways. Amendment effective July 1, 1991. Section Not Codified: Section 32-2203 (part), R.C.M. 1947, including definitions of "auditor", "clerk", "committee", "superintendent",
"supervisor", "surveyor", and "treasurer", was not codified in the MCA because it is no longer relevant. This part of the section has not been repealed and is still valid law. Citation
may be made to sec. 2-101, Ch. 197, L. 1965, as amended by sec. 69, Ch. 316, L. 1974. Cross References: Powers and duties of Governor, 2-15-201. Administrative Rules: ARM 18.5.103 Highway
approaches --definitions. ARM 18.6.102 Junkyards --definitions. ARM 18.6.202 Outdoor advertising --definitions. ARM 18.8.101 Gross vehicle weight --definitions. Case Notes: "Heavy or
Highway" Construction Construed --"Utility Rights-of-Way" Construed: After receiving complaints about the wages being paid to workers constructing tunnels for heating and electric utilities
on the Montana State University-Bozeman campus, the Montana Department of Labor and Industry (DLI) held that the construction projects were "heavy" construction within the meaning of
18-2-401(5) and (7) and that a higher wage should be paid. The DLI also held that the contracting state agency, the Department of Administration (DA), was liable for back wages. The
DA appealed the DLI decision to the District Court, which held that the project was not "heavy" construction because it was not a utility "right-of-way". The Supreme Court held that
the District District Court erred in applying the definition of "right-of-way" found in this section and in holding that a "right-of-way" is only an interest in land. The Supreme Court
pointed out that 18-2-401 sets out a listing of projects that are to be built or constructed. The Supreme Court noted that not only could an interest in land not be "constructed" but
that the inclusion of "rights-of-way" in the list of types of projects listed in 18-2-401(5) was not intended by the Legislature, because of the use of the phrase "such as", to be an
exclusive list of projects. The Supreme Court therefore held that the tunnels were "utility rights-of-way", that they qualified as "heavy construction" within the meaning of 18-2-401(5),
and that a higher wage should have been paid by the DA. Dept. of Administration v. Ekanger, 284 M 151, 943 P2d 994, 54 St. Rep. 821 (1997). Abandonment of State Highway --Statements
by State Field Supervisor Contemporaneous With Removal of Asphalt Held Not Evidence of Official Act by State Evidencing Clear Intent to Abandon Easement --Asphalt Alone Not "Highway":
DeVoe brought a declaratory judgment action against the state, claiming that the removal of asphalt from a curving intersection and statements by a supervisor of a crew removing the
old roadway evidenced an intent by the state to abandon its easement granted in 1937. DeVoe argued that statements by James Williams, the state's field project manager in charge of removal
of the asphalt from the section of highway on the state's easement claimed by DeVoe to have been abandoned, showed that the state intended to abandon the easement. The Supreme Court
held that the statements by Williams, to the effect that the state might give up the easement, were evidence of an intent to abandon but did not constitute evidence of an official act
by the state indicating a clear intent to abandon the 1937 easement. The Supreme Court also noted that a "highway" is defined as including the highway right-of-way and that, for this
reason, removal of asphalt does not constitute removal of the highway. The Supreme Court held that the District Court properly granted summary judgment against DeVoe because the District
Court properly found that the easement was still subject to highway-related uses. DeVoe v. St., 281 M 356, 935 P2d 256, 54 St. Rep. 207 (1997). Attorney General Opinions: Municipal Construction
of Storm Sewers With Gas Tax Revenues Allowed: A city may use its gas tax allocation to construct streets and highways, and because a highway is defined as including "drainage structures",
the city may use its share of gasoline tax allocation for construction of storm sewers and drains in and under city streets for removal of runoff water. 40 A.G. Op. 19 (1983). 10/18/2006
Page 16 of 20
Appendix III – State of Montana Hazardous Materials Response Plan Maintenance of Bridge Utilized by the Public but Not Located on a County Road Maintained by the County: Prior to July
1, 1979, by analogy to the definition of "public highway" in 60-1-103, it would appear that a bridge on a road utilized by the public, which was located over a boundary between two counties,
would be the common responsibility of the two counties. However, by adding a definition of "public bridges", the 1979 Legislature made it clear that counties are not responsible for
maintenance of bridges that are utilized by the public but which are not located in a city or town in the county or on a county road maintained by the county. 38 A.G. Op. 50 (1979).
Forest Service Development Road: Because a United States Forest Service development road is not, by statutory definition, a highway, the provisions of law regarding license plates do
not apply to vehicles operated solely on Forest Service development roads. 37 A.G. Op. 9 (1977). Application of Traffic Laws Upon Forest Service Development Roads: Only the traffic laws
regulating parking, moving, safety, and related areas are enforceable by the Highway Patrol and county Sheriffs against vehicles operating on United States Forest Service development
roads. 37 A.G. Op. 9 (1977). Forest Service Development Roads: The laws applicable to vehicle size and weight are enforceable upon highways but not upon Forest Service development roads.
This chapter, however, generally extends its jurisdiction over these roads. 37 A.G. Op. 9 (1977). Collateral References: 39 Am. Jur. 2d Highways, Streets, and Bridges §§ 1 through 8,
11, 12. 75-1-1101. Environmental contingency account objectives. (1) There is an environmental contingency account within the state special revenue fund established in 17-2-102. The
environmental contingency account is controlled by the governor. (2) At the beginning of each biennium, $175,000 must be allocated to the environmental contingency account from the interest
income of the resource indemnity trust fund with the following exceptions: (a) if at the beginning of any biennium the unobligated cash balance in the environmental contingency account
equals or exceeds $750,000, allocation may not be made; and (b) if at the beginning of any biennium the unobligated cash balance in the environmental contingency account is less than
$750,000, then an amount less than or equal to the difference between the unobligated cash balance and $750,000, but not to exceed $175,000, must be allocated to the environmental contingency
account from the interest income of the resource indemnity trust fund. (3) Funds are statutorily appropriated, as provided in 17-7-502, from the environmental contingency account upon
the authorization of the governor to meet unanticipated public needs consistent with the following objectives: (a) to support renewable resource development projects in communities that
face an emergency or imminent need for the services or to prevent the physical failure of a project; (b) to preserve vegetation, water, soil, fish, wildlife, or other renewable resources
from an imminent physical threat or during an emergency, not including: (i) natural disasters adequately covered by other funding sources; or (ii) fire; (c) to respond to an emergency
or imminent threat to persons, property, or the environment caused by mineral development; (d) to respond to an emergency or imminent threat to persons, property, or the environment
caused by a hazardous material; and (e) to fund the environmental quality protection fund provided for in 75-10-704 or to take other necessary actions, including the construction of
facilities, to respond to 10/18/2006 Page 17 of 20
Appendix III – State of Montana Hazardous Materials Response Plan actual or potential threats to persons, property, or the environment caused by hazardous wastes or other hazardous materials.
(4) Interest from funds in the environmental contingency account accrues to the general fund. (5) The governor shall submit, as a part of the information required by 17-7-111, a complete
financial report on the environmental contingency account, including a description of all expenditures made since the preceding report. History: En. Sec. 4, HB 922, L. 1985; amd. Sec.
5, HB 30, Sp. L. June 1986; amd. Sec. 138, Ch. 370, L. 1987; amd. Sec. 13, Ch. 418, L. 1987; amd. Sec. 48, Ch. 112, L. 1991; amd. Sec. 43, Ch. 349, L. 1993; amd. Sec. 15, Ch. 270, L.
1995; amd. Sec. 263, Ch. 42, L. 1997; amd. Sec. 4, Ch. 444, L. 1997. Compiler's Comments: 1997 Amendments: Chapter 42 in (4) substituted "general fund" for "resource indemnity trust
interest account"; and made minor changes in style. Amendment effective March 12, 1997. Chapter 444 at end of (4) substituted "general fund" for "resource indemnity trust interest account";
and made minor changes in style. Amendment effective July 1, 1997. 1995 Amendment: Chapter 270 inserted (3)(d) regarding responses to emergencies caused by hazardous materials. Amendment
effective March 28, 1995. Code Commissioner Correction: The Code Commissioner substituted reference to renewable resource for reference to water development. Chapter 478, L. 1993, combined
the water development and renewable resource development programs. The Code Commissioner has made the change to reflect changes made by Ch. 478. Authority for the change is found in
sec. 84, Ch. 10, L. 1993. 1993 Amendment: Chapter 349 in (5), after "shall", substituted "submit, as a part of the information required by 17-7-111" for "as provided in 5-11-210, submit
to the legislature"; and made minor changes in style. 1991 Amendment: Near beginning of (5) inserted reference to 5-11-210 and after "legislature" deleted "at the beginning of each regular
session". Amendment effective March 20, 1991. 1987 Amendments: Chapter 370 near beginning of former (2) (now deleted) changed "subsection (5)" to "subsection (4)". Chapter 418 substituted
(2) relating to environmental contingency account exceptions for former (2) that read: "Except as provided in subsection (5), at the beginning of each fiscal year, 5% of the funds appropriated
to the department of natural resources and conservation from the resource indemnity trust interest account, not to exceed $175,000 in fiscal year 1987, must be allocated to the environmental
contingency account"; and deleted former (4) that read: "(4) The environmental contingency account may receive no additional allocation for any fiscal year in which the balance in the
account exceeds $1,000,000 at the beginning of that fiscal year." Severability: Section 19, Ch. 418, L. 1987, was a severability section. Saving Clause: Section 20, Ch. 418, L. 1987,
was a saving clause. 1986 Amendment: In (2) following "indemnity trust interest account" inserted "not to exceed $175,000 in fiscal year 1987". Cross References: Resource indemnity trust,
Art. IX, sec. 2, Mont. Const. Department of Natural Resources and Conservation, 2-15-3301. Resource indemnity trust tax, Title 15, ch. 38. Abatement of environmental emergencies, 82-4-357.
75-10-717. Recovery of costs. An emergency responder has the right to recover from the responsible party the emergency responder's full costs directly related to a hazardous material
incident. History: En. Sec. 2, Ch. 464, L. 1991. 75-10-718. Liability of remedial action contractor. (1) A person who is a remedial action contractor with respect to a release or threatened
release of a hazardous or deleterious substance is not liable under this part to any person for injuries, costs, 10/18/2006 Page 18 of 20
Appendix III – State of Montana Hazardous Materials Response Plan damages, expenses, or other liability that results from the release or threatened release, including but not limited
to claims for indemnification or contribution and claims by third parties for death, personal injury, illness, loss or damage to property, or economic loss. (2) Immunity from liability,
pursuant to subsection (1), does not apply in the case of a release that is caused by conduct of the remedial action contractor that is negligent or grossly negligent or that constitutes
intentional misconduct. (3) This section does not affect the liability of a person under a warranty under federal, state, or common law or the liability to an employee of an employer
who is a remedial action contractor under any provision of law, including any provision of a law relating to workers' compensation. (4) A state agency or state employee or an employee
of a political subdivision who provides services relating to remedial action while acting within the scope of the entity's or individual's authority as a governmental agency or employee
has the same exemption from liability as is provided to the remedial action contractor under this section. (5) The defense provided by 75-10-715(5)(c) is not available to a person liable
under 75-10-715(1) with respect to remedial action costs or damages caused by an act or omission of a remedial action contractor. (6) Except as provided in subsections (4) and (5), this
section does not affect the liability under this part of a person other than a remedial action contractor. (7) This section does not affect the plaintiff's burden of establishing liability
under this part. (8) This section does not minimize the liability, lessen the standard of liability, or otherwise shield from liability a potentially liable person under 75-10-715 or
section 107 of CERCLA for costs or damages incurred as a result of a release or threatened release of a hazardous or deleterious substance. History: En. Sec. 8, Ch. 709, L. 1989; amd.
Sec. 54, Ch. 16, L. 1991; amd. Sec. 4, Ch. 490, L. 1995. Compiler's Comments: 1995 Amendment: Chapter 490 in (4), near middle after "scope of", substituted "the entity's or individual's"
for "its or his"; and made minor changes in style. Amendment effective April 14, 1995. 1995 Statement of Intent: The statement of intent attached to Ch. 490, L. 1995, provided: "A statement
of intent is included with this bill because of the authorization granted to the department in 75-10-702 to adopt rules to implement Title 75, chapter 10, part 7, including implementation
of the exemption from liability for persons holding indicia of ownership primarily to protect a security interest. To date, the department has not adopted rules under this section. The
legislature finds that existing state law related to the liability of persons holding security interests for environmental contamination is unclear and that this lack of clarity has
created uncertainty on the part of security interest holders as to whether they are liable for environmental contamination caused by their borrowers or other third parties. The uncertainty
has negatively affected the availability of credit in Montana. In enacting Montana's Comprehensive Environmental Cleanup and Responsibility Act (CECRA), the legislature modeled the statute
after and borrowed many terms from the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (CERCLA). The legislature specifically borrowed the term
"own or operate", which excludes from liability those persons who, without participating in the management of the facility, hold indicia of ownership merely to protect a security interest.
10/18/2006 Page 19 of 20
Appendix III – State of Montana Hazardous Materials Response Plan When significant questions arose under CERCLA as to the scope of the terms "indicia of ownership" and "participating
in the management of the facility", the federal government devoted substantial effort to developing a federal policy and a rule that employ a framework of specific tests to provide clearer
articulation of a lender's scope of liability under CERCLA, both to governmental agencies and to third parties. The April 1992 rule, which appears at 40 CFR 300.1100, et seq., was preceded
by many public hearings and public comment periods. Although the rule was recently judged to be technically beyond EPA's rulemaking authority, the contents of the rule still constitute
EPA policy on the scope of the secured creditor exemption under CERCLA and the legislature finds that the rule in its current form provides a well-reasoned basis for interpreting the
identical language in CECRA. Therefore the legislature finds that the clarification of potential liability in a manner consistent with federal statutes, current EPA policy, and the regulations
at 40 CFR 300.1100, et seq., is desirable in order to provide certainty for security interest holders, including persons engaged in lease financing, to enhance the availability of credit,
and to encourage responsible practices by those security interest holders and borrowers to protect the public health and environment. The legislature also finds that uncertainty exists
in state law regarding the potential liability of certain fiduciaries for environmental contamination on property held in their fiduciary capacity and determines that a limited exemption
from liability, comparable to the one being proposed for action by congress under CERCLA, should apply to fiduciaries and that it is necessary to add language concerning fiduciaries
to Title 75, chapter 10, part 7. Therefore, in adopting rules under 75-10-702 to implement the exemption under 75-10-701(10)(b) for holders of "the indicia of ownership", the department
of health and environmental sciences [now department of environmental quality] shall adopt rules consistent with the revisions to CECRA contained in this bill, including rules that address
fiduciaries within the exemption. The rules also must be consistent with the federal regulations set forth at 40 CFR 300.1100, et seq. Finally, the legislature intends that the limited
exemptions for secured creditors and fiduciaries that are clarified and granted by this legislation extend not only to liability asserted by governmental entities but also extend to
claims by any third parties for cleanup or for cost recovery or contribution." Applicability: Section 6, Ch. 490, L. 1995, provided: "[This act] does not apply to civil actions commenced
prior to the [effective date of this act] or to the claims upon which such civil actions are based." Effective April 14, 1995. 1991 Amendment: In (8) substituted "liable person" for
"responsible party". Effective Date: Section 22, Ch. 709, L. 1989, provided that this section section is effective May 22, 1989. 10/18/2006 Page 20 of 20
January 2008 National Response Framework Page i This National Response Framework (NRF) 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, linking all levels of government, nongovernmental organizations, and the private sector.
It is intended to capture 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. This core document, along with the Emergency Support Function Annexes and Support Annexes (available at the NRF Resource Center, http://www.fema.gov/NRF), supersedes
the corresponding sections of the National Response Plan (2004, with 2006 revisions). The Incident Annexes remain in effect until superseded at a later date. The President has approved
this National Response Framework. Washington, DC January 2008
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January 2008 National Response Framework Page iii CONTENTS INTRODUCTION..................................................................................................... 1 Overview
......................................................................................................... 1 Framework Unpacked.........................................................................
................ 3 Scope.............................................................................................................. 7 Response Doctrine.............................................
................................................ 8 Part of a Broader Strategy ................................................................................ 12 CHAPTER I – ROLES AND
RESPONSIBILITIES .......................................................... 15 Local.............................................................................................................
15 The Private Sector and NGOs............................................................................. 18 States, Territories, and Tribal Governments ............................................
............. 21 Federal .......................................................................................................... 24 CHAPTER II – RESPONSE ACTIONS ..................................
..................................... 27 Introduction ................................................................................................... 27 Prepare ..................................
....................................................................... 27 Respond ........................................................................................................
32 Recover ......................................................................................................... 45 CHAPTER III – RESPONSE ORGANIZATION ...........................................
................. 47 Introduction ................................................................................................... 47 Key Concepts .................................................
............................................... 48 Local Response: Structures and Staffing............................................................. 49 State Response: Structures
and Staffing ............................................................ 51 Federal Response: Structures and Staffing ......................................................... 53 CHAPTER
IV – PLANNING: A CRITICAL ELEMENT OF EFFECTIVE RESPONSE ............... 71 The Framework and Planning............................................................................. 71
The Value of Planning ...................................................................................... 71 National Preparedness Architecture ....................................................
................ 72 The Federal Planning Structure .......................................................................... 73 The State, Tribal, and Local Planning Structure.......................
.............................. 74 Criteria for Successful Planning .......................................................................... 74 CHAPTER V – ADDITIONAL RESOURCES .....................
............................................ 77 Supporting Documents and the NRF Resource Center ............................................ 77 Effective Date and Framework Implementation...........
.......................................... 79 ACRONYMS......................................................................................................... 81
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January 2008 National Response Framework Page 1 INTRODUCTION OVERVIEW This 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. This document explains the common discipline
and structures that have been exercised and matured at the local, tribal, State, and national levels over time. It describes key lessons learned from Hurricanes Katrina and Rita, focusing
particularly on how the Federal Government is organized to support communities and States in catastrophic incidents. Most importantly, it builds upon the National Incident Management
System (NIMS), which provides a consistent template for managing incidents. The term “response” as as used in this Framework includes immediate actions to save lives, protect property
and the environment, and meet basic human needs. Response also includes the execution of emergency plans and actions to support short-term recovery. The Framework is always in effect,
and elements can be implemented as needed on a flexible, scalable basis to improve response. INTENDED AUDIENCE The Framework is written especially for government executives, private-sector
and nongovernmental organization (NGO) leaders, and emergency management practitioners. First, it is addressed to senior elected and appointed leaders, such as Federal department or
agency heads, State Governors, mayors, tribal leaders, and city or county officials – those who have a responsibility to provide for effective response. For the Nation to be prepared
for any and all hazards, its leaders must have a baseline familiarity with the concepts and mechanics of the Framework. At the same time, the Framework informs emergency management practitioners,
explaining the operating structures and tools used routinely by first responders and emergency managers at all levels of government. For these readers, the Framework is augmented with
online access to supporting documents, further training, and an evolving resource for exchanging lessons learned.1 1 To support users of the Framework, the Department of Homeland Security
has created an online NRF Resource Center, available at http://www.fema.gov/NRF. This online resource will routinely grow and evolve in support of the Framework and those who work with
it. The initial postings contain multiple supporting documents, operational plans, standard forms, and other tools that are commonly used by the incident management community. The site
will further explain technical aspects of the Framework, and will routinely post supporting documents as they are newly generated or improved.
INTRODUCTION Page 2 National Response Framework January 2008 One of the challenges to effective response is the relatively high turnover and short tenure among elected and appointed
officials responsible for response at all levels. Effective response hinges upon well-trained leaders and responders who have invested in response preparedness, developed engaged partnerships,
and are able to achieve shared objectives. The players’ bench is constantly changing, but a concise, common playbook is needed by all. This Framework is intended to supply that essential
playbook. It is rooted in extensive consultation among practitioners and policymakers at all levels. Operational planning for specific types of incidents has accelerated and improved
nationwide since the
terrorist attacks of September 11, 2001 (or 9/11). Such plans will continue to evolve in alignment with the Framework. EVOLUTION OF THE FRAMEWORK This document is an outgrowth of previous
iterations of Federal planning documents. A brief discussion of its history underscores important elements of the Framework and highlights improvements to the previous National Response
Plan (NRP). This Framework was preceded 15 years earlier by a Federal Response Plan (1992) that focused largely on Federal roles and responsibilities. Following the 9/11 attacks, more
urgent efforts were made to understand and implement common incident management and response principles and to develop common planning frameworks. The 2004 NRP was an early outgrowth
of those discussions, replacing the Federal Response Plan. It was published one year after creation of the Department of Homeland Security (DHS). The NRP broke new ground in integrating
all levels of government in a common incident management framework. It incorporated incident coordination roles for Federal agencies2 as defined by several new laws and Presidential
directives. Nine months after Katrina’s landfall, a notice of change to the NRP was released, incorporating preliminary lessons learned from the 2005 hurricane season. Stakeholders suggested
changes to the NRP – both structural and substantive. Stakeholders have advised that both the initial NRP and its 2006 iteration were bureaucratic and internally repetitive. Users also
suggested the NRP was still insufficiently national in its focus, which is to say that it should speak more clearly to the roles and responsibilities of all parties involved in response.
Moreover, it was evident that the NRP and its supporting documents did not constitute a true operational plan in the sense understood by emergency managers. Its content was inconsistent
with the promise of its title. In the last several years, operational planning on a national basis for specific types of incidents has matured. Both public and private sectors are making
significant homeland security investments to strengthen the Nation’s response capability. 2 Note that within this document, use of the term “agency” when referring to Federal entities
is inclusive of executive agencies, departments, and Government corporatio
ns.INTRODUCTION January 2008 National Response Framework Page 3 By adopting the term “framework” within the title, this document is now more accurately aligned with its intended purpose.
Effective response to an incident is a shared responsibility of governments at all levels, the private sector and NGOs, and individual citizens. This Framework commits the Federal Government,
in partnership with local, tribal, and State governments and the private sector, to complete both strategic and operational plans for the incident scenarios specified in the National
Preparedness Guidelines.3 These plans will ultimately improve significantly the Incident Annexes to this Framework, which have been carried forward from the NRP. FRAMEWORK UNPACKED The
Framework presents the key response principles, participants, roles, and structures that guide the Nation’s response operations. The remainder of the Framework is organized as follows:
• Chapter I – Roles and Responsibilities. This chapter sharpens the focus on who is involved with emergency management activities at the local, tribal, State, and Federal levels and
with the private sector and NGOs. • Chapter II – Response Actions. This chapter describes what we as a Nation collectively do to respond to incidents. • Chapter III – Response Organization.
This chapter explains how we as a Nation are organized to implement response actions. • Chapter IV – Planning: A Critical Element of Effective Response. This chapter emphasizes the importance
of planning and summarizes the elements of national planning structures. • Chapter V – Additional Resources. This final chapter summarizes the content and plan for the online NRF Resource
Center, a new, actively managed DHS/Federal Emergency Management Agency Web site that will deliver state-of-the-art support for the Framework with additional support tools shaped by
and addressed to the response community. HOW THE FRAMEWORK IS ORGANIZED The National Response Framework is comprised of the core document, the Emergency Support Function (ESF), Support,
and Incident Annexes, and the Partner Guides. The core document describes the doctrine that guides our national response, roles and responsibilities, response actions, response organizations,
and planning requirements to achieve an effective national response to any incident that occurs. The core document of the National Response Framework is effective 60 days after publication.
The annexes and Partner Guides will be updated periodically and effective 60 days after publication. 3 The set of scenarios, while not exhaustive, is representative of a broad range
of terrorist attacks and natural disasters that would stretch the Nation’s prevention and response capabilities. Collectively, they yield core prevention and response requirements that
can help direct comprehensive planning efforts.
INTRODUCTION Page 4 National Response Framework January 2008 The following documents provide more detailed information to assist practitioners in implementing the Framework: • Emergency
Support Function Annexes group Federal resources and capabilities into functional areas that are most frequently needed in a national response (e.g., Transportation, Firefighting, Mass
Care). • Support Annexes describe essential supporting aspects that are common to all incidents (e.g., Financial Management, Volunteer and Donations Management, Private-Sector Coordination).
• Incident Annexes address the unique aspects of how we respond to seven broad incident categories (e.g., Biological, Nuclear/Radiological, Cyber, Mass Evacuation). • Partner Guides
provide ready references describing key roles and actions for local, tribal, State, Federal, and private-sector response partners. The National Incident Management System (NIMS) is a
companion document that provides standard command and management structures that apply to response activities. This system provides a consistent, nationwide template to enable Federal,
State, tribal, and local governments, the private sector, and NGOs to work together to prepare for, prevent, respond to, recover from, and mitigate the effects of incidents regardless
of cause, size, location, or complexity. This consistency provides the foundation for utilization of the NIMS for all incidents, ranging from daily occurrences to incidents requiring
a coordinated Federal response. These documents are available at the NRF Resource Center, http://www.fema.gov/NRF. RESPONSE: THE WHO An effective, unified national response requires
layered, mutually supporting capabilities. The Framework systematically incorporates public-sector agencies, the private sector, and NGOs. It also emphasizes the importance of personal
preparedness by individuals and households. Communities, tribes, States, the Federal Government, NGOs, and the private sector should each understand their respective roles and responsibilities,
and complement each other in achieving shared goals. Each governmental level plays a prominent role in developing capabilities needed to respond to incidents. This includes developing
plans, conducting assessments and exercises, providing and directing resources and capabilities, and gathering lessons learned. These activities require that involved organizations understand
their roles and responsibilities, and how they fit within and are supported by the Framework. Figure 1. Organization of the Framework
INTRODUCTION January 2008 National Response Framework Page 5 It is important that each level of government adapt and apply the general roles outlined in the Framework. To do this, organizations
should define key leadership and staff functions, adopt capabilities-based planning as the method to build response capabilities, and impose the discipline needed to plan and operate
effectively. Partner Guides that summarize core Framework concepts and are tailored specifically to leaders at different levels and types of organizations are provided through the online
NRF Resource Center. Even when a community is overwhelmed by an incident, there is still a core, sovereign responsibility to be exercised at this local level, with unique response obligations
to coordinate with State, Federal, and private-sector support teams. Each organization or level of government therefore has an imperative to fund and execute its own core emergency management
responsibilities. Below is a brief summary of emergency management roles at the local, tribal, State, and Federal levels, as well as the roles of private-sector organizations. Emergency
management is the coordination and integration of all activities necessary to build, sustain, and improve the capability to prepare for, protect against, respond to, recover from, or
mitigate against threatened or actual natural disasters, acts of terrorism, or other manmade disasters. Local Governments. Resilient communities begin with prepared individuals and depend
on the leadership and engagement of local government, NGOs, and the private sector. Individuals, families, and caregivers to those with special needs should enhance their awareness of
risk and threats, develop household emergency plans that include care for pets and service animals, and prepare emergency supply kits.4 Individuals can also volunteer in their communities.
Local police, fire, emergency medical services, public health and medical providers, emergency management, public works, environmental response professionals, and others in the community
are often the first to detect a threat or hazard, or respond to an incident. They also are often the last to leave an incident site or otherwise to cope with the effects of an incident.
The local senior elected or appointed official (the mayor, city manager, or county manager) is responsible for ensuring the public safety and welfare of residents. In today’s world,
senior officials and their emergency managers build the foundation for an effective response. They organize and integrate their capabilities and resources with neighboring jurisdictions,
the State, NGOs, and the private sector. Increasingly, businesses are vital partners within communities wherever retail locations, service sites, manufacturing facilities, or management
offices are located. NGOs and not-for-profit organizations also play a key role in strengthening communities’ response efforts through their knowledge of hard-to-reach populations, outreach,
and services. States, Territories, and Tribal Governments. States, territories, and tribal governments have responsibility for the public health and welfare of the people in their jurisdiction.
State and local governments are closest to those impacted by incidents, and have always had the lead in response and recovery. During response, States play a key role coordinating resources
and capabilities throughout the State and obtaining resources and capabilities from other States. States are sovereign entities, and the Governor has responsibility for public safety
and welfare. While U.S. territories, 4 More information on preparing a household emergency plan is available at http://www.ready.gov.
INTRODUCTION Page 6 National Response Framework January 2008 possessions, freely associated states,5 and tribal governments also have sovereign rights, there are unique factors involved
in working with these entities. Stafford Act assistance is available to States and to Puerto Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana
Islands, which are included in the definition of “State” in the Stafford Act.6 States have significant resources of their own, including State emergency management and homeland security
agencies, State police, health agencies, transportation agencies, incident management teams, specialized teams, and the National Guard. The role of the State government in response is
to supplement local efforts before, during, and after incidents. If a State anticipates that its resources may be exceeded, the Governor can request assistance from the Federal Government
and/or from other States through mutual aid and assistance agreements such as the Emergency Management Assistance Compact (EMAC).7 The Federal Government. The Federal Government maintains
a wide array of capabilities and resources that can be made available upon request of the Governor. When an incident occurs that exceeds or is anticipated to exceed State, tribal, or
local resources, the Federal Government may provide resources and capabilities to support the State response. For incidents involving primary Federal jurisdiction or authorities (e.g.,
on a military base or a Federal facility or lands), Federal departments or agencies may be the first responders and first line of defense, coordinating activities with State, territorial,
tribal, and local partners. The Federal Government also maintains working relationships with the private sector and NGOs. Pursuant to the Homeland Security Act of 2002 and Homeland Security
Presidential Directive (HSPD) 5, the Secretary of Homeland Security is the principal Federal official for domestic incident management. Incident management refers to how incidents are
managed across all homeland security activities, including prevention, protection, and response and recovery. Other Federal departments and agencies have key responsibilities to support
national response activities and carry out those responsibilities within the overarching coordinating mechanisms of this Framework. DHS coordinates with other agencies to surge Federal
support at the headquarters, regional, and field levels. The Private Sector and NGOs. The private sector and NGOs contribute to response efforts through engaged partnerships with each
level of government. Private-sector organizations and NGOs are encouraged to develop contingency plans and to work with State and local planners to ensure that their plans are consistent
with pertinent plans, the NIMS, and this Framework. 5 The Framework is applicable to U.S. possessions and insular areas, as well as the Federated States of Micronesia and the Republic
of the Marshall Islands. The U.S. Government does not provide disaster assistance to the Republic of Palau, in accordance with the Compact of Free Association. Insular areas include
Guam, the Commonwealth of the Northern Mariana Islands, American Samoa, and the U.S. Virgin Islands. 6 Often throughout this Framework, discussion of authorities and roles of States
is also intended to incorporate those of U.S. territories and possessions and tribal nations. 7 A reference paper on EMAC is available at the NRF Resource Center, http://www.fema.gov/NRF.
INTRODUCTION January 2008 National Response Framework Page 7 Private-sector organizations play an essential role in protecting critical infrastructure systems and implementing plans
for the rapid restoration of normal commercial activities and critical infrastructure operations in the event of disruption.8 The protection of critical infrastructure and the ability
to rapidly restore normal commercial activities can mitigate the impact of an incident, improve the quality of life of individuals, and accelerate the pace of recovery for communities
and the Nation. There are not-for-profit owners/operators of critical infrastructure and key resources (CIKR) facilities, notably in healthcare and power generation. NGOs also serve
a vital role at the local, State, and national levels by performing essential service missions in times of need. They provide sheltering, emergency food supplies, and other vital support
services. NGOs bolster and support government efforts at all levels.9 RESPONSE: THE WHAT AND THE HOW The National Response Framework is always in effect, and elements can be implemented
at any level at any time. The Framework is capabilities based, which is to say that local governments, tribes, States, and the Federal Government all develop functional capabilities
and identify resources that may be required based on hazard identification and risk assessment, threats, and other potential incidents such as those represented by the National Planning
Scenarios. The Framework describes what we do and how we respond. In short, the National Response Framework explains how, at all levels, the Nation effectively manages all-hazards response
consistent with the National Strategy for Homeland Security. The remainder of this Introduction explains the Framework’s scope, the response doctrine that animates it, and the preparedness
strategy of which it is a part. It correlates with an outline of the overall document. SCOPE The Framework provides structures for implementing nationwide response policy and operational
coordination for all types of domestic incidents. It can be partially or fully implemented in the context of a threat, in anticipation of a significant event, or in response to an incident.
Selective implementation allows for a scaled response, delivery of the resources needed, and an appropriate level of coordination. In this document, incidents include actual or potential
emergencies or all-hazards events that range from accidents and natural disasters to actual or potential terrorist attacks. They include events wholly contained within a single jurisdiction
and others that are catastrophic in nature and national in their scope or consequences. 8 Additional information on protection of critical infrastructure and key resources (CIKR) can
be found in the CIKR Support Annex available at the NRF Resource Center, http://www.fema.gov/NRF. 9 The American Red Cross is a federally chartered instrumentality of the U.S. Government,
but it is not a Federal agency under this Framework.
INTRODUCTION Page 8 National Response Framework January 2008 It is not always obvious at the outset whether a seemingly minor event might be the initial phase of a larger, rapidly growing
threat. The Framework incorporates standardized organizational structures that promote on-scene initiative, innovation, and sharing of essential resources drawn from all levels of government,
NGOs, and the private sector. Response must be quickly scalable, flexible, and adaptable. The Framework is also intended to accelerate the assessment and response to incidents that may
require Federal assistance. In practice, many incidents require virtually reflexive activation of interagency coordination protocols to forestall the incident from becoming worse or
to surge more aggressively to contain it. A Federal department or agency acting on independent authority may be the initial and the primary Federal responder, but incidents that require
more systematic Federal response efforts are now actively coordinated through the appropriate Framework mechanisms described in this document and in its supporting annexes. This initial
coordination of Federal incident assessment and response efforts is intended to occur seamlessly, without the need for any formal trigger mechanism. This Framework, therefore, eliminates
the Incident of National Significance declaration. No such declaration is required by the Framework and none will be made. The authorities of the Secretary of Homeland Security to coordinate
large-scale national responses are unaltered by this change. Elimination of this declaration will, however, support a more nimble, scalable, and coordinated response by the entire national
emergency management community. RESPONSE DOCTRINE Response doctrine defines basic roles, responsibilities, and operational concepts for response across all levels of government and with
NGOs and the private sector. The overarching objective of response activities centers upon saving lives and protecting property and the environment. Five key principles of operations
define response actions in support of the Nation’s response mission. Taken together, these five principles of operation constitute national response doctrine. Response doctrine is rooted
in America’s Federal system and the Constitution’s division of responsibilities between Federal and State governments. Because this doctrine reflects the history of emergency management
and the distilled wisdom of responders and leaders at all levels, it gives elemental form to the Framework. This doctrine “evolves in response to changes in the political and strategic
landscape, lessons learned from operations, and the introduction of new technologies. Doctrine influences the way in which policy and plans are developed, forces are organized and Response
Doctrine: Five Key Principles 1. Engaged partnership 2. Tiered response 3. Scalable, flexible, and adaptable operational capabilities 4. Unity of effort through unified command 5. Readiness
to act
INTRODUCTION January 2008 National Response Framework Page 9 trained, and equipment is procured. It promotes unity of purpose, guides professional judgment, and enables responders to
best fulfill their responsibilities.”10 Response doctrine evolves slowly. Response strategy and the Framework merit periodic review and revision, while operational plans supporting the
Framework must be tested and improved through a process of continuous innovation. The last is especially true regarding operational plans to counter the threat of a terrorist attack.
Response doctrine is comprised of five key principles: (1) engaged partnership, (2) tiered response, (3) scalable, flexible, and adaptable operational capabilities, (4) unity of effort
through unified command, and (5) readiness to act. An introductory word about each follows. ENGAGED PARTNERSHIP Leaders at all levels must communicate and actively support engaged partnerships
by developing shared goals and aligning capabilities so that no one is overwhelmed in times of crisis. Layered, mutually supporting capabilities at Federal, State, tribal, and local
levels allow for planning together in times of calm and responding together effectively in times of need. Engaged partnership includes ongoing communication of incident activity among
all partners to the Framework, and shared situational awareness for a more rapid response. In particular, the potential for terrorist incidents requires a heightened state of readiness
and nimble, practiced capabilities baked into the heart of our preparedness and response planning. Engaged partnerships are essential to preparedness. Effective response activities begin
with a host of preparedness activities conducted well in advance of an incident. Preparedness involves a combination of planning, resources, training, exercising, and organizing to build,
sustain, and improve operational capabilities. Preparedness is the process of identifying the personnel, training, and equipment needed for a wide range of potential incidents, and developing
jurisdiction-specific plans for delivering capabilities when needed for an incident. Preparedness activities should be coordinated among all involved agencies within the jurisdiction,
as well as across jurisdictions. Integrated planning, described later in this Framework, will assist in identifying gaps in capability and developing strategies to fill those gaps. Nationwide
preparedness is described in the National Preparedness Guidelines and the National Exercise Program.11 These documents lay out 15 National Planning Scenarios that form the basis of the
newly coordinated national exercise schedule and priorities, and identify 37 core capabilities that are needed to support response across the Nation. The Guidelines identify core local,
tribal, community, and State capabilities that will be supported by the DHS homeland security grant programs. 10 United States Coast Guard: America’s Maritime Guardian, Coast Guard Publication
1 (Washington, DC: January 2002, second printing), p. 3. The term “doctrine” has clear and rich meaning as a guide to action within the military services. See also U.S. Department of
Defense’s Joint Operations Planning and Execution System, an overview of which is available at http://www.dtic.mil/doctrine/jel/other_pubs/jopes.pdf. 11 Information on the National Preparedness
Guidelines can be found at the NRF Resource Center, http://www.fema.gov/NRF.
INTRODUCTION Page 10 National Response Framework January 2008 TIERED RESPONSE Incidents must be managed at the lowest possible jurisdictional level and supported by additional capabilities
when needed. It is not necessary that each level be overwhelmed prior to requesting resources from another level. Incidents begin and end locally, and most are wholly managed at the
local level. Many incidents require unified response from local agencies, NGOs, and the private sector, and some require additional support from neighboring jurisdictions or the State.
A small number require Federal support. National response protocols recognize this and are structured to provide additional, tiered levels of support when there is a need for more resources
or capabilities to support and sustain the response and initial recovery. All levels should be prepared to respond, anticipating resources that may be required. SCALABLE, FLEXIBLE, AND
ADAPTABLE OPERATIONAL CAPABILITIES As incidents change in size, scope, and complexity, the response must adapt to meet requirements. The number, type, and sources of resources must be
able to expand rapidly to meet needs associated with a given incident. The Framework’s disciplined and coordinated process can provide for a rapid surge of resources from all levels
of government, appropriately scaled to need. Execution must be flexible and adapted to fit each individual incident. For the duration of a response, and as needs grow and change, responders
must remain nimble and adaptable. Equally, the overall response should be flexible as it transitions from the response effort to recovery. This Framework is grounded in doctrine that
demands a tested inventory of common organizational structures and capabilities that are scalable, flexible, and adaptable for diverse operations. Adoption of the Framework across all
levels of government and with businesses and NGOs will facilitate interoperability and improve operational coordination. UNITY OF EFFORT THROUGH UNIFIED COMMAND Effective unified command
is indispensable to response activities and requires a clear understanding of the roles and responsibilities of each participating organization. Success requires unity of effort, which
respects the chain of command of each participating organization while harnessing seamless coordination across jurisdictions in support of common objectives. Use of the Incident Command
System (ICS) is an important element across multijurisdictional or multiagency incident management activities. It provides a structure to enable agencies with different legal, jurisdictional,
and functional responsibilities to coordinate, plan, and interact effectively on scene. As a team effort, unified command allows all agencies with jurisdictional authority and/or functional
responsibility for the incident to provide joint support through mutually developed incident objectives and strategies established at the command level. Each participating agency maintains
its own authority, responsibility, and accountability. This Framework employs the NIMS A basic premise of the Framework is that incidents are generally handled at the lowest jurisdictional
level possible.
INTRODUCTION January 2008 National Response Framework Page 11 standardized structures and tools that enable a unified approach to be effective both on scene and at the emergency operations
centers. The Department of Defense (DOD) is a full partner in the Federal response to domestic incidents, and its response is fully coordinated through the mechanisms of this Framework.12
Concepts of “command” and “unity of command” have distinct legal and cultural meanings for military forces and military operations. For Federal military forces, command runs from the
President to the Secretary of Defense to the Commander of the combatant command to the DOD on-scene commander. Military forces will always remain under the operational and administrative
control of the military chain of command, and these forces are subject to redirection or recall at any time. The ICS “unified command” concept is distinct from the military chain of
command use of this term. And, as such, military forces do not operate under the command of the Incident Commander or under the unified command structure. The NIMS13 supports response
through the following elements of unified
command: (1) developing a single set of objectives; (2) using a collective, strategic approach; (3) improving information flow and coordination; (4) creating common understanding of
joint priorities and restrictions; (5) ensuring that no agency’s legal authorities are compromised or neglected; and (6) optimizing the combined efforts of all agencies under a single
plan. READINESS TO ACT Effective response requires readiness to act balanced with an understanding of risk. From individuals, households, and communities to local, tribal, State, and
Federal governments, national response depends on the instinct and ability to act. A forward-leaning posture is imperative for incidents that have the potential to expand rapidly in
size, scope, or complexity, and for no-notice incidents. Once response activities have begun, on-scene actions are based on NIMS principles. To save lives and protect property and the
environment, decisive action on scene is often required of responders. Although some risk may be unavoidable, first responders can effectively anticipate and manage risk through proper
training and planning. Command, single or unified, is responsible for establishing immediate priorities for the safety of not only the public, but the responders and other emergency
workers involved in the response, and for ensuring that adequate health and safety measures are in place. The Incident Commander should ensure that each incident has a designated safety
officer who has been trained and equipped to assess the operation, identify hazardous and unsafe situations, and implement effective safety plans. Acting swiftly and effectively requires
clear, focused communication and the processes to support it. Without effective communication, a bias toward action will be ineffectual at best, likely perilous. An effective national
response relies on disciplined processes, procedures, and systems to communicate timely, accurate, and accessible information on the incident's cause, size, and current situation to
the public, responders, 12 The Secretary of Defense retains command of DOD military forces providing Defense Support of Civil Authorities. National Guard forces under the command and
control of a Governor are not DOD military forces. Nothing in this Framework impairs or otherwise affects the authority of the Secretary of Defense over the DOD. 13 The National Incident
Management System is available at the NRF Resource Center, http://www.fema.gov/NRF.
INTRODUCTION Page 12 National Response Framework January 2008 and others. Well-developed public information, education strategies, and communication plans help to ensure that lifesaving
measures, evacuation routes, threat and alert systems, and other public safety information are coordinated and communicated to numerous diverse audiences in a consistent, accessible,
and timely manner. PART OF A BROADER STRATEGY The National Response Framework is required by, and integrates under, a larger National Strategy for Homeland Security (Strategy) that serves
to guide, organize, and unify our Nation's homeland security efforts. The Strategy reflects our increased understanding of the threats confronting the United States, incorporates lessons
learned from exercises and real-world catastrophes, and articulates how we should ensure our long-term success by strengthening the homeland security foundation we have built. It provides
a common framework by which our entire Nation should focus its homeland security efforts on achieving the following four goals: 1. Prevent and disrupt terrorist attacks. 2. Protect the
American people and our critical infrastructure and key resources. 3. Respond to and recover from incidents that do occur. 4. Continue to strengthen the foundation to ensure our long-term
success. While the first three goals help to organize our national efforts, the last goal entails creating and transforming our homeland security principles, systems, structures, and
institutions. This includes applying a comprehensive approach to risk management, building a culture of preparedness, developing a comprehensive Homeland Security Management System,
improving incident management, better utilizing science and technology, and leveraging all instruments of national power and influence. The Framework primarily focuses on the third goal:
respond to and recover from incidents that do occur. The Strategy also provides the context that given the certainty of catastrophes on our soil – no matter how unprecedented or extraordinary
– it is our collective duty to provide the best response possible. It states that, when needed, we will bring to bear the Nation's full capabilities and resources to save lives, mitigate
suffering, and protect property. The Strategy also reminds us that as the Nation responds to an incident, we must also begin to lay the foundation not only for a strong recovery over
the short term but also for the rebuilding and revitalization of affected communities and regions over the long term. The Strategy calls for a National Response Framework that helps
to strengthen the foundation for an effective national response, rapidly assess emerging incidents, take initial actions, expand operations as needed, and commence recovery actions to
stabilize the area. It also calls for the Framework to be clearly written, easy to understand, and designed to be truly national in scope, meeting the needs of State, local, and tribal
governments and the private sector and NGOs, as well as the Federal Government. In addition, the Strategy underscores the need to ensure that those communities devastated or severely
affected by a catastrophic incident are set on a sustainable path for long-term rebuilding and revitalization. The Framework is designed to respond to and support the Strategy and is
intended to be informed by and tie seamlessly to national, State, tribal, and local preparedness activities and investments.
INTRODUCTION January 2008 National Response Framework Page 13 The Strategy further describes how the other three national goals are supported through other strategies, plans, and ongoing
efforts. For example, the national goal to prevent and disrupt terrorist attacks is further supported by the updated National Strategy for Combating Terrorism, released in September
2006, which articulates our Nation’s strategy for winning the War on Terror. The sections in both on preventing and disrupting terrorist attacks are complementary and mutually reinforcing.
In order to prevent and disrupt terrorist attacks in the United States, we are working to deny terrorists and terrorist-related weapons and materials entry into our country and across
all international borders, disrupt their ability to operate within our borders, and prevent the emergence of violent Islamic radicalization in order to deny terrorists future recruits
and defeat homegrown extremism. Our National Strategy to Combat Terrorist Travel, National Strategy for Maritime Security, and National Strategy for Aviation Security are helping to
guide our efforts in this area. The national goal to protect the American people and our critical infrastructure and key resources is also supported by existing plans. The Strategy sets
forth that to protect the lives and livelihoods of the American people, we must undertake measures to deter the threat of terrorism, mitigate the Nation's vulnerability to acts of terror
and the full range of manmade and natural catastrophes, and minimize the consequences of an attack or disaster should it occur. Safeguarding the American people also includes the preservation
of the Nation’s CIKR. Guiding our efforts to protect the Nation’s CIKR is the 2006 National Infrastructure Protection Plan (NIPP) and its supporting Sector-Specific Plans, which were
developed pursuant to HSPD-7, issued on December 17, 2003. The NIPP sets forth a comprehensive risk management framework and provides a coordinated approach to CIKR protection roles
and responsibilities for Federal, State, local, and private-sector security partners. It sets national priorities, goals, and requirements for the effective distribution of funding and
resources that will help ensure that our government, economy, and public services continue to function in the event of a manmade or natural disaster. The last national goal is to continue
to strengthen the foundation to ensure our long-term success. To fulfill these responsibilities over the long term, we will continue to strengthen the principles, systems, structures,
and institutions that cut across the homeland security enterprise and support our activities to secure the homeland. Ultimately, this will help ensure the success of our Strategy to
secure the Nation.
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January 2008 National Response Framework Page 15 CHAPTER I ROLES AND RESPONSIBILITIES This chapter provides an overview of the roles and responsibilities of key partners at the local,
tribal, State, and Federal levels who implement the Framework. This includes an important role for the private sector and nongovernmental organizations (NGOs). This chapter sharpens
the focus on who is involved with the Framework and what must be done to build and maintain essential response capabilities. LOCAL The responsibility for responding to incidents, both
natural and manmade, begins at the local level – with individuals and public officials in the county, city, or town affected by the incident. Local leaders and emergency managers prepare
their communities to manage incidents locally. The Framework’s response doctrine plays a key role in helping community leaders to coordinate resources within jurisdictions, among adjacent
jurisdictions, and with the private sector and NGOs such as the American Red Cross. This section describes the roles and responsibilities of key leadership elements within communities.
Chief Elected or Appointed Official. A mayor, city manager, or county manager, as a jurisdiction’s chief executive officer, is responsible for ensuring the public safety and welfare
of the people of that jurisdiction. Specifically, this official provides strategic guidance and resources during preparedness, response, and recovery efforts. Emergency management, including
preparation and training for effective response, is a core obligation of local leaders. Chief elected or appointed officials must have a clear understanding of their roles and responsibilities
for successful emergency management and response. At times, these roles may require providing direction and guidance to constituents during an incident, but their day-to-day activities
do not focus on emergency management and response. On an ongoing basis, elected and appointed officials may be called upon to help shape or modify laws, policies, and budgets to aid
preparedness efforts and to improve emergency management and response capabilities. Any incident can have a mix of public health, economic, social, environmental, criminal, and political
implications with potentially serious long-term effects. Significant incidents require a coordinated response across agencies and jurisdictions, political boundaries, sectors of society,
organizations, etc. These incidents will require that publicly elected and appointed officials, as well as business owners and community leaders, make difficult decisions for the benefit
of the community as a whole.
CHAPTER I: ROLES AND RESPONSIBILITIES Page 16 National Response Framework January 2008 Elected and appointed officials help their communities prepare for, respond to, and recover from
potential incidents. Key responsibilities include: • Establishing strong working relationships with local jurisdictional leaders and core private-sector organizations, voluntary agencies,
and community partners. The objective is to get to know, coordinate with, and train with local partners in advance of an incident and to develop mutual aid and/or assistance agreements
for support in response to an incident. • Leading and encouraging local leaders to focus on preparedness by participating in planning, training, and exercises. • Supporting participation
in local mitigation efforts within the jurisdiction and, as appropriate, with the private sector. • Understanding and implementing laws and regulations that support emergency management
and response. • Ensuring that local emergency plans take into account the needs of: – The jurisdiction, including persons, property, and structures. – Individuals with special needs,
including those with service animals. – Individuals with household pets. • Encouraging residents to participate in volunteer organizations and training courses. Local leaders also work
closely with their Members of Congress during incidents and on an ongoing basis regarding local preparedness capabilities and needs. Members of Congress play an important, ongoing role
in supporting their constituents for effective local response and emergency planning. Members often help local leaders understand the Federal resources that are available to prepare
for incidents. Especially during high-consequence events, many citizens traditionally contact Members for assistance or information on Federal response policies and assistance. The Department
of Homeland Security (DHS) recognizes a special obligation to provide Members representing affected areas with timely information about incidents that involve Federal response. Emergency
Manager. The local emergency manager has the day-to-day authority and responsibility for overseeing emergency management programs and activities. He or she works with chief elected and
appointed officials to ensure that there are unified objectives with regard to the jurisdiction’s emergency plans and activities. This role entails coordinating all aspects of a jurisdiction’s
capabilities. The emergency manager coordinates all components of the local emergency management program, to include assessing the availability and readiness of local resources most
likely required during an incident and identifying and correcting any shortfalls.
CHAPTER I: ROLES AND RESPONSIBILITIES January 2008 National Response Framework Page 17 Other duties of the local emergency manager might include the following: • Coordinating the planning
process and working cooperatively with other local agencies and private-sector organizations. • Developing mutual aid and assistance agreements. • Coordinating damage assessments during
an incident. • Advising and informing local officials about emergency management activities during an incident. • Developing and executing public awareness and education programs. •
Conducting exercises to test plans and systems and obtain lessons learned. • Involving the private sector and NGOs in planning, training, and exercises. Department and Agency Heads.
The local emergency manager is assisted by, and coordinates the efforts of, employees in departments and agencies that perform emergency management functions. Department and agency heads
collaborate with the emergency manager during development of local emergency plans and provide key response resources. Participation in the planning process ensures that specific capabilities
(e.g., firefighting, law enforcement, emergency medical services, public works, environmental and natural resources agencies) are integrated into a workable plan to safeguard the community.
These department and agency heads and their staffs develop, plan, and train to internal policies and procedures to meet response and recovery needs safely. They should also participate
in interagency training and exercises to develop and maintain the necessary capabilities. Individuals and Households. Although not formally a part of emergency management operations,
individuals and households play an important role in the overall emergency management strategy. Community members can contribute by: • Reducing hazards in and around their homes. By
taking simple actions, such as raising utilities above flood level or taking in unanchored objects during high winds, people can reduce the amount of damage caused by an incident. •
Preparing an emergency supply kit and household emergency plan. By developing a household emergency plan and assembling disaster supplies in advance of an event, people can take care
of themselves until assistance arrives. This includes supplies for household pets and service animals. See the recommended disaster supplies list at http://www.ready.gov. • Monitoring
emergency communications carefully. Throughout an emergency, critical information and direction will be released to the public via various media. By carefully following the directions
provided, residents can reduce their risk of injury, keep emergency routes open to response personnel, and reduce demands on landline and cellular communication.
CHAPTER I: ROLES AND RESPONSIBILITIES Page 18 National Response Framework January 2008 • Volunteering with an established organization. Organizations and agencies with a role in response
and recovery are always seeking hardworking, dedicated volunteers. By volunteering with an established voluntary agency, individuals and households become part of the emergency management
system and ensure that their efforts are directed where they are needed most. • Enrolling in emergency response training courses. Emergency response training, whether basic first aid
through the American Red Cross or a more complex course through a local college, will enable residents to take initial response actions required to take care of themselves and their
households, thus allowing first responders to focus on higher priority tasks that affect the entire community. Citizen Corps brings together local leaders from government and civic leaders
from NGOs and the private sector to prepare for and respond to incidents. Citizen Corps Councils are typically sponsored by elected or appointed officials and/or emergency managers.
These Councils provide leadership and support for programs that educate, train, and engage community volunteers to support emergency management and responders. THE PRIVATE SECTOR AND
NGOS Government agencies are responsible for protecting the lives and property of their citizens and promoting their well-being. However, the government does not, and cannot, work alone.
In many facets of an incident, the government works with private-sector groups as partners in emergency management. Private Sector. Private sector organizations play a key role before,
during, and after an incident. First, they must provide for the welfare and protection of their employees in the workplace. In addition, emergency managers must work seamlessly with
businesses that provide water, power, communication networks, transportation, medical care, security, and numerous other services upon which both response and recovery are particularly
dependent. Participation of the private sector varies based on the nature of the organization and the nature of the incident. The five distinct roles that private-sector organizations
play are summarized in Table 1. Table 1. Private-Sector Response Role Category Role in This Category Impacted Organization or Infrastructure Private-sector organizations may be impacted
by direct or indirect consequences of the incident. These include privately owned critical infrastructure, key resources, and other private-sector entities that are significant to local,
regional, and national economic recovery from the incident. Examples of privately owned infrastructure include transportation, telecommunications, private utilities, financial institutions,
and hospitals. Critical infrastructure and key resources (CIKR) are grouped into 17 sectors that together provide essential functions and services supporting various aspects of the American
government, economy, and society.
CHAPTER I: ROLES AND RESPONSIBILITIES January 2008 National Response Framework Page 19 Category Role in This Category Regulated and/or Responsible Party Owners/operators of certain regulated
facilities or hazardous operations may be legally responsible for preparing for and preventing incidents from occurring and responding to an incident once it occurs. For example, Federal
regulations require owners/operators of nuclear power plants to maintain emergency plans and facilities and to perform assessments, prompt notifications, and training for a response
to an incident. Response Resource Private-sector entities provide response resources (donated or compensated) during an incident – including specialized teams, essential service providers,
equipment, and advanced technologies – through local public-private emergency plans or mutual aid and assistance agreements, or in response to requests from government and nongovernmental-volunteer
initiatives. Partner With State/Local Emergency Organizations Private-sector entities may serve as partners in local and State emergency preparedness and response organizations and activities.
Components of the Nation’s Economy As the key element of the national economy, private-sector resilience and continuity of operations planning, as well as recovery and restoration from
an actual incident, represent essential homeland security activities. Many private-sector organizations are responsible for operating and maintaining portions of the Nation’s critical
infrastructure. Critical infrastructures include those assets, systems, networks, and functions – physical or virtual – so vital to the United States that their incapacitation or destruction
would have a debilitating impact on security, national economic security, public health or safety, or any combination of those matters. Key resources are publicly or privately controlled
resources essential to minimal operation of the economy and the government.14 DHS has developed a comprehensive National Infrastructure Protection Plan (NIPP) NIPP) that is synchronized
with this Framework.15 The CIKR Support Annex discusses necessary support by and for CIKR during an incident and mechanisms in place to implement that support. During an incident, key
private-sector partners should be involved in the local crisis decisionmaking process or at least have a direct link to key local emergency managers. Communities cannot effectively respond
to, or recover from, incidents without strong cooperative relations with the private sector. Essential private-sector responsibilities include: • Planning for the protection of employees,
infrastructure, and facilities. • Planning for the protection of information and the continuity of business operations. • Planning for responding to and recovering from incidents that
impact their own infrastructure and facilities. 14 National Infrastructure Protection Plan, 2006, Glossary of Key Terms, is the source for the definitions of critical infrastructure
and key resources. These definitions are derived from the provisions provisions of the Homeland Security Act of 2002 and Homeland Security Presidential Directive (HSPD) 7. 15 The goal
of the NIPP is to build a safer, more secure, and more resilient America by enhancing protection of the Nation’s critical infrastructure and key resources (CIKR). See http://www.dhs.gov/nipp
for additional information. The CIKR Support Annex and Private-Sector Coordination Support Annex provide detailed guidance regarding implementation of the NIPP, including roles and responsibilities,
concept of operations, and incident-related actions.
CHAPTER I: ROLES AND RESPONSIBILITIES Page 20 National Response Framework January 2008 • Collaborating with emergency management personnel before an incident occurs to ascertain what
assistance may be necessary and how they can help. • Developing and exercising emergency plans before an incident occurs. • Where appropriate, establishing mutual aid and assistance
agreements to provide specific response capabilities. • Providing assistance (including volunteers) to support local emergency management and public awareness during response and throughout
the recovery process. Nongovernmental Organizations. NGOs play enormously important roles before, during, and after an incident. For example, NGOs provide sheltering, emergency food
supplies, counseling services, and other vital support services to support response and promote the recovery of disaster victims. These groups often provide specialized services that
help individuals with special needs, including those with disabilities. A key feature of NGOs is their their inherent independence and commitment to specific sets of interests and values.
These interests and values drive the groups’ operational priorities and shape the resources they provide. Such NGOs bolster and support government efforts at all levels – for response
operations and planning. However, NGOs may also need government assistance, and when planning the allocation of local community emergency management resources and structures, some government
organizations provide direct assistance to NGOs. NGOs collaborate with responders, governments at all levels, and other agencies and organizations. Examples of NGO and voluntary organization
contributions include: • Training and managing volunteer resources. • Identifying shelter locations and needed supplies. • Providing critical emergency services to those in need, such
as cleaning supplies, clothing, food and shelter, or assistance with post-emergency cleanup. • Identifying those whose needs have not been met and helping coordinate the provision of
assistance. Some NGOs are officially designated as support elements to national response capabilities. • The American Red Cross. The American Red Cross is a supporting agency to the
mass care functions of Emergency Support Function (ESF) #6. While it does not direct other NGOs, the American Red Cross takes the lead in integrating the efforts of the national NGOs
that provide mass care services during response operations. • National Voluntary Organizations Active in Disaster (National VOAD). National VOAD16 16 Additional information is available
at http://www.nvoad.org. is the forum where organizations share knowledge and resources throughout the disaster cycle – preparation, response, and recovery – to help disaster survivors
and their communities. National VOAD is a consortium of
CHAPTER I: ROLES AND RESPONSIBILITIES January 2008 National Response Framework Page 21 approximately 50 national organizations and 55 State and territory equivalents. During major incidents,
National VOAD typically sends representatives to the DHS/Federal Emergency Management Agency (FEMA)’s National Response Coordination Center to represent the voluntary organizations and
assist in response coordination. Volunteers and Donations. Responding to incidents frequently exceeds the resources of government organizations. Volunteers and donors can support response
efforts in many ways, and it is essential that governments at all levels plan ahead to effectively incorporate volunteers and donated goods into their response activities. The Volunteer
and Donations Management Support Annex provides detailed guidance from a national standpoint. State, tribal, and local planners should include similar volunteer and donations management
provisions in their emergency plans. For major incidents in which foreign governments, governments, individuals, or organizations wish to make donations, the U.S. Department of State
is responsible for managing such donations. Detailed guidance regarding the process for managing international donations is provided in the International Coordination Support Annex.17
STATES, TERRITORIES, AND TRIBAL GOVERNMENTS A primary role of State government is to supplement and facilitate local efforts before, during, and after incidents. The State provides direct
and routine assistance to its local jurisdictions through emergency management program development and by routinely coordinating in these efforts with Federal officials. States must
be prepared to maintain or accelerate the provision of commodities and services to local governments when local capabilities fall short of demands. Under the Framework, the term “State”
and discussion of the roles and responsibilities of States typically also include similar responsibilities that apply to U.S. territories and possessions and tribal governments. Under
the Stafford Act, States are also responsible for requesting Federal emergency assistance for communities and tribal governments within their jurisdiction. In response to an incident,
the State helps coordinate and integrate resources and applies them to local needs. Governor. Public safety and welfare of a State’s citizens are fundamental
responsibilities of every Governor. For the purposes of the Framework, any reference to a State Governor also references the chief executive of a U.S. territory. The Governor: • Is responsible
for coordinating State resources and providing the strategic guidance needed to prevent, mitigate, prepare for, respond to, and recover from incidents of all types. • In accordance with
State law, may be able to make, amend, or suspend certain orders or regulations associated with response. 17 The Framework’s Support Annexes are available at the NRF Resource Center,
http://www.fema.gov/NRF.
CHAPTER I: ROLES AND RESPONSIBILITIES Page 22 National Response Framework January 2008 • Communicates to the public and helps people, businesses, and organizations cope with the consequences
of any type of incident. • Commands the State military forces (National Guard personnel not in Federal service and State militias). • Coordinates assistance from other States through
interstate mutual aid and assistance compacts, such as the Emergency Management Assistance Compact. • Requests Federal assistance including, if appropriate, a Stafford Act Presidential
declaration of an emergency or major disaster, when it becomes clear that State capabilities will be insufficient or have been exceeded. • Coordinates with impacted tribal governments
within the State and initiates requests for a Stafford Act Presidential declaration of an emergency or major disaster on behalf of an impacted tribe when appropriate. As noted in A Governor’s
Guide to Homeland Security,18 before being sworn in, each new Governor should: • Avoid vacancies in key homeland security positions such as the State homeland security director or the
State emergency manager. A newly elected Governor should work with his or her transition team to identify these key personnel early to minimize vacancies and encourage overlap with the
outgoing administration. As soon as a new Governor selects people for these positions, the department or agency they are about to lead should be informed. • Ensure that a staff able
to manage a disaster response operation is in place on their inauguration day. • Task their incoming gubernatorial staff, particularly the legal counsel, with reviewing the procedures
necessary for them to declare a State emergency and use their emergency powers. State Homeland Security Advisor. The State Homeland Security Advisor serves as counsel to the Governor
on homeland security issues and may serve as a liaison between the Governor’s office, the State homeland security structure, DHS, and other organizations both inside and outside of the
State. The advisor often chairs a committee comprised of representatives of relevant State agencies, including public safety, the National Guard, emergency management, public health,
and others charged with developing prevention, protection, response, and recovery strategies. This also includes preparedness activities associated with these strategies. Director, State
Emergency Management Agency. All States have laws mandating establishment of a State emergency management agency and the emergency plans coordinated by that agency. The Director of the
State emergency management agency ensures that the State is prepared to deal with large-scale emergencies and is responsible for coordinating the State response in any incident. 18 National
Governors Association, A Governor’s Guide to Homeland Security, 2007, p. 11. Available at http://www.nga.org.
CHAPTER I: ROLES AND RESPONSIBILITIES January 2008 National Response Framework Page 23 This includes supporting local governments as needed or requested and coordinating assistance with
other States and/or the Federal Government. If local resources are not adequate, authorities can seek additional assistance from the county emergency manager or the State Director of
Emergency Management. The State emergency management agency may dispatch personnel to the scene to assist in the response and recovery effort. If a jurisdiction requires resources beyond
those available within the State, local agencies may request certain types of Federal assistance directly in non-Stafford Act situations. For example, the Environmental Protection Agency
or U.S. Coast Guard may assess or mitigate oil or chemical spills without waiting for requests from State, tribal, or local officials. However, only the Governor can request a Presidential
declaration under the Stafford Act. Other State Departments and Agencies. State department department and agency heads and their staffs develop, plan, and train to internal policies
and procedures to meet response and recovery needs safely. They should also participate in interagency training and exercises to develop and maintain the necessary capabilities. They
are vital to the State’s overall emergency management and homeland security programs, as they bring expertise spanning the ESFs and serve as core members of the State emergency operations
center. Indian Tribes. The United States has a trust relationship with Indian tribes and recognizes their right to self-government. As such, tribal governments are responsible for coordinating
resources to address actual or potential incidents. When local resources are not adequate, tribal leaders seek assistance from States or the Federal Government. For certain types of
Federal assistance, tribal governments work with the State, but as sovereign entities they can elect to deal directly with the Federal Government for other types of assistance. In order
order to obtain Federal assistance via the Stafford Act, a State Governor must request a Presidential declaration on behalf of a tribe. Tribal Leader. The tribal leader is responsible
for the public safety and welfare of the people of that tribe. As authorized by tribal government, the tribal leader: • Is responsible for coordinating tribal resources needed to prevent,
protect against, respond to, and recover from incidents of all types. This also includes preparedness and mitigation activities. • May have powers to amend or suspend certain tribal
laws or ordinances associated with response. • Communicates with the tribal community, and helps people, businesses, and organizations cope with the consequences of any type of incident.
• Negotiates mutual aid and assistance agreements with other tribes or jurisdictions. • Can request Federal assistance under the Stafford Act through the Governor of the State when it
becomes clear that the tribe’s capabilities will be insufficient or have been exceeded. • Can elect to deal directly with the Federal Government. Although a State Governor must request
a Presidential declaration on behalf of a tribe under the Stafford Act, Federal departments or agencies can work directly with the tribe within existing authorities and resources.
CHAPTER I: ROLES AND RESPONSIBILITIES Page 24 National Response Framework January 2008 FEDERAL When an incident occurs that exceeds or is anticipated to exceed local or State resources
– or when an incident is managed by Federal departments or agencies acting under their own authorities – the Federal Government uses the Framework to involve all necessary department
and agency capabilities, organize the Federal response, and ensure coordination with response partners. The Federal Government’s response structures are scalable and flexible – adaptable
specifically to the nature and scope of a given incident. The Federal Government has strengthened its capabilities to act in emergencies, and to do so more quickly and comprehensively,
based on lessons learned. The principles of unified command are applied at the headquarters, regional, and field levels to enable diverse departments and agencies to work together effectively.
Using unified command principles, participants share common goals and synchronize their activities to achieve those goals. The Federal Government also works to establish engaged partnerships
with States, as well as the private sector. Our national response is more effective when all levels and branches of government work together well before an incident to develop effective
plans and achieve a heightened state of preparedness. Coordination of Federal Responsibilities. The President leads the Federal Government response effort to ensure that the necessary
coordinating structures, leadership, and resources are applied quickly and efficiently to large-scale and catastrophic incidents. The President’s Homeland Security Council and National
Security Council, which bring together Cabinet officers and other department or agency heads as necessary, provide national strategic and policy advice to the President during large-scale
incidents that affect the Nation. Federal disaster assistance is often thought of as synonymous with Presidential declarations and the Stafford Act. The fact is that Federal assistance
can be provided to State, tribal, and local jurisdictions, and to other Federal departments and agencies, in a number of different ways through various mechanisms and authorities. Often,
Federal assistance does not require coordination by DHS and can be provided without a Presidential major disaster or emergency declaration. Examples of these types of Federal assistance
include that described in the National Oil and Hazardous Substances Pollution Contingency Plan, the Mass Migration Emergency Plan, the National Search and Rescue Plan, and the National
Maritime Security Plan. These and other supplemental agency or interagency plans, compacts, and agreements may be implemented concurrently with the Framework, but are subordinated to
its overarching coordinating structures, processes, and protocols. When the overall coordination of Federal response activities is required, it is implemented through the Secretary of
Homeland Security consistent with Homeland Security Presidential Directive (HSPD) 5. Other Federal departments and agencies carry out their response authorities and responsibilities
within this overarching construct. Nothing in this Framework alters or impedes the ability of Federal, State, tribal, or local departments and agencies to carry out their specific authorities
or perform their responsibilities under all applicable laws, Executive orders, and directives. Additionally, nothing in this Framework is intended to impact or impede the ability of
any Federal department or agency to take an issue of concern directly to the President or any member of the President’s staff.
CHAPTER I: ROLES AND RESPONSIBILITIES January 2008 National Response Framework Page 25 Presidential directives19 outline the following six primary lanes of responsibility that guide
Federal support at national, regional, and field levels. Incident Management. The Secretary of Homeland Security is the principal Federal official for domestic incident management. By
Presidential directive and statute, the Secretary is responsible for coordination of Federal resources utilized in the prevention of, preparation for, response to, or recovery from terrorist
attacks, major disasters, or other emergencies. The role of the Secretary of Homeland Security is to provide the President with an overall architecture for domestic incident management
and to coordinate the Federal response, when required, while relying upon the support of other Federal partners. Depending upon the incident, the Secretary also contributes elements
of the response consistent with DHS’s mission, capabilities, and authorities. The FEMA Administrator, as the principal advisor to the President, the Secretary, and the Homeland Security
Council on all matters regarding emergency management,20 helps the Secretary in meeting these HSPD-5 responsibilities. Federal assistance for incidents that do not require DHS coordination
may be led by other Federal departments and agencies consistent with their authorities. The Secretary of Homeland Security may monitor such incidents and may activate specific Framework
mechanisms to provide support to departments and agencies without assuming overall leadership for the Federal response to the incident. The following four HSPD-5 criteria define situations
for which DHS shall assume overall Federal incident management coordination responsibilities within the Framework and implement the Framework’s coordinating mechanisms: (1) a Federal
department or agency acting under its own authority has requested DHS assistance, (2) the resources of State and local authorities are overwhelmed and Federal assistance has been requested,
(3) more than one Federal department or agency has become substantially involved in responding to the incident, or (4) the Secretary has been directed by the President to assume incident
management responsibilities. Law Enforcement. The Attorney General is the chief law enforcement officer of the United States. Generally acting through the Federal Bureau of Investigation,
the Attorney General has the lead responsibility for criminal investigations of terrorist acts or terrorist threats by individuals or groups inside the United States or directed at U.S.
citizens or institutions abroad, as well as for coordinating activities of the other members of the law enforcement community to detect, prevent, and disrupt terrorist attacks against
the United States. This includes actions that are based on specific intelligence or law enforcement information. In addition, the Attorney General approves requests submitted by State
Governors pursuant to the Emergency Federal Law Enforcement Assistance Act for personnel and and other Federal law enforcement support during incidents. The Attorney General also enforces
Federal civil rights laws and will provide expertise to ensure that these laws are appropriately addressed. 19 The core Presidential directive in this regard is HSPD-5, “Management of
Domestic Incidents,” which is available at the NRF Resource Center, http://www.fema.gov/NRF. 20 See the Post-Katrina Emergency Reform Act, enacted as part of the FY 2007 DHS Appropriations
Act, P.L. 109-295.
CHAPTER I: ROLES AND RESPONSIBILITIES Page 26 National Response Framework January 2008 National Defense and Defense Support of Civil Authorities. The primary mission of the Department
of Defense (DOD) and its components is national defense. Because of this critical role, resources are committed after approval by the Secretary of Defense or at the direction of the
President. Many DOD components and agencies are authorized to respond to save lives, protect property and the environment, and mitigate human suffering under imminently serious conditions,
as well as to provide support under their separate established authorities, as appropriate. The provision of defense support is evaluated by its legality, lethality, risk, cost, appropriateness,
and impact on readiness. When Federal military and civilian personnel and resources are authorized to support civil authorities, command of those forces will remain with the Secretary
of Defense. DOD elements in the incident area of operations and National Guard forces under the command of a Governor will coordinate closely with response organizations at all levels.21International
Coordination. The Secretary of State is responsible for managing international preparedness, response, and recovery activities relating to domestic incidents and the protection of U.S.
citizens and U.S. interests overseas. Intelligence. The Director of National Intelligence leads the Intelligence Community, serves as the President's principal intelligence advisor,
and oversees and directs the implementation of the National Intelligence Program. Other Federal Departments and Agencies. Under the Framework, various Federal departments or agencies
may play primary, coordinating, and/or support roles based on their authorities and resources and the nature of the threat or incident.22 In situations where a Federal department or
agency has responsibility for directing or managing a major aspect of a response being coordinated by DHS, that organization is part of the national leadership for the incident and is
represented in the field at the Joint Field Office in the Unified Coordination Group, and at headquarters through the National Operations Center and the National Response Coordination
Center, which is part of the National Operations Center.23 In addition, several Federal departments and agencies have their own authorities to declare disasters or emergencies. For example,
the Secretary of Health and Human Services can declare a public health emergency. These declarations may be made independently or as part of a coordinated Federal response. Where those
declarations are part of an incident requiring a coordinated Federal response, those Federal departments or agencies act within the overall coordination structure of the Framework. 21
Additional information on DOD support is available at the NRF Resource Center, http://www.fema.gov/NRF. 22 Additional information about the roles of Federal departments and agencies
can be found in the annexes available at the NRF Resource Center, http://www.fema.gov/NRF. 23 23 Additional information on these entities can be found in Chapter III, Response Organization.
January 2008 National Response Framework Page 27 Figure 2. The Preparedness Cycle CHAPTER II RESPONSE ACTIONS This chapter describes what we as a Nation collectively do to respond to
incidents. INTRODUCTION The Framework is intended to strengthen, organize, and coordinate response actions across all levels. The doctrine of tiered response emphasizes that response
to incidents should be handled at the lowest jurisdictional level capable of handling the work. The vast majority of incidents are, in fact, managed locally. The Framework is focused
on incidents of all types, including acts of terrorism, major disasters, and other emergencies. For the purpose of this document, the term “incident” refers to an actual or potential
occurrence or event. Responders and emergency managers are both doers and planners, which is to say that to lead response and recovery efforts effectively, they must also prepare effectively
(i.e., plan, organize, equip, train, exercise, and continuously evaluate actual performance). This chapter describes and outlines key tasks related to the three phases of effective response:
prepare, respond, and recover. Each member of our society – including our leaders, professional emergency managers, private-sector representatives, and nongovernmental organizations
(NGOs) – has a role to play in strengthening the Nation’s response capabilities. The discussion below provides an overview of the key tasks associated with preparedness, response, and
recovery. In each case, the general discussion is augmented by examples of how the key tasks are tailored to align with the needs of responders and emergency managers at all levels.
Mastery of these key tasks supports unity of effort, and thus improves our ability to save lives, protect property and the environment, and meet basic human needs. PREPARE Preparedness
is essential for effective response. This section discusses the six essential activities for responding to an incident: plan, organize, train, equip, exercise, and evaluate and improve.
Figure 2 illustrates the preparedness cycle.
CHAPTER II: RESPONSE ACTIONS Page 28 National Response Framework January 2008 1. PLAN Planning makes it possible to manage the entire life cycle of a potential crisis, determine capability
requirements, and help stakeholders learn their roles. It includes the collection and analysis of intelligence and information, as well as the development of policies, plans, procedures,
mutual aid and assistance agreements, strategies, and other arrangements to perform missions and tasks. Planning also improves effectiveness by clearly defining required capabilities,
shortening the time required to gain control of an incident, and facilitating the rapid exchange of information about a situation. 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. Among the many contingencies that response plans must address,
planning for evacuations presents particular challenges. In this area, plans must include: • The lead time required for various scenarios, including no-notice and forewarned events.
• Weather contingencies. • Transportation. • Interdependencies between shelter locations and transportation. • Provisions for special needs populations and those with household pets.
Specific procedures and protocols should augment these plans to guide rapid implementation. Virtually every Federal department and agency possesses personnel and resources that may be
needed in response to an incident. Some Federal departments and agencies have primary responsibility for certain aspects of response, such as hazardous materials removal. Others may
have supporting roles in providing different types of resources, such as communications personnel and equipment. Regardless of their roles, all Federal departments and agencies must
develop policies, plans, and procedures governing how they will effectively locate resources and provide them as part of a coordinated response. The Integrated Planning System is the
national planning system used to develop interagency and intergovernmental plans based upon the National Planning Scenarios. Local, tribal, State, regional, and Federal plans are mutually
supportive. See Chapter IV for significant additional detail regarding planning.
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 29 2. ORGANIZE Organizing to execute response activities includes developing an overall organizational structure,
strengthening leadership at each level, and assembling well-qualified teams of paid and volunteer staff for essential response and recovery tasks. The National Incident Management System
(NIMS) provides standard command and management structures that apply to response. This common system enables responders from different jurisdictions and disciplines to work together
to respond to incidents. Governments at all levels should organize to support effective response. The leader of each government organization should vest the official responsible for
response activities with sufficient authority to meet the organization’s responsibilities under the Framework. Government agencies at all levels are encouraged to conduct a thorough,
systematic inventory of their response resources and to conform to NIMS organizational and management principles as noted above. Government agencies should also ensure they have a cadre
of personnel (which can include full-time employees, temporary or surge personnel, and contractors) who are trained in incident management and response principles and organized into
teams. Personnel and equipment can be organized to provide a particular function or mission capability. Governments at all levels should use the NIMS resource management principles described
below to enhance response capabilities. • Individual Resources. Resources are organized by category, kind, size, capacity, skill, and other characteristics. This organization makes resource
management more efficient and ensures that similar resources from different agencies are organized according to standard principles. • Emergency Support Functions. The Federal Government
and many State governments organize much of their resources and capabilities – as well as those of certain private-sector and nongovernmental organizations – under 15 Emergency Support
Functions (ESFs). ESFs align categories of resources and provide strategic objectives for their use. ESFs utilize standardized resource management concepts such as typing, inventorying,
and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident. ESF coordinators and primary agencies are identified on the basis
of authorities and resources. Support agencies are assigned based on the availability of resources in a given functional area. ESFs provide the greatest possible access to Federal department
and agency resources regardless of which organization has those resources. See Chapter III for significant additional detail regarding ESFs.24 • Pre-Scripted Mission Assignments. The
Federal Government and many State governments use pre-scripted mission assignments to assist in planning and to reduce the time it takes to deploy response resources. Pre-scripted mission
assignments identify resources or capabilities of government organizations that are commonly called upon during response to an incident. Pre-scripted mission assignments allow primary
and supporting ESF agencies to organize resources that can be tailored to develop, train, and exercise rosters of deployable response 24 ESF Annexes are available at the NRF Resource
Center, http://www.fema.gov/NRF.
CHAPTER II: RESPONSE ACTIONS Page 30 National Response Framework January 2008 personnel. All local, tribal, and State governments are encouraged to use pre-scripted mission assignments
to expedite the delivery of services and commodities in response to an incident. • Advanced Readiness Contracting. While the Federal Government and many State governments have tremendous
resources on hand to support local governments, certain resources are more efficiently deployed when procured from the private sector. Advanced readiness contracting ensures that contracts
are in place before an incident for commonly needed commodities and services such as ice, water, plastic sheeting, temporary power, and debris removal. This type of contracting improves
the ability to secure supplies and services by streamlining the process of ordering, acquiring, and distributing resources when needed. • Pre-Positioned Resources. Since virtually all
incidents are local in nature, resources should be positioned close to those localities most at risk for particular types of events. For example, the Federal Government pre-positions
resource stockpiles to leverage the geographic distribution of Federal regional, district, and field offices across the country. Additionally, federally administered response networks
such as the National Urban Search and Rescue Response System and the National Disaster Medical System utilize locally sponsored resources to enhance Federal response efforts, reduce
response times, and strengthen preparedness in their communities. 3. EQUIP Local, tribal, State, and Federal jurisdictions need to establish a common understanding of the capabilities
of distinct types of response equipment. This facilitates planning before an incident, as well as rapid scaling and flexibility in meeting the needs of an incident. A critical component
of preparedness is the acquisition of equipment that will perform to established standards, including the capability to be interoperable with equipment used by other jurisdictions and/or
participating organizations. Effective preparedness requires jurisdictions to identify and have strategies to obtain and deploy major equipment, supplies, facilities, and systems in
sufficient quantities to perform assigned missions and tasks. The mobilization, tracking, use, sustaining, and demobilization of physical and human resources require an effective logistics
system. That system must support both the residents in need and the teams that are responding to the incident. Resource typing provides a uniform method of sharing commonly understood
resources when needed in a major incident. Governments at all levels should ensure that their personnel have the necessary resources to perform assigned response missions and tasks.
This includes obtaining equipment needed to conduct specific response missions and maintaining core capabilities to communicate effectively among Federal, State, tribal, and local responders
using the incident management and response structures described in the Framework. Government organizations responsible for providing equipment for response activities should bundle that
equipment into standardized equipment caches and be prepared to provide for its safe transportation. They must also routinely service and maintain such equipment and support the resources
needed to maintain, repair, and operate it in the field.
CHAPTER II: RESPONSE ACTIONS
January 2008 National Response Framework Page 31 4. TRAIN Building essential response capabilities nationwide requires a systematic program to train individual teams and organizations
– to include governmental, nongovernmental, private-sector, and voluntary organizations – to meet a common baseline of performance and certification standards. Professionalism and experience
are the foundation upon which successful response is built. Rigorous, ongoing training is thus imperative.25 Individuals and teams, whether paid or volunteer, should meet relevant local,
tribal, State, Federal, or professional qualifications, certifications, or performance standards. Content and methods of training must comply with applicable standards and produce required
skills and measurable proficiency. FEMA and other organizations offer response and incident management training in online and classroom formats. 5. EXERCISE Exercises provide opportunities
to test plans and improve proficiency in a risk-free environment. Exercises assess and validate proficiency levels. They also clarify and familiarize personnel with roles and responsibilities.
Well-designed exercises improve interagency coordination and communications, highlight capability gaps, and identify opportunities for improvement. Exercises should: • Include multidisciplinary,
multijurisdictional incidents. • Include participation of private-sector and nongovernmental organizations. • Cover aspects of preparedness plans, particularly the processes and procedures
for activating local, intrastate, or interstate mutual aid and assistance agreements. • Contain a mechanism for incorporating corrective actions. Local, tribal, State, and Federal jurisdictions
should exercise their own response capabilities and evaluate their abilities to perform expected responsibilities and tasks. This is a basic responsibility of all entities and is distinct
from participation in other interagency exercise programs. In addition, the Department of Homeland Security (DHS) coordinates the National Exercise Program,26 which requires Federal
departments and agencies to participate in an exercise program based upon the National Planning Scenarios contained in the National Preparedness Guidelines. This program coordinates
and, where appropriate, integrates a 5-year homeland security exercise schedule across Federal agencies and incorporates exercises at the State and local levels. 25 Links to training
resources are available at the NRF Resource Center, http://www.fema.gov/NRF. 26 The Homeland Security Exercise and Evaluation Program (HSEEP) provides a standardized policy, methodology,
and language for designing, developing, conducting, and evaluating all exercises. Information on HSEEP and the National Exercise Program is available at the NRF Resource Center, http://www.fema.gov/N
RF.
CHAPTER II: RESPONSE ACTIONS Page 32 National Response Framework January 2008 6. EVALUATE AND IMPROVE Evaluation and continual process improvement are cornerstones of effective preparedness.
Upon concluding an exercise, jurisdictions should evaluate performance against relevant capability objectives, identify deficits, and institute corrective action plans. Improvement planning
should develop specific recommendations for changes in practice, timelines for implementation, and assignments for completion. All local, tribal, State, and Federal entities should institute
a corrective action program to evaluate exercise participation and response, capture lessons learned, and make improvements in their response capabilities. An active corrective action
program will provide a method and define roles and responsibilities for identification, prioritization, assignment, monitoring, and reporting of corrective actions arising from exercises
and real-world events. The Homeland Security Exercise and Evaluation Program (HSEEP) Toolkit is a Web-based system that enables implementation of the corrective action program process.
In this way, the continuous cycle of preparedness yields enhancements to national preparedness. RESPOND Once an incident occurs, priorities shift – from building capabilities to employing
resources to save lives, protect property and the environment, and preserve the social, economic, and political structure of the jurisdiction. Depending on the size, scope, and magnitude
of an incident, communities, States, and, in some cases, the Federal Government will be called to action. Four key actions typically occur in support of a response: (1) gain and maintain
situational awareness; (2) activate and deploy key resources and capabilities; (3) effectively coordinate response actions; then, as the situation permits, (4) demobilize. These response
actions are illustrated in Figure 3, and their core elements are described below. 1. GAIN AND MAINTAIN SITUATIONAL AWARENESS Baseline Priorities. Situational awareness requires continuous
monitoring of relevant sources of information regarding actual and developing incidents. The scope and type of monitoring vary based on the type of incidents being evaluated and needed
reporting thresholds. Critical information is passed through established reporting channels according to established security protocols. Priorities include: • Providing the right information
at the right time. For an effective national response, jurisdictions must continuously refine their ability to assess the situation as an incident unfolds and rapidly provide accurate
and accessible information to decisionmakers in a user-friendly manner. It is essential that all levels of government, the private sector (in particular, owners/operators of critical
Figure 3. The Response Process
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 33 infrastructure and key resources (CIKR)), and NGOs share information to develop a common operating picture
and synchronize their response operations and resources. • Improving and integrating national reporting. Situational awareness must start at the incident scene and be effectively communicated
to local, tribal, State, and Federal governments and the private sector, to include CIKR. Jurisdictions must integrate existing reporting systems to develop an information and knowledge
management system that fulfills national information requirements. • Linking operations centers and tapping subject-matter experts. Local governments, tribes, States, and the Federal
Government have a wide range of operations centers that monitor events and provide situational awareness. Based on their roles and responsibilities, operations centers should identify
information requirements, establish reporting thresholds, and be familiar with the expectations of decisionmakers and partners. Situational awareness is greatly improved when experienced
technical specialists identify critical elements of information and use them to form a common operating picture. Reporting and documentation procedures should be standardized to enhance
situational awareness and provide emergency management and response personnel with ready access to critical information. Situation reports should contain verified information and explicit
details (who, what, where, when, and how) related to the incident. Status reports, which may be contained in situation reports, relay specific information about resources. Based on an
analysis of the threats, jurisdictions issue accessible warnings to the public and provide emergency public information. Local, Tribal, and State Actions. Local, tribal, and State governments
can address the inherent challenges in establishing successful information-sharing networks by: • Creating fusion centers that bring together into one central location law enforcement,
intelligence, emergency management, public health, and other agencies, as well as private-sector and nongovernmental organizations when appropriate, and that have the capabilities to
evaluate and act appropriately on all available information. • Implementing the National Information Sharing Guidelines to share intelligence and information and improve the ability
of systems to exchange data. • Establishing information requirements and reporting protocols to enable effective and timely decisionmaking during response to incidents. Terrorist threats
and actual incidents with a potential or actual terrorist link should be reported immediately to a local or regional Joint Terrorism Task Force. Federal Actions. The National Operations
Center (NOC) serves as the national fusion center, collecting and synthesizing all-source information, including information from State fusion centers, across all-threats and all-hazards
information covering the spectrum of homeland security partners. Federal departments and agencies should report information regarding actual or potential incidents requiring a coordinated
Federal response to the NOC.
CHAPTER II: RESPONSE ACTIONS Page 34 National Response Framework January 2008 Such information may include: • Implementation of a Federal department or agency emergency plan. • Actions
to prevent or respond to an incident requiring a coordinated Federal response for which a Federal department or agency has responsibility under law or directive. • Submission of requests
for coordinated Federal assistance to, or receipt of a request from, another Federal department or agency. • Requests for coordinated Federal assistance from State, tribal, or local
governments, the private sector, and NGOs. • Suspicious activities or threats, which are closely coordinated among the Department of Justice/Federal Bureau of Investigation (FBI) Strategic
Information and Operations Center (SIOC), the NOC, and the National Counterterrorism Center (NCTC). The primary reporting method for information flow is the Homeland Security Information
Network (HSIN). Additionally, there are threat reporting mechanisms in place through the FBI FBI where information is assessed for credibility and possible criminal investigation. Each
Federal department and agency must work with DHS to ensure that its response personnel have access to and are trained to use the HSIN common operating picture for incident reporting.27
Alerts. When notified of a threat or an incident that potentially requires a coordinated Federal response, the NOC evaluates the information and notifies appropriate senior Federal officials
and Federal operations centers: the National Response Coordination Center (NRCC), the FBI SIOC, the NCTC, and the National Military Command Center. The NOC serves as the primary coordinating
center for these and other operations centers. The NOC alerts department and agency leadership to critical information to inform decisionmaking. Based on that information, the Secretary
of Homeland Security coordinates with other appropriate departments and agencies to activate plans and applicable coordination structures of the Framework as required. Officials Officials
should be prepared to participate, either in person or by secure video teleconference, with departments or agencies involved in responding to the incident. The NOC maintains the common
operating picture that provides overall situational awareness for incident information. Each Federal department and agency must ensure that its response personnel are trained to utilize
these tools. Operations Centers. Federal operations centers maintain active situational awareness and communications within and among Federal department and agency regional, district,
and sector offices across the country. These operations centers are often connected with their State, tribal, and local counterparts, and can exchange information and draw and direct
resources in the event of an incident. 27 Additional information concerning HSIN and Federal reporting requirements is found in the HSIN Concept of Operations, available at the NRF Resource
Center, http://www.fema.gov/NRF.
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 35 2. ACTIVATE AND DEPLOY RESOURCES AND CAPABILITIES Baseline Priorities. When an incident or potential incident
occurs, responders assess the situation, identify and prioritize requirements, and activate available resources and capabilities to save lives, protect property and the environment,
and meet basic human needs. In most cases, this includes development of incident objectives based on incident priorities, development of an Incident Action Plan by the Incident Command
in the field, and development of support plans by the appropriate local, tribal, State, and/or Federal Government entities. Key activities include: • Activating people, resources, and
capabilities. Across all levels, initial actions may include activation of people and teams and establishment of incident management and response structures to organize and coordinate
an effective response. The resources and capabilities deployed and the activation of supporting incident management structures should be directly related to the size, scope, nature,
and complexity of the incident. All responders should maintain and regularly exercise notification systems and protocols. • Requesting additional resources and capabilities. Responders
and capabilities may be requested through mutual aid and assistance agreements, the State, or the Federal Government. For all incidents, especially large-scale incidents, it is essential
to prioritize and clearly communicate incident requirements so that resources can be efficiently matched, typed, and mobilized to support operations. • Identifying needs and pre-positioning
resources. When planning for heightened threats or in anticipation of large-scale incidents, local or tribal jurisdictions, States, or the Federal Government should anticipate resources
and capabilities that may be needed. Based on asset availability, resources should be pre-positioned and response teams and other support resources may be placed on alert or deployed
to a staging area. As noted above, mobilization and deployment will be most effective when supported by planning that includes pre-scripted mission assignments, advance readiness contracting,
and staged resources. Local, Tribal, and State Actions. In the event of, or in anticipation of, an incident requiring a coordinated response, local, tribal, and State jurisdictions should:
• Identify staff for deployment to the emergency operations center (EOC), which should have standard procedures and call-down lists to notify department and agency points of contact.
• Work with emergency management officials to take the necessary steps to provide for continuity of operations. • Activate Incident Management Teams (IMTs) as required. IMTs are incident
command organizations made up of the command and general staff members and appropriate functional units of an Incident Command System organization. The level of training and experience
of the IMT members, coupled with the identified formal response requirements and responsibilities of the IMT, are factors in determining the “type,” or level, of the IMT. • Activate
specialized response teams as required. Jurisdictions may have specialized teams including search and rescue teams, crime scene investigators,
CHAPTER II: RESPONSE ACTIONS Page 36 National Response Framework January 2008 public works teams, hazardous materials response teams, public health specialists, or veterinarians/animal
response teams. • Activate mutual aid and assistance agreements as required. Federal Actions. In the event of, or in anticipation of, an incident requiring a coordinated Federal response,
the National Operations Center, in many cases acting through the National Response Coordination Center, notifies other Federal departments and agencies of the situation and specifies
the level of activation required. After being notified, departments and agencies should: • Identify and mobilize staff to fulfill their department’s or agency’s responsibilities, including
identifying appropriate subject-matter experts and other staff to support department operations centers. • Identify staff for deployment to the NOC, the NRCC, FEMA Regional Response
Coordination Centers (RRCCs), or other operations centers as needed, such as the FBI’s Joint Operations Center. These organizations have standard procedures and call-down lists, and
will notify department or agency points of contact if deployment is necessary. • Identify staff that can be dispatched to the Joint Field Office (JFO), including Federal officials representing
those departments and agencies with specific authorities, lead personnel for the JFO Sections (Operations, Planning, Logistics, and Administration and Finance) and the ESFs. • Begin
activating and staging Federal teams and other resources in support of the Federal response as requested by DHS or in accordance with department or agency authorities. • Execute pre-scripted
mission assignments and readiness contracts, as directed by DHS. Some Federal departments or agencies may deploy to an incident under their own authorities. In these instances, Federal
departments or agencies will notify the appropriate entities such as the NOC, JFO, State EOCs, and the local Incident Command. 3. COORDINATE RESPONSE ACTIONS Baseline Priorities. Coordination
of response activities occurs through response structures based on assigned roles, responsibilities, and reporting protocols. Critical information is provided through established reporting
mechanisms. The efficiency and effectiveness of response operations are enhanced by full application of the NIMS with its common principles, structures, and coordinating processes. Specific
priorities include: • Managing emergency functions. Local, tribal, and State governments are responsible for the management of their emergency functions. Such management includes mobilizing
the National Guard, pre-positioning assets, and supporting communities. Local, tribal, and State governments, in conjunction with their voluntary organization partners, are also responsible
for implementing plans to
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 37 ensure the effective management of the flow of volunteers and goods in the affected area. • Coordinating
initial actions. Initial actions are coordinated through the on-scene Incident Command and may include: immediate law enforcement, rescue, firefighting, and emergency medical services;
emergency flood fighting; evacuations; transportation detours; and emergency information for the public. As the incident unfolds, the on-scene Incident Command develops and updates an
Incident Action Plan, revising courses of action based on changing circumstances. • Coordinating requests for additional support. If additional resources are required, the on-scene Incident
Command requests the needed support. Additional incident management and response structures and personnel are activated to support the response. It is critical that personnel understand
roles, structures, protocols, and concepts to ensure clear, coordinated actions. Resources are are activated through established procedures and integrated into a standardized organizational
structure at the appropriate levels. • Identifying and integrating resources and capabilities. Resources and capabilities must be deployed, received, staged, and efficiently integrated
into ongoing operations. For large, complex incidents, this may include working with a diverse array of organizations, including multiple private-sector entities and NGOs through prearranged
agreements and contracts. Large-scale events may also require sophisticated coordination and time-phased deployment of resources through an integrated logistics system. Systems and venues
must be established to receive, stage, track, and integrate resources into ongoing operations. Incident Command should continually assess operations and scale and adapt existing plans
to meet evolving circumstances. • Coordinating information. Effective public information strategies are essential following an incident. Incident Command may elect to establish a Joint
Information Center (JIC), a physical location where the coordination and dissemination of information for the public and media concerning the incident are managed. JICs may be established
locally, regionally, or nationally depending on the size and magnitude of an incident. In the event of incidents requiring a coordinated Federal response, JICs are established to coordinate
Federal, State, tribal, local, and private-sector incident communications with the public. By developing media lists, contact information for relevant stakeholders, and coordinated news
releases, the JIC staff facilitates dissemination of accurate, consistent, accessible, and timely public information to numerous audiences. Specific response actions will vary depending
upon the scope and nature of the incident. Response actions are based on the objectives established by the Incident Command and Unified Coordination Group. Response actions include,
but are not limited to: • Warning the public and providing accessible emergency public information. • Implementing evacuation and sheltering plans that include provisions for special
needs populations and household pets.
CHAPTER II: RESPONSE ACTIONS Page 38 National Response Framework January 2008 • Sheltering evacuees in preidentified, physically accessible shelters and providing food, water, and other
necessities to meet the needs of all people, including persons with disabilities and other special needs. • Performing search and rescue. • Treating the injured. • Providing law enforcement
and investigation. • Controlling hazards (extinguishing fires, containing hazardous materials spills, etc.). • Ensuring responder safety and health. Local, Tribal, and State Actions.
Within communities, NIMS principles are applied to integrate response plans and resources across jurisdictions and departments and with the private sector and NGOs. Neighboring communities
play a key role in providing support through a framework of mutual aid and assistance agreements. These agreements are formal documents that identify the resources that communities are
willing to share during an incident. Such agreements should include: • Definitions of key key terms used in the agreement. • Roles and responsibilities of individual parties. • Procedures
for requesting and providing assistance. • Procedures, authorities, and rules for allocation and reimbursement of costs. • Notification procedures. • Protocols for interoperable communications.
• Relationships with other agreements among jurisdictions. • Treatment of workers’ compensation, liability, and immunity. • Recognition of qualifications and certifications. While States
typically act as the conduit between the Federal and local governments when Federal assistance is supporting a local jurisdiction, there are certain instances in which Federal partners
may play an active role in a unified command. For example, wildfires on Federal land or oil spills are activities for which certain Federal departments or agencies may have authority
to respond under their own statutes and jurisdictions. States provide the majority of the external assistance to communities. The State is the gateway to several government programs
that help communities prepare. When an incident grows beyond the capability of a local jurisdiction, and responders cannot meet the needs with mutual aid and assistance resources, the
local emergency manager contacts the State. Upon receiving a request for assistance from a local government, immediate State response activities may include:
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 39 • Coordinating warnings and public information through the activation of the State’s public communications
strategy and the establishment of a JIC. • Distributing supplies stockpiled to meet the emergency. • Providing needed technical assistance and support to meet the response and recovery
needs of individuals and households. • The Governor suspending existing statutes, rules, ordinances, and orders for the duration of the emergency, to the extent permitted by law, to
ensure timely performance of response functions. • Implementing State donations management plans and coordinating with NGOs and the private sector. • Ordering the evacuation of persons
from any portions of the State threatened by the incident, giving consideration to the requirements of special needs populations and those with household pets or service animals. • Mobilizing
resources to meet the requirements of people with special needs, in accordance with the State’s preexisting plan and in compliance with Federal civil rights laws. In addition to these
actions, the Governor may activate elements of the National Guard. The National Guard is a crucial State resource, with expertise in communications, logistics, search and rescue, and
decontamination. National Guard forces employed under State Active Duty or Title 32 status are under the command and control of the Governor of their State and are not part of Federal
military response efforts. Title 32 Full-Time National Guard Duty refers to Federal training or other duty, other than inactive duty, performed by a member of the National Guard. Title
32 is not subject to posse comitatus restrictions28 and allows the Governor, with the approval of the President or the Secretary of Defense, to order a Guard member to duty to: • Perform
training and other operational activities. • Conduct homeland defense activities for the military protection of the territory or domestic population of the United States, or of the infrastructure
or other assets of the United States determined by the Secretary of Defense to be critical to national security, from a threat or aggression against the United States. In rare circumstances,
the President can federalize National Guard forces for domestic duties under Title 10 (e.g., in cases of invasion by a foreign nation, rebellion against the authority of the United States,
or where the President is unable to execute the laws of the United States with regular forces (10 U.S.C. 12406)). When mobilized under Title 10 of the U.S. Code, the forces are no longer
under the command of the Governor. Instead, the Department of Defense assumes full responsibility for all aspects of the deployment, including command and control over National Guard
forces. 28 For more information on posse comitatus, see the Authorities and References section of the NRF Resource Center, http://www.fema.gov/NRF.
CHAPTER II: RESPONSE ACTIONS Page 40 National Response Framework January 2008 State-to-State Assistance. If additional resources are required, the State should request assistance from
other States by using interstate mutual aid and assistance agreements such as the Emergency Management Assistance Compact (EMAC). Administered by the National Emergency Management Association,
EMAC is a congressionally ratified organization that provides form and structure to the interstate mutual aid and assistance process. Through EMAC or other mutual aid or assistance agreements,
a State can request and receive assistance from other member States.29 Such State-to-State assistance may include: • Invoking and administering a Statewide Mutual Aid Agreement, as well
as coordinating the allocation of resources under that agreement. • Invoking and administering EMAC and/or other compacts and agreements, and coordinating the allocation of resources
that are made available to and from other States. Requesting Federal Assistance. When an incident overwhelms or is anticipated to overwhelm State resources, the Governor may request
Federal assistance.30 In such cases, the affected local jurisdiction, tribe, State, and the Federal Government will collaborate to provide the necessary assistance. The Federal Government
may provide assistance in the form of funding, resources, and critical services. Federal departments and agencies respect the sovereignty and responsibilities of local, tribal, and State
governments while rendering assistance. The intention of the Federal Government in these situations is not to command the response, but rather to support the affected local, tribal,
and/or State governments. Robert T. Stafford Disaster Relief and Emergency Assistance Act. When it is clear that State capabilities will be exceeded, the Governor can request Federal
assistance, including assistance under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Stafford Act).31The Stafford Act is triggered by a Presidential declaration
of a major disaster or emergency, when an event causes damage of sufficient severity and magnitude to warrant Federal disaster assistance
to supplement the efforts and available resources of States, local governments, and the disaster relief organizations in alleviating the damage, loss, hardship, or suffering. The Stafford
Act authorizes the President to provide financial and other assistance to State and local governments, certain private nonprofit organizations, and individuals to support response, recovery,
and mitigation efforts following Presidential emergency or major disaster declarations. 29 For more detail about EMAC, see http://www.emacweb.org/. 30 Additional guidance on requesting
Federal support can be found in the Overview document at the NRF Resource Center, http://www.fema.gov/NRF. 31 Details regarding Federal involvement under the Stafford Act are available
at the NRF Resource Center, http://www/fema.gov/NRF. Additional information about the Stafford Act’s disaster process and disaster aid programs is available at http://www.fema.gov/hazard/dproc.shtm.
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 41 The forms of public assistance typically flow either from a major disaster declaration or an emergency declaration.32
A major disaster could result from any natural or manmade event that the President determines warrants supplemental Federal aid. The event must be clearly more than State or local governments
can handle alone. If declared, funding comes from the President's Disaster Relief Fund, which is managed by FEMA, and the disaster aid programs of other participating Federal departments
and agencies. A Presidential major disaster declaration triggers long-term Federal recovery programs, some of which are matched by State programs, and designed to help disaster victims,
businesses, and public entities. An emergency declaration is more limited in scope and without the long-term Federal recovery programs of a major disaster declaration. Generally, Federal
assistance and funding are provided to meet a specific emergency need or to help prevent a major disaster from occurring. Requesting a Presidential Declaration. Most incidents are not
of sufficient magnitude to warrant a Presidential declaration. However, if State and local resources are insufficient, a Governor may ask the President to make such a declaration. Before
making a declaration request, the Governor must activate the State’s emergency plan and ensure that all appropriate State and local actions have been taken or initiated, including: •
Surveying the affected areas to determine the extent of private and public damage. • Conducting joint preliminary damage assessments with FEMA officials to estimate the types and extent
of Federal disaster assistance required. • Consulting with the FEMA Regional Administrator on Federal disaster assistance eligibility, and advising the FEMA regional office if a Presidential
declaration will be requested. Ordinarily, only a Governor can initiate a request for a Presidential emergency or major disaster declaration. In extraordinary circumstances, the President
may unilaterally declare a major disaster or emergency.33 This request is made through the FEMA Regional Administrator and based on a finding that the disaster is of such severity and
magnitude that effective response is beyond the capabilities of the State and affected local governments, and that Federal assistance is necessary. The request must include: • Information
on the extent and nature of State resources that have been or will be used to address the consequences of the disaster. • A certification by the Governor that State and local governments
will assume all applicable non-Federal costs required by the Stafford Act. • An estimate of the types and amounts of supplementary Federal assistance required. 32 The Stafford Act defines
an emergency as “any occasion or instance for which, in the determination of the President, Federal assistance is needed to supplement State and local efforts and capabilities to save
lives and to protect property and public health and safety, or to lessen or avert the threat of a catastrophe in any part of the United States.” A major disaster is defined as “any natural
catastrophe (including any hurricane, tornado, storm, high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic eruption, landslide, mudslide, snowstorm, or drought),
or, regardless of cause, any fire, flood, or explosion in any part of the United States, which in the determination of the President causes damage of sufficient severity and magnitude
to warrant major disaster assistance under this Act to supplement the efforts and available resources of States, local governments, and disaster relief organizations in alleviating the
damage, loss, hardship, or suffering caused thereby.” 33 Per section 501(b) of the Stafford Act.
CHAPTER II: RESPONSE ACTIONS Page 42 National Response Framework January 2008 • Designation of a State Coordinating Officer. The completed request, addressed to the President, is submitted
through the FEMA Regional Administrator, who evaluates the damage and requirements for Federal assistance and makes a recommendation to the FEMA Administrator. The FEMA Administrator,
acting through the Secretary of Homeland Security, may then recommend a course of action to the President. The Governor, appropriate Members of Congress, and Federal departments and
agencies are immediately notified of a Presidential declaration. Proactive Response to Catastrophic Incidents. Prior to and during catastrophic incidents, especially those that occur
with little or no notice, the State and Federal governments may take proactive measures to mobilize and deploy assets in anticipation of a formal request from the State for Federal assistance.34
Such deployments of significant Federal assets would likely occur for catastrophic events events involving chemical, biological, radiological, nuclear, or high-yield explosive weapons
of mass destruction, large-magnitude earthquakes, or other catastrophic incidents affecting heavily populated areas. The proactive responses are utilized to ensure that resources reach
the scene in a timely manner to assist in restoring any disruption of normal function of State or local governments. Proactive notification and deployment of Federal resources in anticipation
of or in response to catastrophic events will be done in coordination and collaboration with State, tribal, and local governments and private-sector entities when possible. Federal Assistance
Available Without a Presidential Declaration. In many cases, assistance may be obtained from the Federal Government without a Presidential declaration. For example, FEMA places liaisons
in State EOCs and moves commodities near incident sites that may require Federal assistance prior to a Presidential declaration. Additionally, some types of assistance, such such as
Fire Management Assistance Grants – which provide support to States experiencing severe wildfires – are performed by Federal departments or agencies under their own authorities and do
not require Presidential approval. Finally, Federal departments and agencies may provide immediate lifesaving assistance to States under their own statutory authorities without a formal
Presidential declaration. Other Federal or Federally Facilitated Assistance. The Framework covers the full range of complex and constantly changing requirements in anticipation of, or
in response to, threats or actual incidents, including terrorism and major disasters. In addition to Stafford Act support, the Framework may be applied to provide other forms of support
to Federal partners. Federal departments and agencies must remain flexible and adaptable in order to provide the support that is required for a particular incident. 34 Additional information
on proactive response can be found in the Catastrophic Incident Annex, available at at the NRF Resource Center, http://www.fema.gov/NRF. A catastrophic incident is defined as any natural
or manmade incident, including terrorism, that results in extraordinary levels of mass casualties, damage, or disruption severely affecting the population, infrastructure, environment,
economy, national morale, and/or government functions.
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 43 Federal-to-Federal Support. Federal departments and agencies execute interagency or intra-agency reimbursable
agreements, in accordance with the Economy Act or other applicable authorities. The Framework’s Financial Management Support Annex35 contains additional information on this process.
Additionally, a Federal department or agency responding to an incident under its own jurisdictional authorities may request DHS coordination to obtain additional Federal assistance.
In such cases, DHS may activate one or more Emergency Support Functions to coordinate required support. Federal departments and agencies must plan for Federal-to-Federal support missions,
identify additional issues that may arise when providing assistance to other Federal departments and agencies, and address those issues in the planning process. When providing Federal-to-Federal
support, DHS may designate a Federal Resource Coordinator to perform the resource coordination function. International Assistance. A domestic incident may have international and diplomatic
implications that call for coordination and consultations with foreign governments and international organizations. An incident may also require direct bilateral and multilateral actions
on foreign affairs issues related to the incident. The Department of State has responsibility for coordinating bilateral and multilateral actions, and for coordinating international
assistance. International coordination within the context of a domestic incident requires close cooperative efforts with foreign counterparts, multilateral/international organizations,
and the private sector. Federal departments and agencies should consider in advance what resources or other assistance they may require or be asked to accept from foreign sources and
address issues that may arise in receiving such resources. Detailed information on coordination with international partners is further defined in the International Coordination Support
Support Annex.36 Response Activities. Specific response actions will vary depending upon the scope and nature of an incident. Response actions are based on the objectives established
by the Incident Command and Joint Field Office (JFO)’s Unified Coordination Group. Detailed information about the full range of potential response capabilities is contained in the Emergency
Support Function Annexes, Incident Annexes, and Support Annexes. See Chapter V for additional detail about these items. Department and Agency Activities. Federal departments and agencies,
upon receiving notification or activation requests, implement their specific emergency plans to activate resources and organize their response actions. Department and agency plans should
incorporate procedures for: • Designation of department or agency representatives for interagency coordination, and identification of State, tribal, and local points of contact. • Activation
of coordination groups managed by the department or agency in accordance with roles roles and responsibilities. • Activation, mobilization, deployment, and ongoing status reporting for
resource-typed teams with responsibilities for providing capabilities under the Framework. 35 Available at the NRF Resource Center, http://www.fema.gov/NRF. 36 Available at the NRF Resource
Center, http://www.fema.gov/NRF.
CHAPTER II: RESPONSE ACTIONS Page 44 National Response Framework January 2008 • Readiness to execute mission assignments in response to requests for assistance (including pre-scripted
mission assignments), and to support all levels of department or agency participation in the response, at both the field and national levels. • Ensuring that department or agency resources
(e.g., personnel, teams, or equipment) fit into the interagency structures and processes set out in the Framework. Regional Response Activities. The FEMA Regional Administrator deploys
a liaison to the State EOC to provide technical assistance and also activates the Regional Response Coordination Center (RRCC). Federal department and agency personnel, including ESF
primary and support agency personnel, staff the RRCC as required. The RRCCs: • Coordinate initial regional and field activities. • In coordination with State, tribal, and local officials,
deploy regional teams to assess the impact of the event, gauge immediate State needs, and make preliminary arrangements to set up operational field facilities. • Coordinate Federal support
until a JFO is established. • Establish a JIC to provide a central point for coordinating emergency public information activities. Incident Management Assistance Team (IMAT). In coordination
with the RRCC and the State, FEMA may deploy an IMAT. IMATs are interagency teams composed of subject-matter experts and incident management professionals. IMAT personnel may be drawn
from national or regional Federal department and agency staff according to established protocols. IMAT teams make preliminary arrangements to set up Federal field facilities and initiate
establishment of the JFO. Emergency Support Functions (ESFs). The NRCC or RRCC may also activate specific ESFs by directing appropriate departments and agencies to initiate the initial
actions delineated in the ESF Annexes.37 4. DEMOBILIZE Demobilization is the orderly, safe, and efficient return of a resource to its original location and status. Demobilization should
begin as soon as possible to facilitate accountability of the resources and be fully coordinated with other incident management and response structures. Local, Tribal, and State Actions.
At the local, tribal, and State levels, demobilization planning and activities should include: • Provisions to address and validate the safe return of resources to their original locations.
• Processes for tracking resources and ensuring applicable reimbursement. 37 Available at the NRF Resource Center, http://www.fema.gov/NRF.
CHAPTER II: RESPONSE ACTIONS January 2008 National Response Framework Page 45 • Accountability for compliance with mutual aid and assistance provisions. Federal Actions. The Unified
Coordination Group oversees the development of an exit strategy and demobilization plan. As the need for full-time interagency response coordination at the JFO wanes, the Unified Coordination
Group plans for selective release of Federal resources, demobilization, transfer of responsibilities, and closeout. The JFO, however, continues to operate as needed into the recovery
phase to coordinate those resources that are still active. ESF representatives assist in demobilizing resources and organizing their orderly return to regular operations, warehouses,
or other locations. RECOVER Once immediate lifesaving activities are complete, the focus shifts to assisting individuals, households, critical infrastructure, and businesses in meeting
basic needs and returning to self-sufficiency. Even as the immediate imperatives for response to an incident are being addressed, the need to begin recovery operations emerges. The emphasis
upon response will gradually give way to recovery operations. Within recovery, actions are taken to help individuals, communities, and the Nation return to normal. Depending on the complexity
of this phase, recovery and cleanup efforts involve significant contributions from all sectors of our society. • Short-term recovery is immediate and overlaps with response. It includes
actions such as providing essential public health and safety services, restoring interrupted utility and other essential services, reestablishing transportation routes, and providing
food and shelter for those displaced by the incident. Although called “short term,” some of these activities may last for weeks. • Long-term recovery, which is outside the scope of the
Framework, may involve some of the same actions but may continue for a number of months or years, depending on the severity and extent of the damage sustained. For example, long-term
recovery may include the complete redevelopment of damaged areas.38Recovery from an incident is unique to each community and depends on the amount and kind of damage caused by the incident
and the resources that the jurisdiction has ready or can quickly obtain. In the short term, recovery is an extension of the response phase in which basic services and functions are restored.
In the long term, recovery is a restoration of both the personal lives of individuals and the livelihood of the community. Recovery can include the development, coordination, and execution
of service-and site-restoration plans; reconstitution of government operations and services; programs to provide housing and promote restoration; long-term care and treatment of affected
persons; and additional measures for social, political, environmental, and economic restoration. Recovery programs: • Identify needs and resources. • Provide accessible housing and promote
restoration. 38 Additional information on long-term recovery can be found in the ESF #14 Annex at the NRF Resource Center, http://www.fema.gov/NRF.
CHAPTER II: RESPONSE ACTIONS Page 46 National Response Framework January 2008 • Address care and treatment of affected persons. • Inform residents and prevent unrealistic expectations.
• Implement additional measures for community restoration. • Incorporate mitigation measures and techniques, as feasible. Recovery Coordination. The JFO remains the central coordination
point among local, tribal, State, and Federal governments, as well as private-sector and nongovernmental entities that are providing recovery assistance. Examples of Federal and State
recovery actions include: • Coordinating assistance programs to help individuals, households, and businesses meet basic needs and return to self-sufficiency. Such programs include housing
assistance, other needs assistance, crisis counseling services, disaster legal services, and unemployment or reemployment programs. Other activities include coordinating with local and
tribal governments the need for and locations of Disaster Recovery Centers. • Establishing Disaster Recovery Centers. Federal, State, tribal, local, voluntary, and nongovernmental organizations
determine the need for and location of Disaster Recovery Centers. Staff provide recovery and mitigation program information, advice, counseling, and related technical assistance. • Coordinating
with private-sector and nongovernmental organizations involved in donations management and other recovery activities. • Coordinating public assistance grant programs authorized by the
Stafford Act. These programs aid local, tribal, and State governments and eligible private nonprofit organizations with the cost of emergency protective services, debris removal, and
the repair or replacement of disaster-damaged public facilities and associated environmental restoration. • Coordinating with the private sector on restoration and recovery of CIKR.
Activities include working with owners/operators to ensure the restoration of critical services, including water, power, natural gas and petroleum, emergency communications, and healthcare.
• Coordinating mitigation grant programs to help communities reduce the potential impacts of future disasters. Activities include developing strategies to rebuild resilient communities.
After the JFO closes, ongoing activities transition to individual agencies with primary recovery responsibilities. Federal partners then work directly with their regional or headquarters
offices to administer and monitor recovery programs, support, and technical services.
January 2008 National Response Framework Page 47 CHAPTER III RESPONSE ORGANIZATION This chapter explains how we as a Nation are organized to implement response actions. It describes
the organizational structures that have been developed, tested, and refined over time and how these structures are applied at all levels to support an effective response. The key staff
positions needed to operate this system are explained and their relationships and dependencies outlined. The Framework’s response structures are based on the National Incident Management
System (NIMS), particularly on its Incident Command System (ICS). INTRODUCTION Homeland Security Presidential Directive (HSPD) 5 called for a single, comprehensive system to enhance
the ability of the United States to manage domestic incidents. NIMS provides a consistent nationwide template to enable all levels of government, the private sector, and nongovernmental
organizations (NGOs) to work together during an incident.39 Integrating these NIMS principles into all phases of an incident and throughout all levels of government ensures that all
stakeholders have a common set of principles from which to operate during an incident. Scope of the Framework. The Framework provides structures for implementing national-level policy
and operational coordination for domestic response. It can be partially or fully implemented in the context of a threat, in anticipation of a significant event, or in response to an
incident. Selective implementation allows for a scaled response, delivery of the exact resources needed, and a level of coordination appropriate to each event. The Framework incorporates
organizational structures that promote on-scene initiative, innovation, and sharing of essential resources drawn from all levels of government and the private sector. It is not always
obvious whether a seemingly minor incident might be the initial phase of a larger, rapidly growing threat. Response must be quickly scalable, flexible, and adaptable. 39 The NIMS is
available at the NRF Resource Center, http://www.fema.gov/NRF.
CHAPTER III: RESPONSE ORGANIZATION Page 48 National Response Framework January 2008 KEY CONCEPTS NIMS provides a core set of common concepts, principles, terminology, and technologies
in the following areas: • Incident Command System (ICS). Much of NIMS is built upon ICS, which was developed by the Federal, State, and local wildland fire agencies during the 1970s.
ICS is normally structured to facilitate activities in five major functional areas: command, operations, planning, logistics, and finance/administration. In some circumstances, intelligence
and investigations may be added as a sixth functional area. • Multiagency Coordination System (MACS). The primary function of MACS is to coordinate activities above the field level and
to prioritize the incident demands for critical or competing resources, thereby assisting the coordination of the operations in the field. MACS consists of a combination of elements:
personnel, procedures, protocols, business practices, and communications integrated into a common common system. For the purpose of coordinating resources and support between multiple
jurisdictions, MACS can be implemented from a fixed facility or by other arrangements outlined within the system. Examples of multiagency coordination include a State or county emergency
operations center, a State intelligence fusion center, the National Operations Center, the Department of Homeland Security/Federal Emergency Management Agency (FEMA) National Response
Coordination Center, the Department of Justice/Federal Bureau of Investigation (FBI) Strategic Information and Operations Center, the FBI Joint Operations Center, and the National Counterterrorism
Center. • Unified Command. Unified command is an important element in multijurisdictional or multiagency incident management. It provides guidelines to enable agencies with different
legal, geographic, and functional responsibilities to coordinate, plan, and interact effectively. As a team effort, unified command allows all agencies with jurisdictional authority
or functional responsibility for the incident to jointly provide management direction to an incident through a common set of incident objectives and strategies and a single Incident
Action Plan. Each participating agency maintains its authority, responsibility, and accountability. • Training. Leaders and staff require initial training on response principles, as
well as ongoing training to provide updates on current concepts and procedures. • Identification and Management of Resources. Classifying types of resources is essential to ensure that
multiple agencies can effectively communicate and provide resources during a crisis, including implementing a plan to inventory, mobilize, and track resources prior to, during, and after
an incident. • Mutual Aid and Assistance. Executing mutual aid and other agreements established prior to an incident with appropriate entities at the local, tribal, State, and Federal
levels is an important element of preparedness, along with the readiness to develop/implement new agreements during the life cycle of an incident. • Situational Awareness. Situational
awareness is the ability to identify, process, and comprehend the critical information about an incident. More simply, it is knowing what is going on around you. Situational awareness
requires continuous
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 49 monitoring of relevant sources of information regarding actual incidents and developing hazards. •
Qualifications and Certification. Competent staff is a requirement for any leader managing an incident. During a crisis there will not be time to determine staff qualifications, if such
information has not yet been compiled and available for review by leaders. To identify the appropriate staff to support a leader during a crisis, qualifications based on training and
expertise of staff should be identified and evidenced by certification, if appropriate. • Collection, Tracking, and Reporting of Incident Information. Information today is transmitted
instantly via the Internet and the 24/7 news channels. While timely information is valuable, it also can be overwhelming. For an effective response, expertise and experience must be
leveraged to support decisionmaking and to summarize and prioritize information rapidly. Information must be gathered accurately at the scene and effectively communicated to those who
need it. To be successful, clear lines of information flow and a common operating picture are essential. • Crisis Action Planning. Deliberative planning during nonincident periods should
quickly transition to crisis action planning when an incident occurs. Crisis action planning is the process for rapidly adapting existing deliberative plans and procedures during an
incident based on the actual circumstances of an event. Crisis action planning should also include the provision of decision tools for senior leaders to guide their decisionmaking. •
Exercises. Consistent with the National Exercise Program, all stakeholders should regularly exercise their incident management and response capabilities and procedures to ensure that
they are fully capable of executing their response responsibilities. LOCAL RESPONSE: STRUCTURES AND STAFFING Field Level: Incident Command. Local responders use ICS to manage response
operations. ICS is a management system designed to enable effective incident management by integrating a combination of facilities, equipment, personnel, procedures and communications
operating within a common organizational structure. A basic strength of ICS is that it is already widely adopted. It is used to organize both near-term and long-term field-level operations
for a broad spectrum of incidents. Figure 4. Incident Command Structure
CHAPTER III: RESPONSE ORGANIZATION Page 50 National Response Framework January 2008 ICS is used by all levels of government – Federal, State, tribal, and local – as well as by many private-sector
and nongovernmental organizations. Typically, the incident command is structured to facilitate activities in five major functional areas: command, operations, planning, logistics, and
finance/administration. ICS defines certain key roles for managing an ICS incident, as follows: • The Incident Commander is the individual responsible for all response activities, including
the development of strategies and tactics and the ordering and release of resources. The Incident Commander has overall authority and responsibility for conducting incident operations
and is responsible for the management of all incident operations at the incident site. When multiple command authorities are involved, the incident may be led by a unified command comprised
of officials who have jurisdictional authority or functional responsibility for the
incident under an appropriate law, ordinance, or agreement. The unified command provides direct, on-scene control of tactical operations. • The Command Staff consists of a Public Information
Officer, Safety Officer, Liaison Officer, and other positions. The Command Staff reports directly to the Incident Commander. The General Staff normally consists of an Operations Section
Chief, Planning Section Chief, Logistics Section Chief, and Finance/Administration Section Chief. An Intelligence/Investigations Section may be established, if required, to meet response
needs. At the tactical level, on-scene incident command and management organization are located at an Incident Command Post, which is typically comprised of local and mutual aid responders.
Field Level: Area Command. If necessary, an Area Command may be established to assist the agency administrator/executive in providing oversight for the management of multiple incidents
being handled by separate Incident Command Posts or to oversee management of a a complex incident dispersed over a larger area and broker critical resources. The Area Command does not
have operational responsibilities and is activated only if necessary, depending on the complexity of the incident and incident management span-of-control considerations. The Area Command
or Incident Command Post provides information to, and may request assistance from, the local emergency operations center. Local Emergency Operations Center (EOC). If the Incident Commander
determines that additional resources or capabilities are needed, he or she will contact the local EOC and relay requirements to the local emergency manager. Local EOCs are the physical
locations where multiagency coordination occurs. EOCs help form a common operating picture of the incident, relieve on-scene command of the burden of external coordination, and secure
additional resources. The core functions of an EOC include coordination, communications, resource allocation and tracking, and information collection, analysis, and dissemination. Figure
5. Area Command Structure
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 51 EOCs may be permanent organizations and facilities that are staffed 24 hours a day, 7 days a week,
or they may be established to meet short-term needs. Standing EOCs (or those activated to support larger, more complex incidents) are typically established in a central or permanently
established facility. Such permanent facilities in larger communities are typically directed by a full-time emergency manager. EOCs may be organized by major discipline (fire, law enforcement,
medical services, etc.), by jurisdiction (city, county, region, etc.), by Emergency Support Function (communications, public works, engineering, transportation, resource support, etc.)
or, more likely, by some combination thereof. During an incident, the local emergency manager ensures the EOC is staffed to support the incident command and arranges needed resources.
The chief elected or appointed official provides policy direction and supports the Incident Commander and emergency manager, as needed. EOCs at all levels of government often encourage
and accommodate private-sector participation. The private sector, in turn, can maintain parallel structures to respond to the needs of the EOC. This representation should complement,
not replace, presence in the EOC granted currently to public utilities. STATE RESPONSE: STRUCTURES AND STAFFING State Emergency Operations Center (EOC). State EOCs are the physical location
where multiagency coordination occurs. Every State maintains an EOC configured to expand as necessary to manage events requiring State-level assistance. The local incident command structure
directs on-scene emergency management activities and maintains command and control of on-scene incident operations. State EOCs are activated as necessary to support local EOCs. Therefore,
the State EOC is the central location from which off-scene activities supported by the State are coordinated. Chief elected and appointed officials are located at the State EOC, as as
well as personnel supporting core functions. The key function of State EOC personnel is to ensure that those who are located at the scene have the resources (e.g., personnel, tools,
and equipment) they need for the response. State and tribal officials typically take the lead to communicate public information regarding incidents occurring in their jurisdictions.
It is essential that immediately following the onset of an incident, the State or tribal government, in collaboration with local officials, ensures that: • Communication lines with the
press are open, questions receive prompt responses, and false rumors are refuted before they spread. • Information about where to receive help is communicated directly to victims and
victims’ families. Figure 6. State and Emergency Operations Center
CHAPTER III: RESPONSE ORGANIZATION Page 52 National Response Framework January 2008 In order to coordinate the release of emergency information and other public affairs functions, a
Joint Information Center (JIC) may be established. The JIC serves as a focal point for coordinated and timely release of incident-related information to the public and the media. Information
about where to receive assistance is communicated directly to victims and their families in an accessible format and in appropriate languages for those with limited English proficiency.
Requesting and Managing Federal Assistance. The Governor is responsible for requesting Federal assistance for incidents within his or her State. Overall, Federal incident support to
the State is generally coordinated through a Joint Field Office (JFO). The JFO provides the means to integrate diverse Federal resources and engage directly with the State. Using unified
command principles, a Unified Coordination Group comprised of senior officials from the State and key Federal departments and agencies is established at the JFO. This group of senior
officials provides the breadth of national support to achieve shared objectives. Details of the structures and staffing models associated with a JFO, the FEMA Regional Response Coordination
Centers (RRCCs), and other organizations that support State response are described below, in the section regarding Federal response structures. By way of introduction, the Framework
recognizes two senior leaders appointed by the Governor to work in coordination with the Federal JFO team. State Coordinating Officer (SCO). The SCO plays a critical role in managing
the State response and recovery operations following Stafford Act declarations. The Governor of the affected State appoints the SCO, and lines of authority flow from the Governor to
the SCO, following the State’s policies and laws. For certain anticipated events in which a Stafford Act declaration is expected, such as an approaching hurricane, the Secretary of Homeland
Security or the FEMA Administrator may pre-designate one or more Federal officials to coordinate with the SCO to determine resources and actions that will likely be required, and begin
deployment of assets. The specific roles and responsibilities of the SCO include: • Serving as the primary representative of the Governor for the affected State or locality with the
RRCC or within the JFO once it is established. • Working with the Federal Coordinating Officer to formulate State requirements, including those that are beyond State capability, and
set priorities for employment of Federal resources provided to the State. • Ensuring coordination of resources provided to the State via mutual aid and assistance compacts. • Providing
a linkage to local government. • Serving in the Unified Coordination Group in the JFO. Governor’s Authorized Representative. As the complexity of the response dictates, the Framework
recognizes that the Governor may empower a Governor’s Authorized Representative to: • Execute all necessary documents for disaster assistance on behalf of the State, including certification
of applications for public assistance.
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 53 • Represent the Governor of the impacted State in the Unified Coordination Group, when required. •
Coordinate and supervise the State disaster assistance program to include serving as its grant administrator. • Identify, in coordination with the SCO, the State’s critical information
needs for incorporation into a list of Essential Elements of Information (critical items of specific information required to plan and execute an operation and to support timely, logical
decisions). U.S. Territories. Within the Framework, U.S. territories use the same incident management and response structures and mechanisms as State governments for requesting and receiving
Federal assistance. Territories pose special response challenges. Working in partnership with territorial governments, the Framework is adapted to meet these geographic challenges through
preparedness plans and pre-staging of assets. Territorial governments may receive federally coordinated response within the U.S. possessions, including the insular areas, and within
the Federated States of Micronesia and the Republic of the Marshall Islands.40 Stafford Act assistance is available to Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, and
the Commonwealth of the Northern Mariana Islands, which are included in the definition of "State" in the Stafford Act. Stafford Act assistance also is available to the Federated States
of Micronesia and the Republic of the Marshall Islands under the Compact of Free Association. FEDERAL RESPONSE: STRUCTURES AND STAFFING POLICY DEVELOPMENT AND OPERATIONS COORDINATION
Policy Development. The President leads the Nation in responding effectively and ensuring the necessary coordinating structure, leadership, and resources are applied quickly and efficiently
to large-scale incidents. The Homeland Security Council (HSC) and National Security Council (NSC) advise the President on national strategic and policy during large-scale incidents.
The HSC HSC and NSC ensure coordination for all homeland and national security-related activities among executive departments and agencies and promote effective development and implementation
of related policy. The HSC and NSC ensure unified leadership across the Federal Government. The Assistant to the President for Homeland Security and Counterterrorism and the Assistant
to the President for National Security Affairs coordinate interagency policy for domestic and international incident management, respectively, and convene interagency meetings to coordinate
policy issues. Both Councils use well-established policy development structures to identify issues that require interagency coordination. To support domestic interagency policy coordination
on a routine basis, HSC and NSC deputies and principals convene to resolve significant policy issues. They are supported by the following two Policy Coordination Committees at the assistant
secretary level: 40 Refer to footnote 5 for more information on U.S. possessions and and freely associated states.
CHAPTER III: RESPONSE ORGANIZATION Page 54 National Response Framework January 2008 • Domestic Readiness Group (DRG). The DRG is an interagency body convened on a regular basis to develop
and coordinate preparedness, response, and incident management policy. This group evaluates various policy issues of interagency importance regarding domestic preparedness and incident
management and makes recommendations to senior levels of the policymaking structure for decision. During an incident, the DRG may be convened by DHS to evaluate relevant interagency
policy issues regarding response and develop recommendations as may be required. • Counterterrorism Security Group (CSG). The CSG is an interagency body convened on a regular basis to
develop terrorism prevention policy and to coordinate threat response and law enforcement investigations associated with terrorism. This group evaluates various policy issues of interagency
importance regarding counterterrorism and makes recommendations to senior levels of the policymaking structure for decision. Within the structure described above, Federal departments
and agencies support policy development based on responsibilities assigned by statute, by HSPD-5, and in specific detail in Chapter I of this document. Operations Coordination. The Secretary
of Homeland Security is the principal Federal official responsible for domestic incident management. This includes coordinating Federal operations and resource deployments within the
United States to prepare for, respond to, and recover from terrorist attacks, major disasters, or other emergencies.41 All Federal departments and agencies may play significant roles
in incident management and response activities, depending on the nature and size of an event. The policies, operational structures, and capabilities to support an integrated Federal
response have grown swiftly since the 9/11 attacks, and continue to evolve. Many of these arrangements are defined in the Emergency Support Functions, coordinated through pre-scripted
mission assignments, and formalized in interagency agreements. Communications among Federal departments and agencies, particularly in an era when the Nation is at war with terrorists,
requires a highly integrated capacity to share information efficiently and effectively. By doing so, responders can effectively manage incidents that start small but may have large consequences,
such as a deliberate attack on the food supply that might initially appear localized or even commonplace. At the same time, these Framework mechanisms do not interfere with the established
operations of local, tribal, State, and Federal agencies. The Department of Homeland Security (DHS) was created in 2003 in part to serve as the planning integrator for the President
of a more robust Federal incident management capability and to coordinate Federal incident management activities in support of our State and local partners. DHS is responsible for the
overall architecture of how these capabilities are executed and sustained. The Department has considerable responsibilities and resources for emergency response, and also relies on the
statutory authorities, subject-matter expertise, and range of assets and operational capabilities of other Federal departments and agencies. 41 Per HSPD-5, paragraph 8, the Secretary
of Homeland Security's operational coordination role excludes law enforcement coordination activities assigned to the Attorney General and generally delegated to the Director of the
FBI.
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 55 The FEMA Administrator is the principal advisor to the President, the Secretary of Homeland Security,
and the Homeland Security Council regarding emergency management. The FEMA Administrator’s duties include operation of the National Response Coordination Center, the effective support
of all Emergency Support Functions, and, more generally, preparation for, protection against, response to, and recovery from all-hazards incidents. Reporting to the Secretary of Homeland
Security, the Administrator also is responsible for management of the core DHS grant programs supporting homeland security.42 Other DHS agency heads have a lead response role or an otherwise
significant role, depending upon the type and severity of the event. For example, the U.S. Coast Guard Commandant has statutory lead authority for certain mass migration management scenarios
and significant oil/hazardous substance spill incidents in the maritime environment. The DHS Director of Operations Coordination is the Secretary’s principal advisor for the overall
departmental level of integration of incident management operations and oversees the National Operations Center. Run by the Director, the National Operations Center is intended to provide
a one-stop information source for incident information sharing with the White House and other Federal departments and agencies at the headquarters level. The role of DHS in coordinating
Federal response operations must be highly collaborative. There must be excellent, mutual transparency among DHS and its Federal partners into each other’s response capabilities. The
same is true with regard to States. This requires extraordinarily close, daily operational connectivity among States, DHS, and other departments and agencies at senior levels and at
operational levels. HEADQUARTERS-LEVEL SUPPORT STRUCTURES National Operations Center (NOC). The NOC is the primary national hub for situational awareness and operations coordination
across the Federal Government for incident management. It provides the Secretary of Homeland Security and other principals with information necessary to make critical national-level
incident management decisions. The NOC is a continuously operating multiagency operations center. The NOC’s staff monitors many sources of threat and hazard information from across the
United States and abroad. It is supported by a 24/7 watch officer contingent, including: (1) NOC managers; (2) selected Federal interagency, State, and local law enforcement representatives;
(3) intelligence community liaison officers provided by the DHS Chief Intelligence Officer; (4) analysts from the Operations Division’s interagency planning element; and (5) watch standers
representing dozens of organizations and disciplines from the Federal Government and others from the private sector. The NOC facilitates homeland security information sharing and operations
coordination with other Federal, State, tribal, local, and nongovernmental partners. During a response to a significant incident, the NOC meets its information-fusion and information-sharing
responsibilities by providing spot reports, situation reports, and other information-sharing tools, all supported by and distributed through its common operating picture. The continued
development and rapid integration at the Federal, State, tribal, and local levels of 42 See the Post-Katrina Emergency Reform Act, enacted as part of the FY 2007 DHS Appropriations Act,
P.L. 109-295.
CHAPTER III: RESPONSE ORGANIZATION Page 56 National Response Framework January 2008 electronic reporting and information-sharing tools supporting the NOC’s common operating picture is
a very high priority of the Framework. NOC Operational Components. The following components of the NOC provide integrated mission support: • National Response Coordination Center (NRCC).
The NRCC is FEMA’s primary operations management center, as well as the focal point for national resource coordination. As a 24/7 operations center, the NRCC monitors potential or developing
incidents and supports the efforts of regional and field components. The NRCC also has the capacity to increase staffing immediately in anticipation of or in response to an incident
by activating the full range of ESFs and other personnel as needed to provide resources and policy guidance to a JFO or other local incident management structures. The NRCC provides
overall emergency management coordination, conducts operational planning, deploys national-level level entities, and collects and disseminates incident information as it builds and maintains
a common operating picture. Representatives of nonprofit organizations within the private sector may participate in the NRCC to enhance information exchange and cooperation between these
entities and the Federal Government. • National Infrastructure Coordinating Center (NICC). The NICC monitors the Nation’s critical infrastructure and key resources on an ongoing basis.
During an incident, the NICC provides a coordinating forum to share information across infrastructure and key resources sectors through appropriate information-sharing entities such
as the Information Sharing and Analysis Centers and the Sector Coordinating Councils.43 Supporting Federal Operations Centers. The Federal Government has a wide range of headquarters-level
operations centers that maintain situational awareness within their functional areas and provide relevant information to the NOC. Most Cabinet departments and agencies have at least
one one such facility. Below are examples of other Federal operations centers that have key roles in providing situational awareness and interagency coordination during incidents. •
National Military Command Center (NMCC). The NMCC is the Nation’s focal point for continuous monitoring and coordination of worldwide military operations. It directly supports combatant
commanders, the Chairman of the Joint Chiefs of Staff, the Secretary of Defense, and the President in the command of U.S. Armed Forces in peacetime contingencies and war. Structured
to support the President and Secretary of Defense effectively and efficiently, the Center participates in a wide variety of activities, ranging from missile warning and attack assessment
to management of peacetime contingencies such as Defense Support of Civil Authorities (DSCA) activities. In conjunction with monitoring the current worldwide situation, the Center alerts
the Joint Staff and other national agencies to developing crises and will initially coordinate any military response required. 43 See http://www.fema.gov/NRF for additional information.
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 57 • National Counterterrorism Center (NCTC). The NCTC serves as the primary Federal organization for
integrating and analyzing all intelligence pertaining to terrorism and counterterrorism and for conducting strategic operational planning by integrating all instruments of national power.
• Strategic Information and Operations Center (SIOC). The FBI SIOC is the focal point and operational control center for all Federal intelligence, law enforcement, and investigative
law enforcement activities related to domestic terrorist incidents or credible threats, including leading attribution investigations. The SIOC serves as an information clearinghouse
to help collect, process, vet, and disseminate information relevant to law enforcement and criminal investigation efforts in a timely manner. The SIOC maintains direct connectivity with
the NOC. The SIOC, located at FBI Headquarters, supports the FBI’s mission in leading efforts of the law enforcement community to detect, prevent, preempt, and disrupt terrorist attacks
against the United States. The SIOC maintains liaison with the National Joint Terrorism Task Force (NJTTF). The mission of the NJTTF is to enhance communications, coordination, and cooperation
among Federal, State, tribal, and local agencies representing the intelligence, law enforcement, defense, diplomatic, public safety, and homeland security communities by providing a
point of fusion for terrorism intelligence and by supporting Joint Terrorism Task Forces throughout the United States. • Other DHS Operations Centers. Depending upon the type of incident
(e.g., National Special Security Events), the operations centers of other DHS operating Components may serve as the primary operations management center in support of the Secretary.
These are the U.S. Coast Guard, Transportation Security Administration, U.S. Secret Service, and U.S. Customs and Border Protection operations centers. Emergency Support Functions (ESFs).
FEMA coordinates response support from across the Federal Government and certain NGOs by calling up, as needed, one or more of the 15 ESFs. The ESFs are coordinated by FEMA through its
NRCC. During a response, ESFs are a critical mechanism to coordinate functional capabilities and resources provided by Federal departments and agencies, along with certain private-sector
and nongovernmental organizations. They represent an effective way to bundle and funnel resources and capabilities to local, tribal, State, and other responders. These functions are
coordinated by a single agency but may rely on several agencies that provide resources for each functional area. The mission of the ESFs is to provide the greatest possible access to
capabilities of the Federal Government regardless of which agency has those capabilities. The ESFs serve as the primary operational-level mechanism to provide assistance in functional
areas such as transportation, communications, public works and engineering, firefighting, mass care, housing, human services, public health and medical services, search and rescue, agriculture
and natural resources, and energy. A list of the 15 ESFs and a description of the scope of each is found in Table 2.
CHAPTER III: RESPONSE ORGANIZATION Page 58 National Response Framework January 2008 Table 2. Emergency Support Functions and ESF Coordinators ESF #1 – Transportation ESF Coordinator:
Department of Transportation • Aviation/airspace management and control • Transportation safety • Restoration and recovery of transportation infrastructure • Movement restrictions •
Damage and impact assessment ESF #2 – Communications ESF Coordinator: DHS (National Communications System) • Coordination with telecommunications and information technology industries
• Restoration and repair of telecommunications infrastructure • Protection, restoration, and sustainment of national cyber and information technology resources • Oversight of communications
within the Federal incident management and response structures ESF #3 – Public Works and Engineering ESF Coordinator: Department of Defense (U.S. Army Corps of Engineers) • Infrastructure
protection and emergency repair • Infrastructure restoration • Engineering services and construction management • Emergency contracting support for life-saving and life-sustaining services
ESF #4 – Firefighting ESF Coordinator: Department of Agriculture (U.S. Forest Service) • Coordination of Federal firefighting activities • Support to wildland, rural, and urban firefighting
operations ESF #5 – Emergency Management ESF Coordinator: DHS (FEMA) • Coordination of incident management and response efforts • Issuance of mission assignments • Resource and human
capital • Incident action planning • Financial management ESF #6 – Mass Care, Emergency Assistance, Housing, and Human Services ESF Coordinator: DHS (FEMA) • Mass care • Emergency assistance
• Disaster housing • Human services ESF #7 – Logistics Management and Resource Support ESF Coordinator: General Services Administration and DHS (FEMA) • Comprehensive, national incident
logistics planning, management, and sustainment capability • Resource support (facility space, office equipment and supplies, contracting services, etc.)
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 59 ESF #8 – Public Health and Medical Services ESF Coordinator: Department of Health and Human Services
• Public health • Medical • Mental health services • Mass fatality management ESF #9 – Search and Rescue ESF Coordinator: DHS (FEMA) • Life-saving assistance • Search and rescue operations
ESF #10 – Oil and Hazardous Materials Response ESF Coordinator: Environmental Protection Agency • Oil and hazardous materials (chemical, biological, radiological, etc.) response • Environmental
short-and long-term cleanup ESF #11 – Agriculture and Natural Resources ESF Coordinator: Department of Agriculture • Nutrition assistance • Animal and plant disease and pest response
• Food safety and security • Natural and cultural resources and historic properties protection • Safety and well-being of household pets ESF #12 – Energy ESF Coordinator: Department
of Energy • Energy infrastructure assessment, repair, and restoration • Energy industry utilities coordination • Energy forecast ESF #13 – Public Safety and Security ESF Coordinator:
Department of Justice • Facility and resource security • Security planning and technical resource assistance • Public safety and security support • Support to access, traffic, and crowd
control ESF #14 – Long-Term Community Recovery ESF Coordinator: DHS (FEMA) • Social and economic community impact assessment • Long-term community recovery assistance to States, tribes,
local governments, and the private sector • Analysis and review of mitigation program implementation ESF #15 – External Affairs ESF Coordinator: DHS • Emergency public information and
protective action guidance • Media and community relations • Congressional and international affairs • Tribal and insular affairs
CHAPTER III: RESPONSE ORGANIZATION Page 60 National Response Framework January 2008 Each ESF is comprised of a coordinator and primary and support agencies. The Framework identifies
primary agencies on the
basis of authorities, resources, and capabilities. Support agencies are assigned based on resources and capabilities in a given functional area. The resources provided by the ESFs are
consistent with resource-typing categories identified in the NIMS. ESFs may be selectively activated for both Stafford Act and non-Stafford Act incidents under circumstances as defined
in HSPD-5. Not all incidents requiring Federal support result in the activation of ESFs. FEMA can deploy assets and capabilities through ESFs into an area in anticipation of an approaching
storm or event that is expected to cause a significant impact and result. This coordination through ESFs allows FEMA to position Federal support for a quick response, though actual assistance
cannot normally be provided until the Governor requests and receives a Presidential major disaster or emergency declaration. Many States have also organized an ESF structure along this
approach. When ESFs are activated, they may have a headquarters, regional, and field presence. At FEMA headquarters, the ESFs support decisionmaking and coordination of field operations
within the NRCC. The ESFs deliver a broad range of technical support and other services at the regional level in the Regional Response Coordination Centers, and in the Joint Field Office
and Incident Command Posts, as required by the incident. At all levels, FEMA issues mission assignments to obtain resources and capabilities from across the ESFs in support of the State.44
The ESFs plan and support response activities. At the headquarters, regional, and field levels, ESFs provide staff to support the incident command sections for operations, planning,
logistics, and finance/administration, as requested. The incident command structure enables the ESFs to work collaboratively. For example, if a State requests assistance with a mass
evacuation, the JFO would request personnel from ESF #1 (Transportation), ESF #6 (Mass Care, Emergency Assistance, Housing, and Human Services), and ESF #8 (Public Health and Medical
Services). These would then be integrated into a single branch or group within the Operations Section to ensure effective coordination of evacuation services. The same structures are
used to organize ESF response at the field, regional, and headquarters levels. To support an effective response, all ESFs are required to have both strategic and more-detailed operational
plans that include all participating organizations and engage the private sector and NGOs as appropriate. The ongoing support, coordination, and integration of ESFs and their work are
core responsibilities of FEMA in its response leadership role for DHS. 44 Additional information on the mission assignment process is contained in the Financial Management Support Annex,
which is available via the NRF Resource Center at http://www.fema.gov/NRF.
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 61 Support and Incident Annexes. Other mechanisms by which support is harnessed among Federal, private-sector,
and NGO partners are the Support and Incident Annexes. By serving as coordinating or cooperating agencies for various Support or Incident Annexes, Federal departments and agencies conduct
a variety of activities to include managing specific functions and missions or providing overarching Federal support within their functional areas. Specifics on these positions are provided
in the Introductions to the Support and Incident Annexes at the NRF Resource Center. REGIONAL SUPPORT STRUCTURE FEMA Regional Offices. FEMA has 10 regional offices, each headed by a
Regional Administrator. The regional field structures are FEMA’s permanent presence for communities and States across the Nation. The staff at these offices support development of all-hazards
operational plans and generally help States and communities become better prepared. These regional offices mobilize Federal assets and evaluation teams to work with State and local agencies.
Many of FEMA’s most experienced response personnel are employed at regional offices. Each of FEMA’s regional offices maintains a Regional Response Coordination Center (RRCC). The RRCCs
are 24/7 coordination centers that expand to become an interagency facility staffed by ESFs in anticipation of a serious incident in the region or immediately following an incident.
Operating under the direction of the FEMA Regional Administrator, the RRCCs coordinate Federal regional response efforts, and maintain connectivity with State EOCs, State fusion centers,
Federal Executive Boards, and other Federal and State operations and coordination centers that have potential to contribute to development of situational awareness. Ongoing RRCC operations
transition to a JFO once it is established, so that the RRCC can remain ready to deal with new incidents. Other Federal departments and agencies have regional or field field offices
that may participate with State, tribal, and local governments in planning for incidents under their jurisdiction and provide initial response assets to the incident. FIELD SUPPORT STRUCTURE
Initial Response. Depending upon the type and scope of incident, in coordination with State and local agencies, Federal assets may be dispatched during the first hours following an incident.
Of course, in some cases, the proximity of Federal response employees already working in a community may be able to deliver Federal support that ranges from experienced and professional
emergency management teams to other temporary and ad hoc assistance. Figure 7. FEMA Regions
CHAPTER III: RESPONSE ORGANIZATION Page 62 National Response Framework January 2008 Following a Presidential disaster declaration, a wide array of Federal assets can be deployed as needed.
For example, FEMA may deploy Incident Management Assistance Teams (IMATs), which are interagency, regionally based response teams that provide a forward Federal presence to improve response
to serious incidents. The IMATs support efforts to meet the emergent needs of State and local jurisdictions, possess the capability to provide initial situational awareness for Federal
decisionmakers, and support the establishment of Federal coordination efforts with the State. Other initial response and coordination tools deployed by FEMA in conjunction with declared
emergencies and disasters include: • Hurricane Liaison Team (HLT). The HLT is a small team designed to enhance hurricane disaster response by facilitating information exchange between
the National Hurricane Center in Miami and other National Oceanic and Atmospheric Administration components, as well as Federal, State, tribal, and local government officials. • Urban
Search and Rescue (US&R) Task Forces. The National US&R Response System is a framework for structuring local emergency services personnel into integrated response task forces. The 28
National US&R Task Forces, complete with the necessary tools, equipment, skills, and techniques, can be deployed by FEMA to assist State, tribal, and local governments in rescuing victims
of structural collapse incidents or to assist in other search and rescue missions. Each task force must have all its personnel and equipment at the embarkation point within 6 hours of
activation. The task force can be dispatched and en route to its destination within a matter of hours. • Mobile Emergency Response Support (MERS). The primary function of MERS is to
provide mobile telecommunications capabilities and life, logistics, operational, and power-generation support required for the on-site management of response activities. MERS support
falls into three broad categories: (1) operational support elements, (2) communications equipment and operators, and (3) logistics support. MERS supports Federal, State, tribal, and
local responders in their efforts to save lives, protect property, and coordinate response operations. Staged in six strategic locations, one with offshore capabilities, the MERS detachments
can concurrently support multiple field operating sites within an incident area. Joint Field Office (JFO). The JFO is the primary Federal incident management field structure. The JFO
is a temporary Federal facility that provides a central location for the coordination of Federal, State, tribal, and local governments and private-sector and nongovernmental organizations
with primary responsibility for response and recovery. The JFO structure is organized, staffed, and managed in a manner consistent with NIMS principles and is led by the Unified Coordination
Group. Although the JFO uses an ICS structure, the JFO does not manage on-scene operations. Instead, the JFO focuses on providing support to on-scene efforts and conducting broader support
operations that may extend beyond the incident site. Personnel from Federal and State departments and agencies, other jurisdictional entities, the private sector, and NGOs may be requested
to staff various levels of the JFO, depending on the requirements of the incident. When incidents impact the entire Nation or multiple States or localities, multiple JFOs may be established.
In these
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 63 situations, coordination will occur following the principles of Unified Area Command. The physical
location of such a coordination entity depends on the situation. As the primary field structure, the JFO provides the organizing structure to integrate diverse Federal authorities and
capabilities and coordinate Federal response and recovery operations. For additional information on staffing and procedures, see the JFO Standard Operating Procedure.45 The JFO is internally
organized and operated using the concepts and principles of the NIMS. The figure below represents an overview of the JFO and its key components. Figure 8. Joint Field Office 45 This
and other Standard Operating Procedures are available at the NRF Resource Center, http://www.fema.gov/NRF.
CHAPTER III: RESPONSE ORGANIZATION Page 64 National Response Framework January 2008 Unified Coordination Group. The JFO is led by the Unified Coordination Group, which is comprised of
specified senior leaders representing State and Federal interests, and in certain circumstances tribal governments, local jurisdictions, the private sector, or NGOs. The Unified Coordination
Group typically consists of the Principal Federal Official (if designated), Federal Coordinating Officer (FCO), State Coordinating Officer, and senior officials from other entities with
primary statutory or jurisdictional responsibility and significant operational responsibility for an aspect of an incident (e.g., the Senior Health Official, Department of Defense representative,
or Senior Federal Law Enforcement Official if assigned). Within the Unified Coordination Group, the FCO is the primary Federal official responsible for coordinating, integrating, and
synchronizing Federal response activities. The composition of the Unified Coordination Group will vary, depending upon the scope and nature of the incident and the assets deployed in
support of the affected jurisdiction. The JFO structure normally includes a Unified Coordination Staff. The Unified Coordination Group determines the extent of staffing based on the
type and magnitude of the incident. See the JFO Standard Operating Procedure for further details on these and other Federal staff positions supporting the field operation. Infrastructure
Liaison. The Infrastructure Liaison is assigned by the DHS Office of Infrastructure Protection and advises the Unified Coordination Group on regionally or nationally significant CIKR
issues.46 Safety Officer. The JFO Safety Officer is the senior advisor on all occupational safety and health concerns affecting and arising from the incident. The JFO is organized into
four sections based on the ICS standard organization as follows: • Operations Section. The Operations Section coordinates operational support with on-scene incident management efforts.
Branches, divisions, and groups may be added or deleted as required, depending on the nature of the incident. The Operations Section is also responsible for coordinating with other Federal
facilities that may be established to support incident management activities. • Planning Section. The Planning Section’s functions include the collection, evaluation, dissemination,
and use of information regarding the threat or incident and the status of Federal resources. The Planning Section prepares and documents Federal support actions and develops unified
action, contingency, long-term, and other plans. • Logistics Section. The Logistics Section coordinates logistics support that includes: control of and accountability for Federal supplies
and equipment; resource ordering; delivery of equipment, supplies, and services to the JFO and other field locations; facility location, setup, space management, building services, and
general facility operations; transportation coordination and fleet management services; information and technology systems services; administrative services such as mail management and
reproduction; and customer assistance. 46 For more information see the CIKR Support Annex, available at the NRF Resource Center, http://www.fema.gov/NRF.
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 65 • Finance and Administration Section. The Finance and Administration Section is responsible for the
financial management, monitoring, and tracking of all Federal costs relating to the incident and the functioning of the JFO while adhering to all Federal laws and regulations. All or
portions of this organizational structure may be activated based on the nature and magnitude of the threat or incident. Depending on the scope and nature of the incident, the Unified
Coordination Group identifies what Federal capabilities are needed and requests Federal staff from these areas to support the JFO structure. The JFO is the primary, but not the only,
Federal field structure. Presidential directives47 and other authorities outline the primary areas of responsibility that guide Federal support at national, regional, and field levels.
The field structures are designed to implement these lanes of responsibility and provide coordination to to ensure an effective response. In addition to the JFO, these include: • Joint
Operations Center (JOC). The JOC is an interagency command post established by the FBI to manage terrorist threats or incidents and investigative and intelligence activities. The JOC
coordinates the necessary local, State, and Federal assets required to support the investigation, and to prepare for, respond to, and resolve the threat or incident.48• Joint Information
Center (JIC). The JIC is responsible for the coordination and dissemination of information for the public and media concerning an incident. JICs may be established locally, regionally,
or nationally depending on the size and magnitude of the incident. The JIC is established at or virtually connected to the JFO, through the ESF #15 – External Affairs staff. JICs may
be established at multiple locations if the nature and magnitude of the incident require. Co-location of the Federal, State, tribal, and local JICs is encouraged. There may be additional
field structures. structures. These facilities should be co-located to the extent possible, or otherwise established in close proximity. While these structures may not be physically
co-located, they will, when and if established, maintain connectivity to share information and remain aligned in purpose and intent. Each coordination center will normally assign liaisons
to each of the other coordination centers to ensure alignment. FIELD SUPPORT ROLES The Federal team that assembles to provide unified coordination is composed of multiple senior leaders
performing supporting roles tailored to the specific event. Not all of these will be deployed at every incident that involves a Federal response. 47 HSPD-5, “Management of Domestic Incidents”
48 For detail on the relationship between the JOC and the JFO, see the Terrorism Incident Law Enforcement Annex, available at the NRF Resource Center, http://www.fema.gov/NRF.
CHAPTER III: RESPONSE ORGANIZATION Page 66 National Response Framework January 2008 Obviously, not all Federal response efforts come with Stafford Act funding and the full array of Stafford
Act staffing. However, a Stafford Act incident, such as a large hurricane or earthquake, will generate a very disciplined and scripted deployment. An equally disciplined yet different
array of Federal personnel and alternative leadership positions may be deployed for other non-Stafford Act incidents. All necessary staffing options are provided for by the Framework
and anticipated with its various incident scenario plans. For example, a mass migration event in the Gulf of Mexico would entail a U.S. Coast Guard response lead. An oil spill for which
the Coast Guard has cleanup responsibility under the Oil Pollution Act of 1990 does not result in establishment of a JFO, but it employs similar organizational structures under the leadership
of the Coast Guard’s On-Scene Coordinator.49 Alternatively, the criminal investigation following a car bomb attack on an airport will be directed by the Attorney General, and would closely
involve the Transportation Security Administration from the moment of an explosion to institute appropriate airport security measures, yet may not generate a Stafford Act declaration.
Key senior Federal officials that typically may be deployed with a Federal incident management team include those discussed below. Principal Federal Official (PFO). By law and by Presidential
directive, the Secretary of Homeland Security is the principal Federal official responsible for coordination of all domestic incidents requiring multiagency Federal response. The Secretary
may elect to designate a single individual to serve as his or her primary representative to ensure consistency of Federal support as well as the overall effectiveness of the Federal
incident management. When appointed, such an individual serves in the field as the PFO for the incident. Congress has provided that, notwithstanding the general prohibition on appointing
a PFO for Stafford Act incidents, “there may be instances in which FEMA should not be the lead agency in charge of the response, such as a pandemic outbreak or an Olympic event.” In
such cases, the Secretary may assign a PFO. Congress also recognized that there may be “major non-Stafford Act responses that may include a Stafford Act component.” In such cases, also,
the Secretary may assign a PFO. The Secretary will only appoint a PFO for catastrophic or unusually complex incidents that require extraordinary coordination. When appointed, the PFO
interfaces with Federal, State, tribal, and local jurisdictional officials regarding the overall Federal incident management strategy and acts as the primary Federal spokesperson for
coordinated media and public communications. The PFO serves as a member of the Unified Coordination Group and provides a primary point of contact and situational awareness locally for
the Secretary of Homeland Security. A PFO is a senior Federal official with proven management experience and strong leadership capabilities. The PFO deploys with a small, highly trained
mobile support staff. Both the PFO and support staff undergo specific training prior to appointment to their respective positions. Once formally designated for an ongoing incident, a
PFO relinquishes the conduct of all previous duties to focus exclusively on his or her incident management responsibilities. 49 See U.S. Coast Guard Marine Safety Manual, available at
http://www.uscg.mil/hq/g-m/nmc/pubs/msm.
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 67 The same individual will not serve as the Principal Federal Official and the Federal Coordinating
Officer (see below) at the same time for the same incident. When both positions are assigned, the FCO will have responsibility for administering Stafford Act authorities, as described
below. The Secretary is not restricted to DHS officials when selecting a PFO. The PFO does not direct or replace the incident command structure established at the incident. Nor does
the PFO have directive authority over a Federal Coordinating Officer, a Senior Federal Law Enforcement Official, a DOD Joint Task Force Commander, or any other Federal or State official.
Other Federal incident management officials retain their authorities as defined in existing statutes and directives. Rather, the PFO promotes collaboration and, as possible, resolves
any Federal interagency conflict that may arise. The PFO identifies and presents to the Secretary of Homeland Security any policy issues that require resolution. Federal Coordinating
Officer (FCO). For Stafford Act incidents (i.e., emergencies or major disasters), upon the recommendation of the FEMA Administrator and the Secretary of Homeland Security, the President
appoints an FCO. The FCO is a senior FEMA official trained, certified, and well experienced in emergency management, and specifically appointed to coordinate Federal support in the response
to and recovery from emergencies and major disasters. The FCO executes Stafford Act authorities, including commitment of FEMA resources and the mission assignment of other Federal departments
or agencies. If a major disaster or emergency declaration covers a geographic area that spans all or parts of more than one State, the President may decide to appoint a single FCO for
the entire incident, with other individuals as needed serving as Deputy FCOs. In all cases, the FCO represents the FEMA Administrator in the field to discharge all FEMA responsibilities
for the response and recovery efforts underway. For Stafford Act events, the FCO is the primary Federal representative with whom the SCO and other State, tribal, and local response officials
interface to determine the most urgent needs and set objectives for an effective response in collaboration with the Unified Coordination Group. In Stafford Act incidents, the FCO is
the focal point of coordination within the Unified Coordination Group, ensuring overall integration of Federal emergency management, resource allocation, and seamless integration of
Federal activities in support of, and in coordination with, State, tribal, and local requirements. Some FCOs are given additional, specialized training regarding unusually complex incidents.
For example, one may be further trained for catastrophic earthquake response, whereas another might cultivate unique skills for response related to weapons of mass destruction or pandemic
influenza. Pre-Designated PFOs and FCOs. In certain scenarios, the Secretary of Homeland Security may pre-designate a PFO and/or FCO. Such pre-designation can focus on specified geographic
areas or be based on specific potential threats – or a combination of both. For example, beginning in 2007, the Secretary pre-designated a national PFO and five regional PFOs together
with a national FCO and regional FCOs, who will serve in the event of a nationwide outbreak of pandemic influenza or other similar nationwide biological event.
CHAPTER III: RESPONSE ORGANIZATION Page 68 National Response Framework January 2008 Pre-designation of these leadership teams is allowing for sustained advance planning conducted with
State, tribal, and local leaders. Federal Resource Coordinator (FRC). In non-Stafford Act situations, when a Federal department or agency acting under its own authority has requested
the assistance of the Secretary of Homeland Security to obtain support from other Federal departments and agencies, DHS may designate an FRC. In these situations, the FRC coordinates
support through interagency agreements and memorandums of understanding. Relying on the same skill set, DHS may select the FRC from the FCO cadre or other personnel with equivalent knowledge,
skills, and abilities. The FRC is responsible for coordinating timely delivery of resources to the requesting agency. Defense Coordinating Officer (DCO). DOD has appointed 10 DCOs and
assigned one to each FEMA region. If requested and approved, the DCO serves as DOD's single point of contact at the JFO for requesting assistance from DOD. With few exceptions, requests
for Defense Support of Civil Authorities (DSCA) originating at the JFO are coordinated with and processed through the DCO. The DCO may have a Defense Coordinating Element consisting
of a staff and military liaison officers to facilitate coordination and support to activated ESFs. Specific responsibilities of the DCO (subject to modification based on the situation)
include processing requirements for military support, forwarding mission assignments to the appropriate military organizations through DOD-designated channels, and assigning military
liaisons, as appropriate, to activated ESFs. Senior Federal Law Enforcement Official (SFLEO). The SFLEO is an official appointed by the Attorney General during an incident requiring
a coordinated Federal response to coordinate all law enforcement, public safety, and security operations with intelligence or investigative law enforcement operations directly related
to the incident. The SFLEO is a member of the Unified Coordination Group and, as such, is responsible to ensure that allocation of law enforcement requirements and resource allocations
are coordinated as appropriate with all other members of the Group. In the event of a terrorist incident, the SFLEO will normally be a senior FBI official who has coordinating authority
over all law enforcement activities related to the incident, both those falling within the Attorney General’s explicit authority as recognized in HSPD-5 and those otherwise directly
related to the incident itself. Joint Task Force (JTF) Commander. Based on the complexity and type of incident, and the anticipated level of DOD resource involvement, DOD may elect to
designate a JTF to command Federal (Title 10) military activities in support of the incident objectives. If a JTF is established, consistent with operational requirements, its command
and control element will be co-located with the senior on-scene leadership at the JFO to ensure coordination and unity of effort. The co-location of the JTF command and control element
does not replace the requirement for a DCO/Defense Coordinating Element as part of the JFO Unified Coordination Staff. The DCO remains the DOD single point of contact in the JFO for
requesting assistance from DOD.
CHAPTER III: RESPONSE ORGANIZATION January 2008 National Response Framework Page 69 The JTF Commander exercises operational control of Federal military personnel and most defense resources
in a Federal response. Some DOD entities, such as the U.S. Army Corps of Engineers, may respond under separate established authorities and do not provide support under the operational
control of a JTF Commander. Unless federalized, National Guard forces remain under the control of a State Governor. Close coordination between Federal military, other DOD entities, and
National Guard forces in a response is critical. Other Senior Officials. Based on the scope and nature of an incident, senior officials from other Federal departments and agencies, State,
tribal, or local governments, and the private sector or NGOs may participate in a Unified Coordination Group. Usually, the larger and more complex the incident, the greater the number
of entities represented.
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January 2008 National Response Framework Page 71 CHAPTER IV PLANNING: A CRITICAL ELEMENT OF EFFECTIVE RESPONSE This chapter emphasizes the importance of planning as the cornerstone of
national preparedness and briefly summarizes planning structures that are relevant to the Framework. Federal, State, tribal, and local government planning is mutually supportive. Planning
for low-probability, high-consequence scenarios is a Federal focus and complements a State, tribal, and local focus on more likely and frequently experienced smaller-scale events. THE
FRAMEWORK AND PLANNING Planning across the full range of homeland security operations is an inherent responsibility of every level of government. This Framework fosters unity of effort
for emergency operations planning by providing common doctrine and purpose. A plan is a continuous, evolving instrument of anticipated actions that maximize opportunities and guide response
operations. Since planning is an ongoing process, a plan is an interim product
based on information and understanding at the moment, and is subject to revision. That is why plans are best described as “living” documents. THE VALUE OF PLANNING Planning provides
three principal benefits: (1) it allows jurisdictions to influence the course of events in an emergency by determining in advance the actions, policies, and processes that will be followed;
(2) it guides other preparedness activities; and (3) it contributes to unity of effort by providing a common blueprint for activity in the event of an emergency. Planning is a foundational
element of both preparedness and response and thus is an essential homeland security activity. Emergency planning is a national priority, as reflected in the National Preparedness Guidelines.50
50 HSPD-8, “National Preparedness,” required the development of the National Preparedness Goal, since renamed the National Preparedness Guidelines.
CHAPTER IV: PLANNING: A CRITICAL ELEMENT OF EFFECTIVE RESPONSE Page 72 National Response Framework January 2008 NATIONAL PREPAREDNESS ARCHITECTURE A great deal has been accomplished
in developing a rigorous national preparedness architecture that enables all levels of government to successfully plan for response operations. These efforts have yielded the National
Preparedness Guidelines; the National Infrastructure Protection Plan (NIPP) and 17 sector-specific plans to protect critical infrastructure; the National Incident Management System (NIMS);
National Continuity policies and directives; a coordinated National Exercise Schedule; and support through an extensive portfolio of grant programs. A national focus on preparedness
is imperative to develop the capabilities that empower the Framework and response planning. The National Preparedness Guidelines and the NIPP focus on preparedness activities conducted
in the absence of a specific threat or hazard. The Framework uses these programs and investments to build the capacity to respond to all manner and magnitude of threats and hazards.
The National Preparedness Guidelines are comprised of four critical elements: • The National Preparedness Vision provides a concise statement of the core preparedness goal for the Nation.
• The National Planning Scenarios are planning tools that represent a minimum number of credible scenarios depicting the range of potential terrorist attacks and natural disasters and
related impacts facing our Nation. They form a basis for coordinated Federal planning, training, and exercises. • The Universal Task List is a menu of unique tasks that link strategies
to prevention, protection, response, and recovery tasks for the major events represented by the National Planning Scenarios. It provides a common vocabulary of critical tasks that support
development of essential capabilities among organizations at all levels. The List was used to assist in creating the Target Capabilities List. • The Target Capabilities List defines
specific capabilities that all levels of government should possess in order to respond effectively to incidents. The NIPP and its 17 sector-specific plans create a system for protection
of critical infrastructure and key resources that includes both the public and private sectors. It establishes protection standards and objectives developed in partnership with each
of the 17 sectors, and creates consultative mechanisms, including those for sharing key threat information, with the private sector which owns or operates most of the Nation’s critical
infrastructure. Publication of these strategic documents – supported by others developed at the Federal, State, tribal, and local levels – defines the essential architecture of our national
preparedness system and marks a significant milestone in post-9/11 preparedness.
CHAPTER IV: PLANNING: A CRITICAL ELEMENT OF EFFECTIVE RESPONSE January 2008 National Response Framework Page 73 THE FEDERAL PLANNING STRUCTURE The Federal planning structure supports
the Framework and the State, tribal, and local planning structure through the National Preparedness Guidelines, including the National Planning Scenarios and core capabilities; the NIMS;
the NIPP and sector-specific plans; Federal strategic and concept plans for each set of National Planning Scenarios, supported by department and agency operations plans; National Continuity
policies and directives; and a National Exercise Schedule that incorporates Federal, State, tribal, and local exercises. The National Planning Scenarios are the focus of Federal planning
efforts. They represent examples of the gravest dangers facing the United States and have been accorded the highest priority for Federal planning. Using a shared set of scenarios provides
a common yardstick for determining how to achieve expected planning results. Homeland Security Presidential Directive 8, “National Preparedness,” Annex I (National Planning), describes
use of the National Planning Scenarios. The 15 scenarios have been grouped into 8 key scenario sets that reflect common characteristics in order to integrate planning for like events,
and to conduct cross-cutting capability development. The scenarios will be updated and amended on a biennial basis using risk-based analysis to ascertain the most likely or most dangerous
threats to the homeland. Building on the principles described within the Framework, the Federal planning structure calls for three levels of Federal plans for each National Planning
Scenario: • A Strategic Guidance Statement and Strategic Plan that together define the broad national strategic objectives; delineate authorities, roles, and responsibilities; determine
required capabilities; and develop performance and effectiveness measures essential to prevent, protect against, respond to, and recover from domestic incidents. • A National-Level Interagency
Concept Plan (CONPLAN) that describes the concept of operations for integrating and synchronizing Federal capabilities to accomplish critical tasks, and describes how Federal capabilities
will be integrated into and support regional, State, and local plans to meet the objectives described in the Strategic Plan. • Federal Department and Agency Operations Plans (OPLANs)
developed by and for each Federal department or agency describing detailed resource, personnel, and asset allocations necessary to support the concept of operations detailed in the CONPLAN.
The Framework and planning structure leverage existing plans and planning activities. For example, pandemic influenza is one of the scenarios in the Guidelines. A National Strategy for
Pandemic Influenza was published in November 2005 for this scenario.51 51 See http://www.whitehouse.gov/homeland/pandemic-influenza.html. It included extensive public comment and collaboration
with public health and emergency management professionals at all levels. That document is available at the NRF Resource Center in support of the Framework. A detailed concept of operations
consistent with the Framework has been drafted, and each department and agency has drafted individual operational plans that describe how they will employ specific resources, personnel,
and assets.
CHAPTER IV: PLANNING: A CRITICAL ELEMENT OF EFFECTIVE RESPONSE Page 74 National Response Framework January 2008 THE STATE, TRIBAL, AND LOCAL PLANNING STRUCTURE State, tribal, and local
governments have responsibility to develop detailed, robust all-hazards plans and hazard-or incident-specific annexes with supporting procedures and protocols to address their locally
identified hazards and risks. They use hazard identification and risk assessment (HIRA) to identify hazards and associated risk to persons, property, and structures and to improve protection
from natural-and human-caused hazards. HIRA serves as a foundation for planning, resource management, capability development, public education, and training and exercises. The State,
tribal, and local planning structure is supported by Federal preparedness assistance. This structure in turn supports the Framework and the Federal planning structure by building capabilities
that contribute to national response capacity. The key scenario sets represent hazards of nationwide concern. They should be included in State, tribal, and local governments’ HIRA processes
in order to ensure plans are tested against all manner and magnitude of threats and hazards, and that national planning is fully integrated and mutually supportive. In most instances,
Federal plans are implemented when a State's resources are not sufficient to cope with an incident and the Governor has requested Federal assistance. The intersection of the Federal
and State, tribal, and local plans and planning is described in the new Comprehensive Preparedness Guide (CPG) 101, “Producing Emergency Plans: A Guide for All-Hazard Emergency Operations
Planning for State, Territorial, Local and Tribal Governments,” which replaces State and Local Guide (SLG) 101, “Guide for All-Hazards Emergency Operations Planning.” CRITERIA FOR SUCCESSFUL
PLANNING The Framework employs common criteria to measure key aspects of response planning: • Acceptability. A plan is acceptable if it can meet the requirements of anticipated scenarios,
can be implemented within the costs and timeframes that senior officials and the public can support, and is consistent with applicable laws. • Adequacy. A plan is adequate if it complies
with applicable planning guidance, planning assumptions are valid and relevant, and the concept of operations identifies and addresses critical tasks specific to the plan’s objectives.
• Completeness. A plan is complete if it incorporates major actions, objectives, and tasks to be accomplished. The complete plan addresses the personnel and resources required and sound
concepts for how those will be deployed, employed, sustained, and demobilized. It also addresses timelines and criteria for measuring success in achieving objectives, and the desired
end state. Completeness of a plan can be greatly enhanced by including in the planning process all those who could be affected. • Consistency and Standardization of Products. Standardized
planning processes and products foster consistency, interoperability, and collabor
ation. CHAPTER IV: PLANNING: A CRITICAL ELEMENT OF EFFECTIVE RESPONSE January 2008 National Response Framework Page 75 • Feasibility. A plan is considered feasible if the critical tasks
can be accomplished with the resources available internally or through mutual aid, immediate need for additional resources from other sources (in the case of a local plan, from State
or Federal partners) are identified in detail and coordinated in advance, and procedures are in place to integrate and employ resources effectively from all potential providers. • Flexibility.
Flexibility and adaptability are promoted by decentralized decisionmaking and by accommodating all hazards ranging from smaller-scale incidents to wider national contingencies. • Interoperability
and Collaboration. A plan is interoperable and collaborative if it identifies other plan holders with similar and complementary plans and objectives, and supports regular collaboration
focused on integrating with those plans to optimize achievement of individual and collective goals and objectives in an incident. Table 3 shows the relationship of the scenario sets
to the National Planning Scenarios. Table 3. Relationship of Scenario Sets to Planning Scenarios Key Scenario Sets National Planning Scenarios 1. Explosives Attack – Bombing Using Improvised
Explosive Device • Scenario 12: Explosives Attack – Bombing Using Improvised Explosive Device 2. Nuclear Attack • Scenario 1: Nuclear Detonation – Improvised Nuclear Device 3. Radiological
Attack – Radiological Dispersal Device • Scenario 11: Radiological Attack – Radiological Dispersal Device 4. Biological Attack – With annexes for different pathogens • Scenario 2: Biological
Attack – Aerosol Anthrax • Scenario 4: Biological Attack – Plague • Scenario 13: Biological Attack – Food Contamination • Scenario 14: Biological Attack – Foreign Animal Disease 5. Chemical
Attack – With annexes for different agents • Scenario 5: Chemical Attack – Blister Agent • Scenario 6: Chemical Attack – Toxic Industrial Chemicals • Scenario 7: Chemical Attack – Nerve
Agent • Scenario 8: Chemical Attack – Chlorine Tank Explosion 6. Natural Disaster – With annexes for different disasters • Scenario 9: Natural Disaster – Major Earthquake • Scenario
10: Natural Disaster – Major Hurricane 7. Cyber Attack • Scenario 15: Cyber Attack 8. Pandemic Influenza • Scenario 3: Biological Disease Outbreak – Pandemic Influenza
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January 2008 National Response Framework Page 77 CHAPTER V ADDITIONAL RESOURCES As indicated earlier, the National Response Framework is comprised of the core document, the Emergency
Support Function (ESF), Support, and Incident Annexes, and the Partner Guides. The Framework is supported by an online tool designed especially for emergency management practitioners,
the NRF Resource Center (http://www.fema.gov/NRF). This online resource will grow and routinely evolve in support of the Framework and those who work with it. The core Framework should
require significant change only infrequently. However, the operational planning and detailed work of developing stronger emergency management plans and capabilities will require a continued
rapid pace of change in the months and years ahead. The NRF Resource Center is intended to supply a nimble, state-of-the-art forum for sharing and encouraging such improvement. This
chapter describes how additional resources and operational information will be made available, especially to emergency management practitioners, in support of the Framework. SUPPORTING
DOCUMENTS AND THE NRF RESOURCE CENTER To assist readers in implementing the Framework, the Resource Center is an online repository of supporting documents, resources, and educational
materials. It is intended especially to assist emergency management practitioners. This repository provides a single, Web-based portal for documents, information, training materials,
and other tools needed for response partners to understand and execute their roles under the Framework. Formally cleared annexes, resources, and other reference material associated with
the Framework are posted on this portal. In addition, the Resource Center portal will be dynamic, providing links to additional preparedness resources and updating the Framework’s formal
supporting documents as necessary. The online Resource Center’s home page may be found at http://www.fema.gov/NRF. As all Resource Center postings will be routinely evaluated, updated,
and augmented, the remainder of this chapter contains a roadmap of what initially conveys from the National Response Plan (NRP) and an outline of work to come. The Resource Center contains
multiple supporting documents, including ESF, Support, and Incident Annexes and several informational documents, such as an overview of the main Stafford Act provisions, a guide to authorities
and references, and an acronym list. As noted in Chapter IV, ongoing planning activities will result in the development of additional strategic guidance and plans, which will be added
to the Resource Center upon approval and as necessary. As mentioned earlier, the Emergency Support Function Annexes group Federal resources and capabilities into functional areas that
are most frequently needed in a national response. The revised ESF Annexes reflect real-world experience. For example, at a Joint
CHAPTER V: ADDITIONAL RESOURCES Page 78 National Response Framework January 2008 Field Office, instead of working in separate ESF structures, the Operations Section Chief might establish
a mass evacuation branch or group to examine cross-cutting issues and request representatives from Transportation (ESF #1), Public Health and Medical Services (ESF #8) and Mass Care,
Emergency Assistance, Housing, and Human Services (ESF #6). This approach retains the functional expertise of ESFs but leverages cross-cutting teams to ensure an effective and integrated
response. The Support Annexes describe how Federal departments and agencies, the private sector, volunteer organizations, and NGOs coordinate and execute the common support processes
and administrative tasks required during an incident. The actions described in the Support Annexes are not limited to particular types of events, but are overarching in nature and applicable
to nearly every type of incident. In addition, they may support several ESFs. The Support Annexes provide a starting point to understand support needed under the Framework. Further assessment
is required to evaluate essential local, tribal, State, Federal, and private-sector resources needed to execute the capabilities specified by the National Preparedness Guidelines. We
will then build repeatedly on these annexes to develop support tools tailored to meet the Nation’s response requirements. The Incident Annexes describe the concept of operations to address
specific contingency or hazard situations or an element of an incident requiring specialized application of the Framework. The overarching nature of functions described in these annexes
frequently involves either support to or cooperation of all Federal departments and agencies involved in incident management efforts to ensure seamless integration of and transitions
between preparedness, prevention, response, recovery, and mitigation activities. Initial NRF Resource Center Documentation. Initial postings to the Web page supporting the Framework
Framework include the following: 1. Emergency Support Function Annexes • ESF #1 -Transportation • ESF #2 -Communications • ESF #3 -Public Works and Engineering • ESF #4 -Firefighting
• ESF #5 -Emergency Management • ESF #6 -Mass Care, Emergency Assistance, Housing, and Human Services • ESF #7 -Logistics Management and Resource Support • ESF #8 -Public Health and
Medical Services • ESF #9 -Search and Rescue • ESF #10 -Oil and Hazardous Materials Response • ESF #11 -Agriculture and Natural Resources • ESF #12 -Energy • ESF #13 -Public Safety and
Security • ESF #14 -Long-Term Community Recovery • ESF #15 -External Affairs 2. Support Annexes • Critical Infrastructure and Key Resources • Financial Management • International Coordination
• Private-Sector Coordination
CHAPTER V: ADDITIONAL RESOURCES January 2008 National Response Framework Page 79 • Public Affairs • Tribal Relations • Volunteer and Donations Management • Worker Safety and Health 3.
Incident Annexes • Biological Incident • Catastrophic Incident • Cyber Incident • Food and Agriculture Incident • Mass Evacuation Incident • Nuclear/Radiological Incident • Terrorism
Incident Law Enforcement and Investigation 4. Partner Guides • Local Government Response Partner Guide • State Response Partner Guide • Private-Sector and Nongovernmental Response Partner
Guide • Federal Response Partner Guide 5. References • Glossary of Key Terms • List of Acronyms • Authorities and References • Overview of Stafford Act • Key resource references: The
National Incident Management System; National Infrastructure Protection Plan; sector-specific plans, etc. 6. Learning Center The Framework will incorporate a learning center that includes
job aids, educational tools, links to the broader range of preparedness reports and documentation, and access to Web-based training courses. It will contain material that is routinely
evaluated and updated for accuracy and currency. EFFECTIVE DATE AND FRAMEWORK IMPLEMENTATION The National Response Framework builds upon and supersedes the National Response Plan (December
2004, as amended May 2006). The changes reflected in this document are not substantively dramatic, and in no regard does this Framework alter the basic NIMS-based structures adopted
for field-based incident management structures and activities. Because the Framework builds on capabilities developed under the NRP, its implementation will be streamlined and requirements
for new training will be minimal. The effective date for implementation will be 60 days after final publication.
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January 2008 National Response Framework Page 81 ACRONYMS CIKR: Critical Infrastructure and Key Resources CONPLAN: [National-Level Interagency] Concept Plan CPG: Comprehensive Preparedness
Guide CSG: Counterterrorism Security Group DCO: Defense Coordinating Officer DHS: Department of Homeland Security DOD: Department of Defense DRG: Domestic Readiness Group DSCA: Defense
Support of Civil Authorities EMAC: Emergency Management Assistance Compact EOC: Emergency Operations Center ESF: Emergency Support Function FBI: Federal Bureau of Investigation FCO:
Federal Coordinating Officer FEMA: Federal Emergency Management Agency FRC: Federal Resource Coordinator HIRA: Hazard Identification and Risk Assessment HLT: Hurricane Liaison Team HSC:
Homeland Security Council HSEEP: Homeland Security Exercise and Evaluation Program HSIN: Homeland Security Information Network HSPD: Homeland Security Presidential Directive ICS: Incident
Command System IMAT: Incident Management Assistance Team IMT: Incident Management Team JFO: Joint Field Office JIC: Joint Information Center JOC: Joint Operations Center JTF: Joint Task
Force MACS: Multiagency Coordination System MERS: Mobile Emergency Response Support NCTC: National Counterterrorism Center NGO: Nongovernmental Organization NICC: National Infrastructure
Coordinating Center NIMS: National Incident Management System NIPP: National Infrastructure Protection Plan NJTTF: National Joint Terrorism Task Force NMCC: National Military Command
Center NOC: National Operations Center NRCC: National Response Coordination Center NRF: National Response Framework NRP: National Response Plan NSC: National Security Council OPLAN:
Operations Plan P.L.: Public Law PFO: Principal Federal Official RRCC: Regional Response Coordination Center SCO: State Coordinating Officer SIOC: Strategic Information and Operations
Center SLG: State and Local Guide SFLEO: Senior Federal Law Enforcement Official U.S.C.: U.S. Code US&R: Urban Search and Rescue [National] VOAD: Voluntary Organizations Active in Disaster
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Communications Act of 1934 1 COMMUNICATIONS ACT OF 1934 AN ACT To provide for the regulation of interstate and foreign communication by wire or radio, and for other purposes. Be it enacted
by the Senate and House of Representatives of the United States of America in Congress assembled, TITLE I--GENERAL PROVISIONS SEC. 1. [47 U.S.C. 151] PURPOSES OF ACT, CREATION OF FEDERAL
COMMUNICATIONS COMMISSION. For the purpose of regulating interstate and foreign commerce in communication by wire and radio so as to make available, so far as possible, to all the people
of the United States, without discrimination on the basis of race, color, religion, national origin, or sex, a rapid, efficient, Nationwide, and world-wide wire and radio communication
service with adequate facilities at reasonable charges, for the purpose of the national defense, for the purpose of promoting safety of life and property through the use of wire and
radio communication, and for the purpose of securing a more effective execution of this policy by centralizing authority heretofore granted by law to several agencies and by granting
additional authority with respect to interstate and foreign commerce in wire and radio communication, there is hereby created a commission to be known as the ''Federal Communications
Commission,'' which shall be constituted as hereinafter provided, and which shall execute and enforce the provisions of this Act. SEC. 2. [47 U.S.C. 152] APPLICATION OF ACT. (a) The
provisions of this act shall apply to all interstate and foreign communication by wire or radio and all interstate and foreign transmission of energy by radio, which originates and/or
is received within the United States, and to all persons engaged within the United States in such communication or such transmission of energy by radio, and to the licensing and regulating
of all radio stations as hereinafter provided; but it shall not apply to persons engaged in wire or radio communication or transmission in the Canal Zone, or to wire or radio communication
or transmission wholly within the Canal Zone. The provisions of this Act shall apply with respect to cable service, to all persons engaged within the United States in providing such
service, and to the facilities of cable operators which relate to such service, as provided in title VI. (b) Except as provided in sections 223 through 227, inclusive, and section 332,
and subject to the provisions of section 301 and title VI, nothing in this Act shall be construed to apply or to give
Communications Act of 1934 2 the Commission jurisdiction with respect to (1) charges, classifications, practices, services, facilities, or regulations for or in connection with intrastate
communication service by wire or radio of any carrier, or (2) any carrier engaged in interstate or foreign communication solely through physical connection with the facilities of another
carrier not directly or indirectly controlling or controlled by, or under direct or indirect common control with such carrier, or (3) any carrier engaged in interstate or foreign communication
solely through connection by radio, or by wire and radio, with facilities, located in an adjoining State or in Canada or Mexico (where they adjoin the State in which the carrier is doing
business), of another carrier not directly or indirectly controlling or controlled by, or under direct or indirect common control with such carrier, or (4) any carrier to which clause
(2) or clause (3) would be applicable except for furnishing interstate mobile radio radio communication service or radio communication service to mobile stations on land vehicles in
Canada or Mexico; except that sections 201 through 205 of this Act, both inclusive, shall, except as otherwise provided therein, apply to carriers described in clauses (2), (3), and
(4). SEC. 3. [47 U.S.C. 153] DEFINITIONS. For the purposes of this Act, unless the context otherwise requires--(1) AFFILIATE.--The term ''affiliate'' means a person that (directly or
indirectly) owns or controls, is owned or controlled by, or is under common ownership or control with, another person. For purposes of this paragraph, the term ''own'' means to own an
equity interest (or the equivalent thereof) of more than 10 percent. (2) AMATEUR STATION.--The term ''amateur station'' means a radio station operated by a duly authorized person interested
in radio technique solely with a personal aim and without pecuniary interest. (3) AT&T CONSENT DECREE.--The term ''AT&T Consent Decree'' means the order entered August 24, 1982, in the
antitrust action styled United States v. Western Electric, Civil Action No. 82-0192, in the United States District Court for the District of Columbia, and includes any judgment or order
with respect to such action entered on or after August 24, 1982. (4) BELL OPERATING COMPANY.--The term ''Bell operating company''--(A) means any of the following companies: Bell Telephone
Company of Nevada, Illinois Bell Telephone Company, Indiana Bell Telephone Company, Incorporated, Michigan Bell Telephone Company, New England Telephone and Telegraph Company, New Jersey
Bell Telephone Company, New York Telephone Company, U S West Communications Company, South Central Bell Telephone Company, Southern Bell Telephone and Telegraph Company, Southwestern
Bell Telephone Company, The Bell Telephone Company of Pennsylvania, The Chesapeake and Potomac Telephone Company, The Chesapeake and Potomac Telephone Company of Maryland, The Chesapeake
and Potomac Telephone Company of Virginia, The Chesapeake and Potomac Telephone Company of West Virginia, The Diamond State Telephone Company, The Ohio Bell Telephone Company, The Pacific
Telephone and Telegraph Company, or Wisconsin Telephone Company; and (B) includes any successor or assign of any such company that provides
Communications Act of 1934 3 wireline telephone exchange service; but (C) does not include an affiliate of any such company, other than an affiliate described in subparagraph (A) or
(B). (5) BROADCAST STATION.--The term ''broadcast station,'' ''broadcasting station,'' or ''radio broadcast station'' means a radio station equipped to engage in broadcasting as herein
defined.(6) BROADCASTING.--The term ''broadcasting''
means the dissemination of radio communications intended to be received by the public, directly or by the intermediary of relay stations.(7) CABLE SERVICE.--The term ''cable service''
has the meaning given such term in section 602. (8) CABLE SYSTEM.--The term ''cable system'' has the meaning given such term in section 602. (9) CHAIN BROADCASTING.--The term ''chain
broadcasting'' means simultaneous broadcasting of an identical program by two or more connected stations. (10) COMMON CARRIER.--The term ''common carrier'' or ''carrier'' means any person
engaged as a common carrier for hire, in interstate or foreign communication by wire or radio or in interstate or foreign radio transmission of energy, except where reference is made
to common carriers not subject to this Act; but a person engaged in radio broadcasting shall not, insofar as such person is so engaged, be deemed a common carrier. (11) CONNECTING CARRIER.--The
term ''connecting carrier'' means a carrier described in clauses (2), (3), or (4) of section 2(b). (12) CONSTRUCTION PERMIT.--The term ''construction permit'' or ''permit for construction''
means that instrument of authorization required by this Act or the rules and regulations of the Commission made pursuant to this Act for the construction of a station, or the installation
of apparatus, for the transmission of energy, or communications, or signals by radio, by whatever name the instrument may be designated by the Commission. (13) CORPORATION.--The term
''corporation'' includes any corporation, joint-stock company, or association. (14) CUSTOMER PREMISES EQUIPMENT.--The term ''customer premises equipment'' means equipment employed on
the premises of a person (other than a carrier) to originate, route, or terminate telecommunications. (15) DIALING PARITY.--The term ''dialing parity'' means that a person that is not
an affiliate of a local exchange carrier is able to provide telecommunications services in such a manner that customers have the ability to route automatically, without the use of any
access code, their telecommunications to the telecommunications services provider of the customer's designation from among 2 or more telecommunications services providers (including
such local exchange carrier). (16) EXCHANGE ACCESS.--The term ''exchange access'' means the offering of access to telephone exchange services or facilities for the purpose of the origination
or termination of telephone toll services. (17) FOREIGN COMMUNICATION.--The term ''foreign communication'' or ''foreign
Communications Act of 1934 4 transmission'' means communication or transmission from or to any place in the United States to or from a foreign country, or between a station in the United
States and a mobile station located outside the United States. (18) GREAT LAKES AGREEMENT.--The term ''Great Lakes Agreement'' means the Agreement for the Promotion of Safety on the
Great Lakes by Means of Radio in force and the regulations referred to therein. (19) HARBOR.--The term ''harbor'' or ''port'' means any place to which ships may resort for shelter or
to load or unload passengers or goods, or to obtain fuel, water, or supplies. This term shall apply to such places whether proclaimed public or not and whether natural or artifical.(20)
INFORMATION SERVICE.--The term ''information service'' means the offering of a capability for generating, acquiring, storing, transforming, processing, retrieving, utilizing, or making
available information via telecommunications, and includes electronic publishing, but does not include any use of any such capability for the management, control, or operation of a telecommunications
system or the management of a telecommunications service. (21) INTERLATA SERVICE.--The term ''interLATA service'' means telecommunications between a point located in a local access and
transport area and a point located outside such area. (22) INTERSTATE COMMUNICATION.--The term ''interstate communication'' or ''interstate transmission'' means communication or transmission
(A) from any State, Territory, or possession of the United States (other than the Canal Zone), or the District of Columbia, to any other State, Territory, or possession of the United
States (other than the Canal Zone), or the District of Columbia, (B) from or to the United States to or from the Canal Zone, insofar as such communication or transmission takes place
within the United States, or (C) between points within the United States but through a foreign country; but shall not, with respect to the provisions of title II of this Act (other other
than section 223 thereof), include wire or radio communication between points in the same State, Territory, or possession of the United States, or the District of Columbia, through any
place outside thereof, if such communication is regulated by a State commission. (23) LAND STATION.--The term ''land station'' means a station, other than a mobile station, used for
radio communication with mobile stations. (24) LICENSEE.--The term ''licensee'' means the holder of a radio station license granted or continued in force under authority of this Act.
(25) LOCAL ACCESS AND TRANSPORT AREA.--The term ''local access and transport area'' or ''LATA'' means a contiguous geographic area--(A) established before the date of enactment of the
Telecommunications Act of 1996 by a Bell operating company such that no exchange area includes points within more than 1 metropolitan statistical area, consolidated metropolitan statistical
area, or State, except as expressly permitted under the AT&T Consent Decree; or (B) established or modified by a Bell operating company after such date of enactment and approved by the
Commission. (26) LOCAL EXCHANGE CARRIER.--The term ''local exchange carrier'' means any person
Communications Act of 1934 5 that is engaged in the provision of telephone exchange service or exchange access. Such term does not include a person insofar as such person is engaged
in the provision of a commercial mobile service under section 332(c), except to the extent that the Commission finds that such service should be included in the definition of such term.
(27) MOBILE SERVICE.--The term ''mobile service'' means a radio communication service carried on between mobile stations or receivers and land stations, and by mobile stations communicating
among themselves, and includes (A) both one-way and two-way radio communication services, (B) a mobile service which provides a regularly interacting group of base, mobile, portable,
and associated control and relay stations (whether licensed on an individual, cooperative, or multiple basis) for private one-way or two-way land mobile radio communications by eligible
users over designated areas of operation, and (C) any service for which a license is required in a personal communications service established pursuant to the proceeding entitled ''Amendment
to the Commission's Rules to Establish New Personal Communications Services'' (GEN Docket No. 90-314; ET Docket No. 92-100), or any successor proceeding. (28) MOBILE STATION.--The term
''mobile station'' means a radio-communication station capable of being moved and which ordinarily does move. (29) NETWORK ELEMENT.--The term ''network element'' means a facility or
equipment used in the provision of a telecommunications service. Such term also includes features, functions, and capabilities that are provided by means of such facility or equipment,
including subscriber numbers, databases, signaling systems, and information sufficient for billing and collection or used in the transmission, routing, or other provision of a telecommunications
service.(30) NUMBER PORTABILITY.--The term ''number portability'' means the ability of users of telecommunications services to retain, at the same location, existing telecommunications
numbers without impairment of quality, reliability, or convenience when switching from one telecommunications carrier to another. (31)(A) OPERATOR.--The term ''operator'' on a ship of
the United States means, for the purpose of parts II and III of title III of this Act, a person holding a radio operator's license of the proper class as prescribed and issued by the
Commission. (B) ''Operator'' on a foreign ship means, for the purpose of part II of title III of this Act, a person holding a certificate as such of the proper class complying with the
provision of the radio regulations annexed to the International Telecommunication Convention in force, or complyng with an agreement or treaty between the United States and the country
in which the ship is registered. (32) PERSON.--The term ''person'' includes an individual, partnership, association, joint-stock company, trust, or corporation. (33) RADIO COMMUNICATION.--The
term ''radio communication'' or ''communication by radio'' means the transmission by radio of writing, signs, signals, pictures, and sounds of all kinds, including all instrumentalities,
facilities, apparatus, and services (among other things, the receipt, forwarding, and delivery of communications) incidental to such transmission. (34)(A) RADIO OFFICER.--The term ''radio
officer'' on a ship of the United States
Communications Act of 1934 6 means, for the purpose of part II of title III of this Act, a person holding at least a first or second clase radiotelegraph operator's license as prescribed
and issued by the Commission. When such person is employed to operate a radiotelegraph station aboard a ship of the United States, he is also required to be licensed as a ''radio officer''
in accordance with the Act of May 12, 1948 (46 U.S.C. 229a-h). (B) ''Radio officer'' on a foreign ship means, for the purpose of part II of title III of this Act, a person holding at
least a first or second class radiotelegraph operator's certificate complying with the provisions of the radio regulations annexed to the International Telecommunication Convention in
force. (35) RADIO STATION.--The term ''radio station'' or ''station'' means a station equipped to engage in radio communication or radio transmission of energy. (36) RADIOTELEGRAPH AUTO
ALARM.--The term ''radiotelegraph auto alarm'' on a ship of the United States subject to the provisions of part II of title III of this Act means an automatic alarm receiving apparatus
which responds to the radiotelegraph alarm signal and has been approved by the Commission. ''Radiotelegraph auto alarm'' on a foreign ship means an automatic alarm receiving apparatus
which responds to the radiotelegraph alarm signal and has been approved by the government of the country in which the ship is registered : Provide, That the United States and the country
in which the ship is registered are parties to the same treaty, convention, or agreement prescribing the requirements for such apparatus. Nothing in this Act or in any other provision
of law shall be construed to require the recognition of a radiotelegraph auto alarm as complying with part II of title III of this Act, on a foreign ship subject to such part, where
the country in which the ship is registered and the United States are not parties to the same treaty, convention, or agreements prescribing the requirements for such apparatus. (37)
RURAL TELEPHONE COMPANY.--The term ''rural telephone company'' means a local exchange carrier operating entity to the extent that such entity--(A) provides common carrier service to
any local exchange carrier study area that does not include either--(i) any incorporated place of 10,000 inhabitants or more, or any part thereof, based on the most recently available
population statistics of the Bureau of the Census; or (ii) any territory, incorporated or unincorporated, included in an urbanized area, as defined by the Bureau of the Census as of
August 10, 1993; (B) provides telephone exchange service, including exchange access, to fewer than 50,000 access lines; (C) provides telephone exchange service to any local exchange
carrier study area with fewer than 100,000 access lines; or (D) has less than 15 percent of its access lines in communities of more than 50,000 on the date of enactment of the Telecommunications
Act of 1996. (38) SAFETY CONVENTION.--The term ''safety convention'' means the International Convention for the Safety of Life at Sea in force and the regulations referred to therein.
(39)(A) SHIP.--The term ''ship'' or ''vessel'' includes every description of watercraft or
Communications Act of 1934 7 other artificial contrivance, except aircraft, used or capable of being used as a means of transportation on water, whether or not it is actually afloat.
(B) A ship shall be considered a passenger ship if it carries or is licensed or certificated to carry more than twelve passengers. (C) A cargo ship means any ship not a passenger ship.
(D) A passenger is any person carried on board a ship or vessel except (1) the officers and crew actually employed to man and operate the ship, (2) persons employed to carry on the business
of the ship, and (3) persons on board a ship when they are carried, either because of the obligation laid upon the master to carry shipwrecked, distressed, or other persons in like or
similar situations or by reason of any circumstance over which neither the master, the owner, nor the charterer (if any) has control. (E) ''Nuclear ship'' means a ship provided with
a nuclear powerplant. (40) STATE.--The term ''State'' includes the District of Columbia and the Territories and possessions. (41) STATE COMMISSION.--The term ''State commission'' means
the commission, board, or official (by whatever name designated) which under the laws of any State has regulatory jurisdiction with respect to intrastate operations of carriers. (42)
STATION LICENSE.--The term ''station license,'' ''radio station license,'' or ''license'' means that instrument of authorization required by this Act or the rules and regulations of
the Commission made pursuant to this Act, for the use or operation of apparatus for transmission of energy, or communications, or signals by radio by whatever name the instrument may
be designated by the Commission. (43) TELECOMMUNICATIONS.--The term ''telecommunications'' means the transmission, between or among points specified by the user, of information of the
user's choosing, without change in the form or content of the information as sent and received. (44) TELECOMMUNICATIONS CARRIER.--The term ''telecommunications carrier'' means any provider
of telecommunications services, except that such term does not include aggregators of telecommunications services (as defined in section 226). A telecommunications carrier shall be treated
as a common carrier under this Act only to the extent that it is engaged in providing telecommunications services, except that the Commission shall determine whether the provision of
fixed and mobile satellite service shall be treated as common carriage. (45) TELECOMMUNICATIONS EQUIPMENT.--The term ''telecommunications equipment'' means equipment, other than customer
premises equipment, used by a carrier to provide telecommunications services, and includes software integral to such equipment (including upgrades). (46) TELECOMMUNICATIONS SERVICE.--The
term ''telecommunications service'' means the offering of telecommunications for a fee directly to the public, or to such classes of users as to be effectively available directly to
the public, regardless of the facilities used. (47) TELEPHONE EXCHANGE SERVICE.--The term ''telephone exchange exchange service'' means (A) service within a telephone exchange, or within
a connected system of telephone exchanges within the same exchange area operated to furnish to subscribers
Communications Act of 1934 8 intercommunicating service of the character ordinarily furnished by a single exchange, and which is covered by the exchange service charge, or (B) comparable
service provided through a system of switches, transmission equipment, or other facilities (or combination thereof) by which a subscriber can originate and terminate a telecommunications
service. (48) TELEPHONE TOLL SERVICE.--The term ''telephone toll service'' means telephone service between stations in different exchange areas for which there is made a separate charge
not included in contracts with subscribers for exchange service. (49) TRANSMISSION OF ENERGY BY RADIO.--The term ''transmission of energy by radio'' or ''radio transmission of energy''
includes both such transmission and all instrumentalities, facilities, and services incidental to such transmission. (50) UNITED STATES.--The term ''United States'' means the several
States and Territories, the District of Columbia, and the possessions of the United States, but does not include the Canal Zone. (51) WIRE COMMUNICATION.--The term ''wire communication''
or ''communication by wire'' means the transmission of writing, signs, signals, pictures, and sounds of all kinds by aid of wire, cable, or other like connection between the points of
origin and reception of such transmission, including all instrumentalities, facilities, apparatus, and services (among other things, the receipt, forwarding, and delivery of communications)
incidental to such transmission. SEC. 4. [47 U.S.C. 154] PROVISIONS RELATING TO THE COMMISSION. (a) The Federal Communications Commission (in this Act referred to as the ''Commission'')
shall be composed of five Commissioners appointed by the President, by and with the advice and consent of the Senate, one of whom the President shall designate as chairman. (b)(1) Each
member of the Commission shall be a citizen of the United States. (2)(A) No member of the Commission or person employed by the Commission shall--(i) be financially interested in any
company or other entity engaged in the manufacture or sale of telecommunications equipment which is subject to regulation by the Commission; (ii) be financially interested in any company
or other entity engaged in the business of communication by wire or radio or in the use of the electromagnetic spectrum; (iii) be financially interested in any company or other entity
which controls any company or other entity specified in clause (i) or clause (ii), or which derives a significant portion of its total income from ownership of stocks, bonds, or other
securities of any such company or other entity; or (iv) be employed by, hold any official relation to, or own any stocks, bonds, or other securities of, any person significantly regulated
by the Commission under this Act; except that the prohibitions established in this subparagraph shall apply only to financial interests in any company or other entity which has a significant
interest in communications, manufacturing, or sales activities which are subject to regulation by the Commission. (B)(i) The Commission shall have authority to waive, from time to time,
the application of the prohibitions established in subparagraph (A) to persons employed by the Commission if the Commission determines that the financial interests of a person which
are involved in a particular case
Communications Act of 1934 9 are minimal, except that such waiver authority shall be subject to the provisions of section 208 of title 18, United States Code. The waiver authority established
in this subparagraph shall not apply with respect to members of the Commission. (ii) In any case in which the Commission exercises the waiver authority established in this subparagraph,
the Commission shall publish notice of such action in the Federal Register and shall furnish notice of such action to the appropriate committees of each House of the Congress. Each such
notice shall include information regarding the identity of the person receiving the waiver, the position held by such person, and the nature of the financial interests which are the
subject of the waiver. (3) The Commission, in determining whether a company or other entity has a significant interest in communications, manufacturing, or sales activities which are
subject to regulation by the Commission, shall consider (without excluding other relevant factors)--(A) the revenues, investments, profits, and managerial efforts directed to the related
communications, manufacturing, or sales activities of the company or other entity involved, as compared to the other aspects of the business of such company or other entity; (B) the
extent to which the Commission regulates and oversees the activities of such company or other entity; (C) the degree to which the economic interests of such company or other entity may
be affected by any action of the Commission; and (D) the perceptions held by the public regarding the business activities of such company or other entity. (4) Members of the Commission
shall not engage in any other business, vocation, profession, or employment while serving as such members. (5) The maximum number of commissioners who may be members of the same political
party shall be a number equal to the least number of commissioners which constitutes a majority of the full membership of the Commission. (c) Commissioners shall be appointed for terms
of five years and until their successors are appointed and have been confirmed and taken the oath of office, except that they shall not continue to serve beyond the expiration of the
next session of Congress subsequent to the expiration of said fixed term of office; except that any person chosen to fill a vacancy shall be appointed only for the unexpired term of
the Commissioner whom he succeeds. No vacancy in the Commission shall impair the right of the remaining commissioners to exercise all the powers of the Commission. (d) Each Commissioner
shall receive an annual salary at the annual rate payable from time to time for level IV of the Executive Schedule, payable in monthly installments. The Chairman of the Commission, during
the period of his service as Chairman, shall receive an annual salary at the annual rate payable from time to time for level III of the Executive Schedule. (e) The principal office of
the Commission shall be in the District of Columbia, where its general sessions shall be held; but whenever the convenience of the public or of the parties may be promoted or delay or
expense prevented thereby, the Commission may hold special sessions in any part of the United States. (f)(1) The Commission shall have authority, subject to the provisions of the civil-service
laws and the Classification Act of 1949, as amended, to appoint such officers, engineers, accountants, attorneys, inspectors, examiners, and other employees as are necessary in the exercise
of its functions.
Communications Act of 1934 10 (2) Without regard to the civil-service laws, but subject to the Classification Act of 1949, each commissioner may appoint three professional assistants
and a secretary, each of whom shall perform such duties as such commissioner shall direct. In addition, the chairman of the Commission may appoint, without regard to the civil-service
laws, but subject to the Classification Act of 1949, an administrative assistant who shall perform such duties as the chairman shall direct. (3) The Commission shall fix a reasonable
rate of extra compensation for overtime services of engineers in charge and radio engineers of the Field Engineering and Monitoring Bureau of the Federal Communications Commission, who
may be required to remain on duty between the hours of 5 o'clock postmeridian and 8 o'clock antemeridian or on Sundays or holidays to perform services in connection with the inspection
of ship radio equipment and apparatus for the purposes of part II of title III of this Act or the Great Lakes Agreement, on the basis of one-half day's additional pay for each two hours
or fraction thereof of at least one hour that the overtime extends beyond 5 o'clock postmeridian (but not to exceed two and one-half days' pay for the full period from 5 o'clock postmeridian
to 8 o'clock antemeridian) and two additional days' pay for Sunday or holiday duty. The said extra compensation for overtime services shall be paid by the master, owner, or agent of
such vessel to the local United States collector of customs or his representative, who shall deposit such collection into the Treasury of the United States to an appropriately designated
receipt account: Provided, That the amounts of such collections received by the said collector of customs or his representatives shall be covered into the Treasury as miscellaneous receipts;
and the payments of such extra compensation to the several employees entitled thereto shall be made from the annual appropriations for salaries and expenses of the Commission: Provided
further, That to the extent that the annual appropriations which are hereby authorized to be made from the general fund of the Treasury are insufficient, there are hereby authorized
to be appropriated from the general fund of the Treasury such additional amounts as may be necessary to the extent that the amounts of such receipts are in excess of the amounts appropriated:
Provided further, That such extra compensation shall be paid if such field employees have been ordered to report for duty and have so reported whether the actual inspection of the radio
equipment or apparatus takes place or not: And provided further, That in those ports where customary working hours are other than those hereinabove mentioned, the engineers in charge
are vested with authority to regulate the hours of such employees so as to agree with prevailing working hours in said ports where inspections are to be made, but nothing contained in
this proviso shall be construed in any manner to alter the length of a working day for the engineers in charge and radio engineers or the overtime pay herein fixed: and Provided further,
That, in the alternative, an entity designated by the Commission may make the inspections referred to in this paragraph. (4)(A) The Commission, for purposes of preparing or administering
any examination for an amateur station operator license, may accept and employ the voluntary and uncompensated services of any individual who holds an amateur station operator license
of a higher class than the class of license for which the examination is being prepared or administered. In the case of examinations for the highest class of amateur station operator
license, the Commission may accept and employ such services of any individual who holds such class of license. (B)(i) The Commission, for purposes of monitoring violations of any provision
of this Act (and of any regulation prescribed by the Commission under this Act) relating to the amateur radio
Communications Act of 1934 11 service, may--(I) recruit and train any individual licensed by the Commission to operate an amateur station; and (II) accept and employ the voluntary and
uncompensated services of such individual. (ii) The Commission, for purposes of recruiting and training individuals under clause (i) and for purposes of screening, annotating, and summarizing
violation reports referred under clause (i), may accept and employ the voluntary and uncompensated services of any amateur station operator organization. (iii) The functions of individuals
recruited and trained under this subparagraph shall be limited to--(I) the detection of improper amateur radio transmissions; (II) the conveyance to Commission personnel of information
which is essential to the enforcement of this Act (or regulations prescribed by the Commission under this Act) relating to the amateur radio service; and (III) issuing advisory notices,
under the general direction of the Commission, to persons who apparently have violated violated any provision of this Act (or regulations prescribed by the Commission under this Act)
relating to the amateur radio service. Nothing in this clause shall be construed to grant individuals recruited and trained under this subparagraph any authority to issue sanctions to
violators or to take any enforcement action other than any action which the Commission may prescribe by rule. (C)(i) The Commission, for purposes of monitoring violations of any provision
of this Act (and of any regulation prescribed by the Commission under this Act) relating to the citizens band radio service, may--(I) recruit and train any citizens band radio operator;
and (II) accept and employ the voluntary and uncompensated services of such operator. (ii) The Commission, for purposes of recruiting and training individuals under clause (i) and for
purposes of screening, annotating, and summarizing violation reports referred under clause (i), may accept and employ the voluntary and uncompensated services of any citizens band radio
operator organization. The Commission, in accepting and employing services of individuals
under this subparagraph, shall seek to achieve a broad representation of individuals and organizations interested in citizens band radio operation. (iii) The functions of individuals
recruited and trained under this subparagraph shall be limited to--(I) the detection of improper citizens band radio transmissions; (II) the conveyance to Commission personnel of information
which is essential to the enforcement of this Act (or regulations prescribed by the Commission under this Act) relating to the citizens band radio service; and (III) issuing advisory
notices, under the general direction of the Commission, to persons who apparently have violated any provision of this Act (or regulations prescribed by the Commission under this Act)
relating to the citizens band radio service. Nothing in this clause shall be construed to grant individuals recruited and trained under this subparagraph any authority to issue sanctions
to violators or to take any enforcement action other
Communications Act of 1934 12 than any action which the Commission may prescribe by rule. (D) The Commission shall have the authority to endorse certification of individuals to perform
transmitter installation, operation, maintenance, and repair duties in the private land mobile services and fixed services (as defined by the Commission by rule) if such certification
programs are conducted by organizations or committees which are representative of the users in those services and which consist of individuals who are not officers or employees of the
Federal Government. (E) The authority of the Commission established in this paragraph shall not be subject to or affected by the provisions of part III of title 5, United States Code,
or section 3679(b) of the Revised Statutes (31 U.S.C. 665(b)). (F) Any person who provides services under this paragraph shall not be considered, by reason of having provided such services,
a Federal employee. (G) The Commission, in accepting and employing services of individuals under subparagraphs (A) and (B), shall seek to achieve a broad representation of individuals
and organizations interested in amateur station operation. (H) The Commission may establish rules of conduct and other regulations governing the service of individuals under this paragraph.
(I) With respect to the acceptance of voluntary uncompensated services for the preparation, processing, or administration of examinations for amateur station operator licenses, pursuant
to subparagraph (A) of this paragraph, individuals, or organizations which provide or coordinate such authorized volunteer services may recover from examinees reimbursement for out-of-pocket
costs. The total amount of allowable cost reimbursement per examinee shall not exceed $4, adjusted annually every January 1 for changes in the Department of Labor Consumer Price Index.
(5)(A) The Commission, for purposes of preparing and administering any examination for a commercial radio operator license or endorsement, may accept and employ the services of persons
that the Commission determines to be qualified. Any person so employed may not receive compensation for such services, but may recover from examinees such fees as the Commission permits,
considering such factors as public service and cost estimates submitted by such person. (B) The Commission may prescribe regulations to select, oversee, sanction, and dismiss any person
authorized under this paragraph to be employed by the Commission. (C) Any person who provides services under this paragraph or who provides goods in connection with such services shall
not, by reason of having provided such service or goods, be considered a Federal or special government employee. (g)(1) The Commission may make such expenditures (including expenditures
for rent and personal services at the seat of government and elsewhere, for office supplies, lawbooks, periodicals, and books of reference, for printing and binding, for land for use
as sites for radio monitoring stations and related facilities, including living quarters where necessary in remote areas, for the construction of such stations and facilities, and for
the improvement, furnishing, equipping, and repairing of such stations and facilities and of laboratories and other related facilities (including construction of minor subsidiary buildings
and structures not exceeding $25,000 in any one instance) used in connection with technical research activities), as may be necessary for the execution of the functions vested in the
Commission and as may be appropriated for by the Congress in accordance with the authorizations of appropriations established in section 6. All expenditures of the Commission,
Communications Act of 1934 13 including all necessary expenses for transportation incurred by the commissioners or by their employees, under their orders, in making any investigation
or upon any official business in any other places than in the city of Washington, shall be allowed and paid on the presentation of itemized vouchers therefor approved by the chairman
of the Commission or by such other members or officer thereof as may be designated by the Commission for that purpose. (2)(A) If--(i) the necessary expenses specified in the last sentence
of paragraph (1) have been incurred for the purpose of enabling commissioners or employees of the Commission to attend and participate in any convention, conference, or meeting; (ii)
such attendance and participation are in furtherance of the functions of the Commission; and (iii) such attendance and participation are requested by the person sponsoring such convention,
conference, or meeting; then the Commission shall have authority to accept direct reimbursement from such sponsor for such necessary expenses. (B) The total amount of unreimbursed expenditures
made by the Commission for travel for any fiscal year, together with the total amount of reimbursements which the Commission accepts under subparagraph (A) for such fiscal year, shall
not exceed the level of travel expenses appropriated to the Commission for such fiscal year. (C) The Commission shall submit to the appropriate committees of the Congress, and publish
in the Federal Register, quarterly reports specifying reimbursements which the Commission has accepted under this paragraph. (D) The provisions of this paragraph shall cease to have
any force or effect at the end of fiscal year 1994. (E) Funds which are received by the Commission as reimbursements under the provisions of this paragraph after the close of a fiscal
year shall remain available for obligation. (3)(A) Notwithstanding any other provision of law, in furtherance of its functions the Commission is authorized to accept, hold, administer,
and use use unconditional gifts, donations, and bequests of real, personal, and other property (including voluntary and uncompensated services, as authorized by section 3109 of title
5, United States Code). (B) The Commission, for purposes of providing radio club and military-recreational call signs, may utilize the voluntary, uncompensated, and unreimbursed services
of amateur radio organizations authorized by the Commission that have tax-exempt status under section 501(c)(3) of the Internal Revenue Code of 1986. (C) For the purpose of Federal law
on income taxes, estate taxes, and gift taxes, property or services accepted under the authority of subparagraph (A) shall be deemed to be a gift, bequest, or devise to the United States.
(D) The Commission shall promulgate regulations to carry out the provisions of this paragraph. Such regulations shall include provisions to preclude the acceptance of any gift, bequest,
or donation that would create a conflict of interest or the appearance of a conflict of interest. (h) h) Three members of the Commission shall constitute a quorum thereof. The Commission
shall have an official seal which shall be judicially noticed.
Communications Act of 1934 14 (i) The Commission may perform any and all acts, make such rules and regulations, and issue such orders, not inconsistent with this Act, as may be necessary
in the execution of its functions. (j) The Commission may conduct its proceedings in such manner as will best conduce to the proper dispatch of business and to the ends of justice. No
commissioner shall participate in any hearing or proceeding in which he has a pecuniary interest. Any party may appear before the Commission and be heard in person or by attorney. Every
vote and official act the Commission shall be entered of record, and its proceedings shall be public upon the request of any party interested. The Commission is authorized to withhold
publication of records or proceedings containing secret information affecting the national defense. (k) The Commission shall make an annual report to Congress, copies of which shall
be distributed as are other reports transmitted to Congress. Such reports shall contain--(1) such information and data collected by the Commission as may be considered of value in the
determination of questions connected with the regulation of interstate and foreign wire and radio communication and radio transmission of energy; (2) such information and data concerning
the functioning of the Commission as will be of value to Congress in appraising the amount and character of the work and accomplishments of the Commission and the adequacy of its staff
and equipment; (3) an itemized statement of all funds expended during the preceding year by the Commission, of the sources of such funds, and of the authority in this Act or elsewhere
under which such expenditures were made; and (4) specific recommendations to Congress as to additional legislation which the Commission deems necessary or desirable, including all legislative
proposals submitted for approval to the Director of the Office of Management and Budget. (l) All reports of investigations made by the Commission shall be entered of record, and a copy
thereof shall be furnished to the party who may have complained, and to any common carrier or licensee that may have been complained of. (m) The Commission shall provide for the publication
of its reports and decisions in such form and manner as may be best adapted for public information and use, and such authorized publications shall be competent evidence of the reports
and decisions of the Commission therein contained in all courts of the United States and of the several States without any further proof or authentication thereof. (n) Rates of compensation
of persons appointed under this section shall be subject to the reduction applicable to officers and employees of the Federal Government generally. (o) For the purpose of obtaining maximum
effectiveness from the use of radio and wire communications in connection with safety of life and property, the Commission shall investigate and study all phases of the problem and the
best methods of obtaining the cooperation and coordination of these systems. SEC. 5. [47 U.U.S.C. 155] ORGANIZATION AND FUNCTIONING OF THE COMMISSION. (a) The member of the Commission
designated by the President as chairman shall be the chief executive officer of the Commission. It shall be his duty to preside at all meetings and sessions of the Commission, to represent
the Commission in all matters relating to legislation and legislative reports,
Communications Act of 1934 15 except that any commissioner may present his own or minority views or supplemental reports, to represent the Commission in all matters requiring conferences
or communications with other governmental officers, departments or agencies, and generally to coordinate and organize the work of the Commission in such manner as to promote prompt and
efficient disposition of all matters within the jurisdiction of the Commission. In the case of a vacancy in the office of the chairman of the Commission, or the absence or inability
of the chairman to serve, the Commission may temporarily designate one of its members to act as chairman until the cause or circumstance requiring such designation shall have been eliminated
or corrected. (b) From time to time as the Commission may find necessary, the Commission shall organize its staff into (1) integrated bureaus, to function on the basis of the Commission's
principal workload operations, and (2) such other divisional organizations as the Commission may deem necessary. Each such integrated bureau shall include such legal, engineering, accounting,
administrative, clerical, and other personnel as the Commission may determine to be necessary to perform its functions. (c)(1) When necessary to the proper functioning of the Commission
and the prompt and orderly conduct of its business, the Commission may, by published rule or by order, delegate any of its functions (except functions granted to the Commission by this
paragraph and by paragraphs (4), (5), and (6) of this subsection and except any action referred to in sections 204(a)(2), 208(b), and 405(b)) to a panel of commissioners, an individual
commissioner, an employee board, or an individual employee, including functions with respect to hearing, determining, ordering, certifying, reporting, or otherwise acting as to any work,
business, or matter; except that in delegating review functions to employees in cases of adjudication (as defined in the Administrative Procedure Act), the delegation in any such case
may be made only to an employee board consisting of two or more employees referred to in paragraph (8). Any such rule or order may be adopted, amended, or rescinded only by a vote of
a majority of the members of the Commission then holding office. Except for cases involving the authorization of service in the instructional television fixed service, or as otherwise
provided in this Act, nothing in this paragraph shall authorize the Commission to provide for the conduct, by any person or persons other than persons referred to in paragraph (2) or
(3) of section 556(b) of title 5, United States Code, of any hearing to which such section applies. (2) As used in this subsection (d) the term ''order, decision, report, or action''
does not include an initial, tentative, or recommended decision to which exceptions may be filed as provided in section 409(b).(3) Any order, decision, report, or action made or taken
pursuant to any such delegation, unless reviewed as provided in paragraph (4), shall have the same force and effect, and shall be made, evidenced, and enforced in the same manner, as
orders, decisions, reports, or other actions of the Commission. (4) Any person aggrieved by any such order, decision, report or action may file an application for review by the Commission
within such time and in such manner as the Commission shall prescribe, and every such application shall be passed upon by the Commission. The Commission, on its own initiative, may review
in whole or in part, at such time and in such manner as it shall determine, any order, decision, report, or action made or taken pursuant to any delegation under paragraph (1). (5) In
passing upon applications for review, the Commission may grant, in whole or in part, or deny such applications without specifying any reasons therefore. No such application for review
Communications Act of 1934 16 shall rely on questions of fact or law upon which the panel of commissioners, individual commissioner, employee board, or individual employee has been afforded
no opportunity to pass. (6) If the Commission grants the application for review, it may affirm, modify, or set aside the order, decision, report, or action, or it may order a rehearing
upon such order, decision, report, or action in accordance with section 405. (7) The filing of an application for review under this subsection shall be a condition precedent to judicial
review of any order, decision, report, or action made or taken pursuant to a delegation under paragraph (1). The time within which a petition for review must be filed in a proceeding
to which section 402(a) applies, or within which an appeal must be taken under section 402(b), shall be computed from the date upon which public notice is given of orders disposing of
all applications for review filed in any case. (8) The employees to whom the Commission may delegate review functions in any case of adjudication (as defined in the Administrative Procedure
Act) shall be qualified, by reason of their training, experience, and competence, to perform such review functions, and shall perform no duties inconsistent with such review functions.
Such employees shall be in a grade classification or salary level commensurate with their important duties, and in no event less than the grade classification or salary level of the
employee or employees whose actions are to be reviewed. In the performance of such review functions such employees shall be assigned to cases in rotation so far as practicable and shall
not be responsible to or subject to the supervision or direction of any officer, employee, or agent engaged in the performance of investigative or prosecuting functions for any agency.
(9) The secretary and seal of the Commission shall be the secretary and seal of each panel of the Commission, each individual commissioner, and each employee board or individual employee
exercising functions delegated pursuant to paragraph (1) of this subsection. (d) Meetings of the Commission shall be held at regular intervals, not less frequently than once each calendar
month, at which times the functioning of the Commission and the handling of its work load shall be reviewed and such orders shall be entered and other action taken as may be necessary
or appropriate to expedite the prompt and orderly conduct of the business of the Commission with the objective of rendering a final decision (1) within three months from the date of
filing in all original application, renewal, and transfer cases in which it will not be necessary to hold a hearing, and (2) within six months from the final date of the hearing in all
hearing cases. (e) The Commission shall have a Managing Director who shall be appointed by the Chairman subject to the approval of the Commission. The Managing Director, under the supervision
and direction of the Chairman, shall perform such administrative and executive functions as the Chairman shall delegate. The Managing Director shall be paid at a rate equal to the rate
then payable for level V of the Executive Schedule. SEC. 6. AUTHORIZATION OF APPROPRIATIONS. (a) There are authorized to be appropriated for the administration of this Act by the Commission
$109,831,000 for fiscal year 1990 and $119,831,000 for fiscal year 1991, together with such sums as may be necessary for increases resulting from adjustments in salary, pay, retirement,
other employee benefits required by law, and other nondiscretionary costs, for each of the fiscal years 1990 and 1991.
Communications Act of 1934 17 (b) In addition to the amounts authorized to be appropriated under this section, not more than 4 percent of the amount of any fees or other charges payable
to the United States which are collected by the Commission during fiscal year 1990 are authorized to be made available to the Commission until expended to defray the fully distributed
costs of such fees collection. (c) Of the amounts appropriated pursuant to subsection (a) for fiscal year 1991, such sums as may be necessary not to exceed $2,000,000 shall be expended
for upgrading and modernizing equipment at the Commission's electronic emissions test laboratory located in Laurel, Maryland. (d) Of the sum appropriated in any fiscal year under this
section, a portion, in an amount determined under section 9(b), shall be derived from fees authorized by section 9. SEC. 7. [47 U.S.C. 157] NEW TECHNOLOGIES AND SERVICES. (a) It shall
be the policy of the United States to encourage the provision of new technologies and services to the public. Any person or party (other than the Commission) who opposes a new technology
or service proposed to be permitted under this Act shall have the burden to demonstrate that such proposal is inconsistent with the public interest. (b) The Commission shall determine
whether any new technology or service proposed in a petition or application is in the public interest within one year after such petition or application is filed. If the Commission initiates
its own proceeding for a new technology or service, such proceeding shall be completed within 12 months after it is initiated. SEC. 8. [47 U.S.C. 158] APPLICATION FEES. (a) The Commission
shall assess and collect application fees at such rates as the Commission shall establish or at such modified rates as it shall establish pursuant to the provisions of subsection (b)
of this section. (b)(1) The Schedule of Application Fees established under this section shall be reviewed by the Commission every two years after October 1, 1991, and adjusted by the
Commission to reflect changes in the Consumer Price Index. Increases or decreases in application fees shall apply to all categories of application fees, except that individual fees shall
not be adjusted until the increase or decrease, as determined by the net change in the Consumer Price Index since the date of enactment of this section, amounts to at least $5.00 in
the case of fees under $100.00, or 5 percent in the case of fees of $100.00 or more. All fees which require adjustment will be rounded upward to the next $5.00 increment. The Commission
shall transmit to the Congress notification of any such adjustment not later than 90 days before the effective date of such adjustment. (2) Increases or decreases in application fees
made pursuant to this subsection shall not be subject to judicial review. (c)(1) The Commission shall prescribe by regulation an additional application fee which shall be assessed as
a penalty for late payment of application fees required by subsection (a) of this section. Such penalty shall be 25 percent of the amount of the application fee which was not paid in
a timely manner.(2) The Commission may dismiss any application or other filing for failure to pay in a timely manner any application fee or penalty under this section. (d)(1) The application
fees established under this section shall not be applicable (A) to
Communications Act of 1934 18 governmental entities and nonprofit entities licensed in the following radio services: Local Government, Police, Fire, Highway Maintenance, Forestry-Conservation,
Public Safety, and Special Emergency Radio, or (B) to governmental entities licensed in other services. (2) The Commission may waive or defer payment of an application fee in any specific
instance for good cause shown, where such action would promote the public interest. (e) Moneys received from application fees established under this section shall be deposited in the
general fund of the Treasury to reimburse the United States for amounts appropriated for use by the Commission in carrying out its functions under this Act. (f) The Commission shall
prescribe appropriate rules and regulations to carry out the provisions of this section. (g) Until modified pursuant to subsection (b) of this section, the Schedule of Application Fees
which the Federal Communications Commission shall prescribe pursuant to subsection (a) of this section shall be as follows: SCHEDULE OF APPLICATION FEES Service Fee amount PRIVATE RADIO
SERVICES 1. Marine Coast Stations a. New License (per station) $70.00 b. Modification of License (per station) 70.00 c. Renewal of License (per station) 70.00 d. Special Temporary Authority
(Initial, Modifications, Extensions) 100.00 e. Assignments (per station) 70.00 f. Transfers of Control (per station) 35.00 g. Request for Waiver (i) Routine (per request) 105.00 (ii)
Non-Routine (per rule section/per station) 105.00 2. Ship Stations a. New License (per application) 35.00 b. Modification of License (per application) 35.00 c. Renewal of License (per
application) 35.00 d. Request for Waiver (i) Routine (per request) 105.00 (ii) Non-Routine (per rule section/per station) 105.00 3. Operational Fixed Microwave Stations a. New License
(per station) 155.00 b. Modification of License (per station) 155.00 c. Renewal of License (per station) 155.00 d. Special Temporary Authority (Initial, Modifications, Extensions) 35.00
e. Assignments (per station) 155.00 f. Transfers of Control (per station) 35.00 g. Request for Waiver (i) Routine (per request) 105.00
Communications Act of 1934 19 (ii) Non-Routine (per rule section/per station) 105.00 4. Aviation (Ground Stations) a. New License (per station) 70.00 b. Modification of License (per
station) 70.00 c. Renewal of License (per station) 70.00 d. Special Temporary Authority (Initial, Modifications, Extensions) 100.00 e. Assignments (per station) 70.00 f. Transfers of
Control (per station) 35.00 g. Request for Waiver (i) Routine (per request) 105.00 (ii) Non-Routine (per rule section/per station) 105.00 5. Aircraft Stations a. New License (per application)
35.00 b. Modification of License (per application) 35.00 c. Renewal of License (per application) 35.00 d. Request for Waiver (i) Routine (per request) 105.00 (ii) Non-Routine (per rule
section/per station) 105.00 6. Land Mobile Radio Stations (including Special Emergency and Public Safety Stations) a. New License (per call sign) 35.00 b. Modification of License (per
call sign) 35.00 c. Renewal of License (per call sign) 35.00 d. Special Temporary Authority (Initial, Modifications, Extensions) 35.00 e. Assignments (per station) 35.00 f. Transfers
of Control (per call sign) 35.00 g. Request for Waiver (i) Routine (per request) 105.00 (ii) Non-Routine (per rule section/per station) 105.00 h. Reinstatement (per call sign) 35.00
i. Specialized Mobile Radio Systems-Base Stations (i) New License (per call sign) 35.00 (ii) Modification of License (per call sign) 35.00 (iii) Renewal of License (per call sign) 35.00
(iv) Waiting List (annual application fee per application) 35.00 (v) Special Temporary Authority (Initial, Modifications, Extensions) 35.00 (vi) Assignments (per call sign) 35.00 (vii)
Transfers of Control (per call sign) 35.00 (viii) Request for Waiver (1) Routine (per request) 105.00 (2) Non-Routine (per rule section/per station) 105.00
Communications Act of 1934 20 (ix) Reinstatements (per call sign) 35.00 j. Private Carrier Licenses (i) New License (per call sign) 35.00 (ii) Modification of License (per call sign)
35.00 (iii) Renewal of License (per call sign) 35.00 (iv) Special Temporary Authority (Initial, Modifications, Extensions) 35.00 (v) Assignments (per call sign) 35.00 (vi) Transfers
of Control (per call sign) 35.00 (vii) Request for Waiver (1) Routine (per request) 105.00 (2) Non-Routine (per rule section/per station) 105.00 (viii) Reinstatements (per call sign)
35.00 7. General Mobile Radio Service a. New License (per call sign) 35.00 b. Modifications of License (per call sign) 35.00 c. Renewal of License (per call sign) 35.00 d. Request for
Waiver (i) Routine (per request) 105.00 (ii) Non-Routine (per rule section/per station) 105.00 e. Special Temporary Authority (Initial, Modifications, Extensions) 35.00 f. Transfer of
control (per call sign) 35.00 8. Restricted Radiotelephone Operator Permit 35.00 9. Request for Duplicate Station License (all services) 35.00 10. Hearing (Comparative, New, and Modifications)
6,760.00 EQUIPMENT APPROVAL SERVICES/EXPERIMENTAL RADIO 1. Certification a. Receivers (except TV and FM receivers) 285.00 b. All Other Devices 735.00 c. Modifications and Class II Permissive
Changes 35.00 d. Request for Confidentiality 105.00 2. Type Acceptance a. All Devices 370.00 b. Modifications and Class II Permissive Changes 35.00 c. Request for Confidentiality 105.00
3. Type Approval (all devices) a. With Testing (including Major Modifications) 1,465.00 b. Without Testing (including Minor Modifications) 170.00 c. Request for Confidentiality 105.00
4. Notifications 115.00 5. Advance Approval for Subscription TV System 2,255.00
Communications Act of 1934 21 a. Request for Confidentiality 105.00 6. Assignment of Grantee Code for Equipment Identification 35.00 7. Experimental Radio Service a. New Construction
Permit and Station Authorization (per application) 35.00 b. Modification to Existing Construction Permit and Station Authorization (per application) 35.00 c. Renewal of Station Authorization
(per application) 35.00 d. Assignment or Transfer of Control (per application) 35.00 e. Special Temporary Authority (per application) 35.00 f. Additional Application Fee for Applications
Containing Requests to Withhold Information From Public Inspection (per application) 35.00 MASS MEDIA SERVICES 1. Commercial TV Stations a. New or Major
Change Construction Permits 2,535.00 b. Minor Change 565.00 c. Hearing (Major/Minor Change, Comparative New, or Comparative Renewal) 6,760.00 d. License 170.00 e. Assignment or Transfer
(i) Long Form (Forms 314/315) 565.00 (ii) Short Form (Form 316) 80.00 f. Renewal 100.00 g. Call Sign (New or Modification) Modification) 55.00 h. Special Temporary Authority (other than
to remain silent or extend an existing STA to remain silent) 100.00 i. Extension of Time to Construct or Replacement of CP 200.00 j. Permit to Deliver Programs to Foreign Broadcast Stations
55.00 k. Petition for Rulemaking for New Community of License 1,565.00 l. Ownership Report (per report) 35.00 2. Commercial Radio Stations a. New and Major Change Construction Permit
(i) AM Station 2,255.00 (ii) FM Station 2,030.00 b. Minor Change (i) AM Station 565.00 (ii) FM Station 565.00 c. Hearing (Major/Minor Change, Comparative New, or Comparative Renewal)
6,760.00 d. License (i) AM 370.00 (ii) FM 115.00
Communications Act of 1934 22 (iii) AM Directional Antenna 425.00 (iv) FM Directional Antenna 355.00 (v) AM Remote Control 35.00 e. Assignment or Transfer (i) Long Form (Forms 314/315)
565.00 (ii) Short Form (Form 316) 80.00 f. Renewal 100.00 g. Call Sign (New or Modification) 55.00 h. Special Temporary Authority (other than to remain silent or extend an existing STA
to remain silent) 100.00 i. Extension of Time to Construct or Replacement of CP 200.00 j. Permit to Deliver Programs to Foreign Broadcast Stations 55.00 k. Petition for Rulemaking for
New Community of License or Higher Class Channel 1,565.00 l. Ownership Report (per report) 35.00 3. FM Translators a. New or Major Change Construction Permit 425.00 b. License 85.00
c. Assignment or Transfer 80.00 d. Renewal 35.00 e. Special Temporary Authority (other than to remain silent or extend an existing STA to remain silent) 100.00 4. TV Translators and
LPTV Stations a. New or Major Change Construction Permit 425.00 b. License 85.00 c. Assignment or Transfer 80.00 d. Renewal 35.00 e. Special Temporary Authority (other than to remain
silent or extend an existing STA to remain silent) 100.00 5. Auxiliary Services (Includes Remote Pickup stations, TV Auxiliary Broadcast stations, Aural Broadcast STL and Intercity Relay
stations, and Low Power Auxiliary stations)a. Major Actions 85.00 b. Renewals 35.00 c. Special Temporary Authority (other than to remain silent or extend an existing STA to remain silent)
100.00 6. FM/TV Boosters a. New and Major Change Construction Permits 425.00 b. License 85.00 c. Special Temporary Authority (other than to remain silent or extend an existing STA to
remain silent) 100.00 7. International Broadcast Station
Communications Act of 1934 23 a. New Construction Permit and Facilities Change CP 1,705.00 b. License 385.00 c. Assignment or Transfer (per station) 60.00 d. Renewal 95.00 e. Frequency
Assignment and Coordination (per frequency hour) 35.00 f. Special Temporary Authority (other than to remain silent or extend an existing STA to remain silent) 100.00 8. Cable Television
Service a. Cable Television Relay Service (i) Construction Permit 155.00 (ii) Assignment or Transfer 155.00 (iii) Renewal 155.00 (iv) Modification 155.00 (v) Special Temporary Authority
(other than to remain silent or extend an existing STA to remain silent) 100.00 b. Cable Special Relief Petition 790.00 c. 76.12 Registration Statement (per statement) 35.00 d. Aeronautical
Frequency Usage Notifications (per notice) 35.00 e. Aeronautical Frequency Usage Waivers (per waiver) 35.00 9. Direct Broadcast Satellite a. New or Major Change Construction Permit (i)
Application for Authorization to Construct a Direct Broadcast Satellite 2,030.00 (ii) Issuance of Construction Permit & Launch Authority 19,710.00 (iii) License to Operate Satellite
565.00 b. Hearing (Comparative New, Major/Minor Modifications, or Comparative Renewal) 6,760.00 c. Special Temporary Authority (other than to remain silent or extend an existing STA
to remain silent) 100.00 COMMON CARRIER SERVICES 1. All Common Carrier Services a. Hearing (Comparative New or Major/Minor Modifications) 6,760.00 b. Development Authority (Same application
fee as regular authority in service unless otherwise indicated) c. Formal Complaints and Pole Attachment Complaints Filing Fee 120.00 d. Proceeding under section 109(b) of the Communications
Assistance for Law Enforcement Act 5,000 2. Domestic Public Land Mobile Stations (includes Base, Dispatch, Control & Repeater Stations) a. New or Additional Facility (per transmitter)
230.00 b. Major Modifications (per transmitter) 230.00
Communications Act of 1934 24 c. Fill In Transmitters (per transmitter) 230.00 d. Major Amendment to a Pending Application (per transmitter) 230.00 e. Assignment or Transfer (i) First
Call Sign on Application 230.00 (ii) Each Additional Call Sign 35.00 f. Partial Assignment (per call sign) 230.00 g. Renewal (per call sign) 35.00 h. Minor Modification (per transmitter)
35.00 i. Special Temporary Authority (per frequency/per location) 200.00 j. Extension of Time to Construct (per application) 35.00 k. Notice of Completion of Construction (per application)
35.00 l. Auxiliary Test Station (per transmitter) 200.00 m. Subsidiary Communications Service (per request) 100.00 n. Reinstatement (per application) 35.00 o. Combining Call Signs (per
call sign) 200.00 p. Standby Transmitter (per transmitter/per location) 200.00 q. 900 MHz Nationwide Paging (i) Renewal (1) Network Organizer 35.00 (2) Network Operator (per operator/per
city) 35.00 r. Air-Ground Individual License (per station) (i) Initial License 35.00 (ii) Renewal of License 35.00 (iii) Modification of License 35.00 3. Cellular Systems (per system)
a. New or Additional Facilities 230.00 b. Major Modification 230.00 c. Minor Modification 60.00 d. Assignment or Transfer (including partial) 230.00 e. License to Cover Construction
(i) Initial License for Wireline Carrier 595.00 (ii) Subsequent License for Wireline Carrier 60.00 (iii) License for Nonwireline Carrier 60.00 (iv) Fill In License (all carriers) 60.00
f. Renewal 35.00 g. Extension of Time to Complete Construction 35.00 h. Special Temporary Authority (per system) 200.00 i. Combining Cellular Geographic Service Areas (per system) 50.00
4. Rural Radio (includes Central Office, Interoffice, or Relay Facilities) a. New or Additional Facility (per transmitter) 105.00 b. Major Modification (per transmitter) 105.00 c. Major
Amendment to Pending Application (per transmitter) 105.00
Communications Act of 1934 25 d. Minor Modification (per transmitter) 35.00 e. Assignments or Transfers (i) First Call Sign on Application 105.00 (ii) Each Additional Call Sign 35.00
(iii) Partial Assignment (per call sign) 105.00 f. Renewal (per call sign) 35.00 g. Extension of Time to Complete Construction (per application) 35.00 h. Notice of Completion of Construction
(per application) 35.00 i. Special Temporary Authority (per frequency/per location) 200.00 j. Reinstatement (per application) 35.00 k. Combining Call Signs (per call sign) 200.00 l.
Auxiliary Test Station (per transmitter) 200.00 m. Standby Transmitter (per transmitter/per location) 200.00 5. Offshore Radio Service (Mobile, Subscriber, and Central Stations; fees
would also apply to any expansion of this service into coastal waters other than the Gulf of Mexico)a. New or Additional Facility (per transmitter) 105.00 b. Major Modifications (per
transmitter) 105.00 c. Fill In Transmitters (per transmitter) 105.00 d. Major Amendment to Pending Application (per transmitter) 105.00 e. Minor Modification (per transmitter) 35.00
f. Assignment or Transfer (i) Each Additional Call Sign 35.00 (ii) Partial Assignment (per call sign) 105.00 g. Renewal (per call sign) 35.00 h. Extension of Time to Complete Construction
(per application) 35.00 i. Reinstatement (per application) 35.00 j. Notice of Completion of Construction (per application) 35.00 k. Special Temporary Authority (per frequency/per location)
200.00 l. Combining Call Signs (per call sign) 200.00 m. Auxiliary Test Station (per transmitter) 200.00 n. Standby Transmitter (per transmitter/per location) 200.00 6. Point-to-Point
Microwave and Local Television Radio Service a. Conditional License (per station) 155.00 b. Major Modification of Conditional License or License Authorization (per station) 155.00 c.
Certification of Completion of Construction (per station) 155.00 d. Renewal (per licensed station) 155.00 e. Assignment or Transfer (i) First Station on Application 55.00 (ii) Each Additional
Station 35.00 f. Extension of Construction Authorization (per station) 55.00
Communications Act of 1934 26 g. Special Temporary Authority or Request for Waiver of Prior Construction Authorization (per request) 70.00 7. Multipoint Distribution Service (including
multichannel MDS) a. Conditional License (per station) 155.00 b. Major Modification of Conditional License or License Authorization (per station) 155.00 c. Certification of Completion
of Construction (per channel) 455.00 d. Renewal (per licensed station) 155.00 e. Assignment or Transfer (i) First Station on Application 55.00 (ii) Each Additional Station 35.00 f. Extension
of Construction Authorization (per station) 110.00 g. Special Temporary Authority or Request for Waiver of Prior Construction Authorization (per request) 70.00 8. Digital Electronic
Message Service a. Conditional License (per nodal station) 155.00 b. Modification of Conditional License or License Authorization (per nodal station) 155.00 c. Certification of Completion
of Construction (per nodal station) 155.00 d. Renewal (per licensed nodal station) 155.00 e. e. Assignment or Transfer (i) First Station on Application 55.00 (ii) Each Additional Station
35.00 f. Extension of Construction Authorization (per station) 55.00 g. Special Temporary Authority or Request for Waiver of Prior Construction Authorization (per request) 70.00 9. International
Fixed Public Radio (Public and Control Stations) a. Initial Construction Permit (per station) 510.00 b. Assignment or Transfer (per application) 510.00 c. Renewal (per license) 370.00
d. Modification (per station) 370.00 e. Extension of Construction Authorization (per station) 185.00 f. Special Temporary Authority or Request for Waiver (per request) 185.00 10. Fixed
Satellite Transmit/Receive Earth Stations a. Initial Application (per station) 1,525.00 b. Modification of License (per station) 105.00 c. Assignment or Transfer (i) First Station on
Application 300.00 (ii) Each Additional Station 100.00 d. Developmental Station (per station) 1,000.00 e. Renewal of License (per station) 105.00 f. Special Temporary Authority or Waivers
of Prior Construction
Communications Act of 1934 27 Authorization (per request) 105.00 g. Amendment of Application (per station) 105.00 h. Extension of Construction Permit (per station) 105.00 11. Small Transmit/Receive
Earth Stations (2 meters or less and operating in the 4/6 GHz frequency band) a. Lead Application 3,380.00 b. Routine Application (per station) 35.00 c. Modification of License (per
station) 105.00 d. Assignment or Transfer (i) First Station on Application 300.00 (ii) Each Additional Station 35.00 e. Developmental Station (per station) 1,000.00 f. Renewal of License
(per station) 105.00 g. Special Temporary Authority or Waivers of Prior Construction Authorization (per request) 105.00 h. Amendment of Application (per station) 105.00 i. Extension
of Construction Permit (per station) 105.00 12. Receive Only Earth Stations a. Initial Application for Registration 230.00 b. Modification of License or Registration (per station) 105.00
c. Assignment or Transfer (i) First Station on Application 300.00 (ii) Each Additional Additional Station 100.00 d. Renewal of License (per station) 105.00 e. Amendment of Application
(per station) 105.00 f. Extension of Construction Permit (per station) 105.00 g. Waivers (per request) 105.00 13. Very Small Aperture Terminal (VSAT) Systems a. Initial Application (per
system) 5,630.00 b. Modification of License (per system) 105.00 c. Assignment or Transfer of System 1,505.00 d. Developmental Station 1,000.00 e. Renewal of License (per system) 105.00
f. Special Temporary Authority or Waivers of Prior Construction Authorization (per request) 105.00 g. Amendment of Application (per system) 105.00 h. Extension of Construction Permit
(per system) 105.00 14. Mobile Satellite Earth Stations a. Initial Application of Blanket Authorization 5,630.00 b. Initial Application for Individual Earth Station 1,350.00 c. Modification
of License (per system) 105.00 d. Assignment or Transfer (per system) 1,505.00
Communications Act of 1934 28 e. Developmental Station 1,000.00 f. Renewal of License (per system) 105.00 g. Special Temporary Authority or Waivers of Prior Construction Authorization
(per request) 105.00 h. Amendment of Application (per system) 105.00 i. Extension of Construction Permit (per system) 105.00 15. Radio determination Satellite Earth Stations a. Initial
Application of Blanket Authorization 5,630.00 b. Initial Application for Individual Earth Station 1,350.00 c. Modification of License (per system) 105.00 d. Assignment or Transfer (per
system) 1,505.00 e. Developmental Station 1,000.00 f. Renewal of License (per system) 105.00 g. Special Temporary Authority or Waivers of Prior Construction Authorization (per request)
105.00 h. Amendment of Application (per system) 105.00 i. Extension of Construction Permit (per system) 105.00 16. Space Stations a. Application for Authority to Construct 2,030.00 b.
Application for Authority to Launch & Operate (i) Initial Application 70,000.00 (ii) Replacement Satellite 70,000.00 c. Assignment or Transfer (per satellite) 5,000.00 d. Modification
5,000.00 e. Special Temporary Authority or Waiver of Prior Construction Authorization (per request) 500.00 f. Amendment of Application 1,000.00 g. Extension of Construction Permit/Launch
Authorization (per request) 500.00 17. Section 214 Applications a. Overseas Cable Construction 9,125.00 b. Cable Landing License (i) Common Carrier 1,025.00 (ii) Non-Common Carrier 10,150.00
c. Domestic Cable Construction 610.00 d. All Other 214 Applications 610.00 e. Special Temporary Authority (all services) 610.00 f. Assignments or Transfers (all services) 610.00 18.
Recognized Private Operating Status (per application) 610.00 19. Telephone Equipment Registration 155.00 20. Tariff Filings a. Filing Fee 490.00
Communications Act of 1934 29 b. Special Permission Filing (per filing) 490.00 21. Accounting and Audits a. Field Audit 62,290.00 b. Review of Attest Audit 34,000.00 c. Review of Depreciation
Update Study (Single State) 20,685.00 (i) Each Additional State 680.00 d. Interpretation of Accounting Rules (per request) 2,885.00 e. Petition for Waiver (per petition) 4,660.00 22.
Low-Earth Orbit Satellite Systems a. Application for Authority to Construct (per system of technology identical satellites) 6,000.00 b. Application for Authority to Launch and Operate
(per system of technologically identical satellites) 210,000.00 c. Assignment or Transfer (per request) 6,000.00 d. Modification (per request) 15,000.00 e. Special Temporary Authority
or Waiver of Prior Construction Authorization (per request) 1,500.00 f. Amendment of Application (per request) 3,000.00 g. Extension of Construction Permit/Launch Authorization (per
request) 1,500.00 MISCELLANEOUS APPLICATION FEES 1. International Telecommunications Settlements Administrative Fee for Collections (per line item) 2.00 2. Radio Operator Examinations
a. Commercial Radio Operator Examination 35.00 b. Renewal of Commercial Radio Operator License, Permit, or Certificate 35.00 c. Duplicate or Replacement Commercial Radio Operator License,
Permit, or Certificate 35.00 3. Ship Inspections a. Inspection of Oceangoing Vessels Under Title III, Part II of the Communications Act (per inspection) 620.00 b. Inspection of Passenger
Vessels Under Title III, Part III of the Communications Act (per inspection) 320.00 c. Inspection of Vessels Under the Great Lakes Agreement (per inspection) 75.00 d. Inspection of Foreign
Vessels Under the Safety of Life at Sea (SOLAS) Convention (per inspection) 540.00 e. Temporary Waiver for Compulsorily Equipped Vessel 60.00 SEC. 9. [47 U.S.C. 159] REGULATORY FEES.
Communications Act of 1934 30 (a) GENERAL AUTHORITY.--(1) RECOVERY OF COSTS.--The Commission, in accordance with this section, shall assess and collect regulatory fees to recover the
costs of the following regulatory activities of the Commission: enforcement activities, policy and rulemaking activities, user information services, and international activities. (2)
FEES CONTINGENT ON APPROPRIATIONS.--The fees described in paragraph (1) of this subsection shall be collected only if, and only in the total amounts, required in Appropriations Acts.
(b) ESTABLISHMENT AND ADJUSTMENT OF REGULATORY FEES.--(1) IN GENERAL.--The fees assessed under subsection (a) shall--(A) be derived by determining the full-time equivalent number of
employees performing the activities described in subsection (a) within the Private Radio Bureau, Mass Media Bureau, Common Carrier Bureau, and other offices of the Commission, adjusted
to take into account factors that are reasonably related to the benefits provided to the payor of the fee by the Commission's activities, including such factors as service area coverage,
shared use versus exclusive use, and other factors that the Commission determines are necessary in the public interest; (B) be established at amounts that will result in collection,
during each fiscal year, of an amount that can reasonably be expected to equal the amount appropriated for such fiscal year for the performance of the activities described in subsection
(a); and (C) until adjusted or amended by the Commission pursuant to paragraph (2) or (3), be the fees established by the Schedule of Regulatory Fees in subsection (g). (2) MANDATORY
ADJUSTMENT OF SCHEDULE.--For any fiscal year after fiscal year 1994, the Commission shall, by rule, revise the Schedule of Regulatory Fees by proportionate increases or decreases to
reflect, in accordance with paragraph (1)(B), changes in the amount appropriated for the performance of the activities described in subsection (a) for such fiscal year. Such proportionate
increases or decreases shall--(A) be adjusted to reflect, within the overall amounts described in appropriations Acts under the authority of paragraph (1)(A), unexpected increases or
decreases in the number of licensees or units subject to payment of such fees; and (B) be established at amounts that will result in collection of an aggregate amount of fees pursuant
to this section that can reasonably be expected to equal the aggregate amount of fees that are required to be collected by appropriations Acts pursuant to paragraph (1)(B).
Communications Act of 1934 31 Increases or decreases in fees made by adjustments pursuant to this paragraph shall not be subject to judicial review. In making adjustments pursuant to
this paragraph the Commission may round such fees to the nearest $5 in the case of fees under $1,000, or to the nearest $25 in the case of fees of $1,000 or more. (3) PERMITTED AMENDMENTS.--In
addition to the adjustments required by paragraph (2), the Commission shall, by regulation, amend the Schedule of Regulatory Fees if the Commission determines that the Schedule requires
amendment to comply with the requirements of paragraph (1)(A). In making such amendments, the Commission shall add, delete, or reclassify services in the Schedule to reflect additions,
deletions, or changes in the nature of its services as a consequence of Commission rulemaking proceedings or changes in law. Increases or decreases in fees made by amendments pursuant
to this paragraph shall not be subject to judicial review. (4) NOTICE TO CONGRESS.--The Commission shall--(A) transmit to the Congress notification of any adjustment made pursuant to
paragraph (2) immediately upon the adoption of such adjustment; and (B) transmit to the Congress notification of any amendment made pursuant to paragraph (3) not later than 90 days before
the effective date of such amendment. (c) ENFORCEMENT.--(1) PENALTIES FOR LATE PAYMENT.--The Commission shall prescribe by regulation an additional charge which shall be assessed as
a penalty for late payment of fees required by subsection (a) of this section. Such penalty shall be 25 percent of the amount of the fee which was not paid in a timely manner. (2) DISMISSAL
OF APPLICATIONS FOR FILINGS.--The Commission may dismiss any application or other filing for failure to pay in a timely manner any fee or penalty under this section. (3) REVOCATIONS.--In
addition to or in lieu of the penalties and dismissals authorized by paragraphs (1) and (2), the Commission may revoke any instrument of authorization held by any entity that has failed
to make payment of a regulatory fee assessed pursuant to this section. Such revocation action may be taken by the Commission after notice of the Commission's intent to take such action
is sent to the licensee by registered mail, return receipt requested, at the licensee's last known address. The notice will provide the licensee at least 30 days to either pay the fee
or show cause why the fee does not apply to the licensee or should otherwise be waived or payment deferred. A hearing is not required under this subsection unless the licensee's response
presents a substantial and material question of fact. In any case where a hearing is conducted pursuant to this section, the hearing shall be based on written evidence only, and the
burden of proceeding with the
Communications Act of 1934 32 introduction of evidence and the burden of proof shall be on the licensee. Unless the licensee substantially prevails in the hearing, the Commission may
assess the licensee for the costs of such hearing. Any Commission order adopted pursuant to this subsection shall determine the amount due, if any, and provide the licensee with at least
30 days to pay that amount or have its authorization revoked. No order of revocation under this subsection shall become final until the licensee has exhausted its right to judicial review
of such order under section 402(b)(5) of this title. (d) WAIVER, REDUCTION, AND DEFERMENT.--The Commission may waive, reduce, or defer payment of a fee in any specific instance for good
cause shown, where such action would promote the public interest. (e) DEPOSIT OF COLLECTIONS.--Moneys received from fees established under this section shall be deposited as an offsetting
collection in, and credited to, the account providing appropriations to carry out the functions of the Commission. (f) REGULATIONS.--(1) IN GENERAL.--The Commission shall prescribe appropriate
rules and regulations to carry out the provisions of this section. (2) INSTALLMENT PAYMENTS.--Such rules and regulations shall permit payment by installments in the case of fees in large
amounts, and in the case of fees in small amounts, shall require the payment of the fee in advance for a number of years not to exceed the term of the license held by the payor. (g)
SCHEDULE.--Until amended by the Commission pursuant to subsection (b), the Schedule of Regulatory Fees which the Federal Communications Commission shall, subject to subsection (a)(2),
assess and collect shall be as follows: SCHEDULE OF REGULATORY FEES BUREAU/CATEGORY ANNUAL REGULATORY FEE Private Radio Bureau Exclusive use services (per license) Land Mobile (above
470 MHz, Base Station and SMRS) (47 C.F.R. Part 90) $16 Microwave (47 C.F.R. Part 94) 16 Interactive Video Data Service (47 C.F.R. Part 95) 16 Shared use services (per license unless
otherwise noted) 7 Amateur vanity call-signs 7 Mass Media Bureau (per license) AM radio (47 C.F.R. Part 73) Class D Daytime 250 Class A Fulltime 900 Class B Fulltime 500 Class C Fulltime
200
Communications Act of 1934 33 Construction permits 100 FM radio (47 C.F.R. Part 73) Classes C, C1, C2, B 900 Classes A, B1, C3 600 Construction permits 500 TV (47 C.F.R. Part 73) VHF
Commercial Markets 1 thru 10 18,000 Markets 11 thru 25 16,000 Markets 26 thru 50 12,000 Markets 51 thru 100 8,000 Remaining Markets 5,000 Construction permits 4,000 UHF Commercial Markets
1 thru 10 14,400 Markets 11 thru 25 12,800 Markets 26 thru 50 9,600 Markets 51 thru 100 6,400 Remaining Markets 4,000 Construction permits 3,200 Low Power TV, TV Translator, and TV Booster
(47 C.F.R. Part 74) 135 Broadcast Auxiliary (47 C.F.R. Part 74) 25 International (HF) Broadcast (47 C.F.R. Part 73) 200 Cable Antenna Relay Service (47 C.F.R. Part 78) 220 Cable Television
System (per 1,000 subscribers) (47 C.F.R. Part 76) 370 Common Carrier Bureau Radio Facilities Cellular Radio (per 1,000 subscribers) (47 C.F.R. Part 22) 60 Personal Communications (per
1,000 subscribers) (47 C.F.R.) 60 Space Station (per operational station in geosynchronous orbit) (47 C.F.R. Part 25) 65,000 Space Station (per system in low-earth orbit) (47 C.F.R.
Part 25) 90,000 Public Mobile (per 1,000 subscribers) (47 C.F.R. Part 22) 60 Domestic Public Fixed (per call sign) (47 C.F.R. Part 21) 55 International Public Fixed (per call sign) (47
C.F.R. Part 23) 110 Earth Stations (47 C.F.R. Part 25) VSAT and equivalent C-Band antennas (per 100 antennas) 6 Mobile satellite earth stations (per 100 antennas) 6 Earth station antennas
Less than 9 meters (per 100 antennas) 6 9 Meters or more
Communications Act of 1934 34 Transmit/Receive and Transmit Only (per meter) 85 Receive only (per meter) 55 Carriers Inter-Exchange Carrier (per 1,000 presubscribed access lines) 60
Local Exchange Carrier (per 1,000 access lines) 60 Competitive access provider (per 1,000 subscribers) 60 International circuits (per 100 active 64KB circuit or equivalent) 220 (h) EXCEPTIONS.--The
charges established under this section shall not be applicable to (1) governmental entities or nonprofit entities; or (2) to amateur radio operator licenses under part 97 of the Commission's
regulations (47 C.F.R. Part 97). (i) ACCOUNTING SYSTEM.--The Commission shall develop accounting systems necessary to making the adjustments authorized by subsection (b)(3). In the Commission's
annual report, the Commission shall prepare an analysis of its progress in developing such systems and shall afford interested persons the opportunity to submit comments concerning the
allocation of the costs of performing the functions described in subsection (a) among the services in the Schedule. SEC. 10. [47 U.S.C. 160] COMPETITION IN PROVISION OF TELECOMMUNICATIONS
SERVICE. (a) REGULATORY FLEXIBILITY.--Notwithstanding section 332(c)(1)(A) of this Act, the Commission shall forbear from applying any regulation or any provision of this Act to a telecommunications
carrier or telecommunications service, or class of telecommunications carriers or telecommunications services, in any or some of its or their geographic markets, if the Commission determines
that--(1) enforcement of such regulation or provision is not necessary to ensure that the charges, practices, classifications, or regulations by, for, or in connection with that telecommunications
carrier or telecommunications service are just and reasonable and are not unjustly or unreasonably discriminatory; (2) enforcement of such regulation or provision is not necessary for
the protection of consumers; and (3) forbearance from applying such provision or regulation is consistent with the public interest. (b) COMPETITIVE EFFECT TO BE WEIGHED.--In making the
determination under subsection (a)(3), the Commission shall consider whether forbearance from enforcing the provision or regulation will promote competitive market conditions, including
the extent to which such forbearance will enhance competition among providers of telecommunications services. If the Commission determines that such
Communications Act of 1934 35 forbearance will promote competition among providers of telecommunications services, that determination may be the basis for a Commission finding that forbearance
is in the public interest. (c) PETITION FOR FORBEARANCE.--Any telecommunications carrier, or class of telecommunications carriers, may submit a petition to the Commission requesting
that the Commission exercise the authority granted under this section with respect to that carrier or those carriers, or any service offered by that carrier or carriers. Any such petition
shall be deemed granted if the Commission does not deny the petition for failure to meet the requirements for forbearance under subsection (a) within one year after the Commission receives
it, unless the oneyear period is extended by the Commission. The Commission
may extend the initial one-year period by an additional 90 days if the Commission finds that an extension is necessary to meet the requirements of subsection (a). The Commission may
grant or deny a petition in whole or in part and shall explain its decision in writing. (d) LIMITATION.--Except as provided in section 251(f), the Commission may not forbear from applying
the requirements of section 251(c) or 271 under subsection (a) of this section until it determines that those requirements have been fully implemented. (e) STATE ENFORCEMENT AFTER COMMISSION
FORBEARANCE.--A State commission may not continue to apply or enforce any provision of this Act that the Commission has determined to forbear from applying under subsection (a). SEC.
11. [47 U.S.C. 161] REGULATORY REFORM. (a) BIENNIAL REVIEW OF REGULATIONS.--In every even-numbered year (beginning with 1998), the Commission--(1) shall review all regulations issued
under this Act in effect at the time of the review that apply to the operations or activities of any provider of telecommunications service; and (2) shall determine whether any such
regulation is no longer necessary in the public interest as the result of meaningful economic competition between providers of such service. (b) EFFECT OF DETERMINATION.--The Commission
shall repeal or modify any regulation it determines to be no longer necessary in the public interest. TITLE II--COMMON CARRIERS PART I--COMMON CARRIER REGULATION SEC. 201. [47 U.S.C.
201] SERVICE AND CHARGES. (a) It shall be the duty of every common carrier engaged in interstate or foreign communication by wire or radio to furnish such communication service
Communications Act of 1934 36 upon reasonable request therefor; and, in accordance with the orders of the Commission, in cases where the Commission, after opportunity for hearing, finds
such action necessary or desirable in the public interest, to establish physical connections with other carriers, to establish through routes and charges applicable thereto and the divisions
of such charges, and to establish and provide facilities and regulations for operating such through routes. (b) All charges, practices, classifications, and regulations for and in connection
with such communication service, shall be just and reasonable, and any such charge, practice, classification, or regulation that is unjust or unreasonable is hereby declared to be unlawful:
Provided, That communications by wire or radio subject to this Act may be classified into day, night, repeated, unrepeated, letter, commercial, press, Government and such other classes
as the Commission may decide to be just and reasonable, and different charges may be made for the different classes of comunications: Provided further, That nothing in this Act or in
any other provision of law shall be construed to prevent a common carrier subject to this Act from entering into or operating under any contract with any common carrier not subject to
this Act, for the exchange of their services, if the Commission is of the opinion that such contract is not contrary to the public interest: Provided further, That nothing in this Act
or in any other provision of law shall prevent a common carrier subject to this Act from furnishing reports of positions of ships at sea to newspapers of general circulation, either
at a nominal charge or without charge, provided the name of such common carrier is displayed along with such ship position reports. The Commissioner may prescribe such rules and regulations
as may be necessary in the public interest to carry out the provisions of this Act. SEC. 202. [47 U.S.C. 202] DISCRIMINATION AND PREFERENCES. (a) It shall be unlawful for any common
carrier to make any unjust or unreasonable discrimination in charges, practices, classifications, regulations, facilities, or services for or in connection with like communication service,
directly or indirectly, by any means or device, or to make or give any undue or unreasonable preference or advantage to any particular person, class of persons, or locality, or to subject
any particular person, class of persons, or locality to any undue or unreasonable prejudice or disadvantage. (b) Charges or services, whenever referred to in this Act, include charges
for, or services in connection with, the use of common carrier lines of communication, whether derived from wire or radio facilities, in chain broadcasting or incidental to radio communication
of any kind. (c) Any carrier who knowingly violates the provisions of this section shall forfeit to the United States the sum of $6,000 for each such offense and $300 for each and every
day of the continuance of such offense. SEC. 203. [47 U.S.C. 203] SCHEDULES OF CH
ARGES.Communications Act of 1934 37 (a) Every common carrier, except connecting carriers, shall, within such reasonable time as the Commission shall designate, file with the Commission
and print and keep open for public inspection schedules showing all charges for itself and its connecting carriers for interstate and foreign wire or radio communication between the
different points on its own system, and between points on its own system and points on the system of its connecting carriers or points on the system of any other carrier subject to this
Act when a through route has been established, whether such charges are joint or separate, and showing the classifications, practices, and regulations affecting such charges. Such schedules
shall contain such other information, and be printed in such form, and be posted and kept open for public inspection in such places, as the Commission may by regulation require, and
each such schedule shall give notice of its effective date; and such common carrier shall furnish furnish such schedules to each of its connecting carriers, and such connecting carriers
shall keep such schedules open for inspection in such public places as the Commission may require. (b)(1) No change shall be made in the charges, classifications, regulations, or practices
which have been so filed and published except after one hundred and twenty days notice to the Commission and to the public, which shall be published in such form and contain such information
as the Commission may by regulations prescribe. (2) The Commission may, in its discretion and for good cause shown, modify any requirement made by or under the authority of this section
either in particular instances or by general order applicable to special circumstances or conditions except that the Commission may not require the notice period specified in paragraph
(1) to be more than one hundred and twenty days. (c) No carrier, unless otherwise provided by or under authority of this Act, shall engage or participate in such communication unless
schedules have been filed and published in accordance with the provisions of this Act and with the regulations made thereunder; and no carrier shall (1) charge, demand, collect, or receive
a greater or less or different compensation, for such communication, or for any service in connection therewith, between the points named in any such schedule than the charges specified
in the schedule then in effect, or (2) refund or remit by any means or device any portion of the charges so specified, or (3) extend to any person any privileges or facilities, in such
communication, or employ or enforce any classifications, regulations, or practices affecting such charges, except as specified in such schedule. (d) The Commission may reject and refuse
to file any schedule entered for filing which does not provide and give lawful notice of its effective date. Any schedule so rejected by the Commission shall be void and its use shall
be unlawful. (e) In case of failure or refusal on the part of any carrier to comply with the provisions of this section or of any regulation or order made by the Commission thereunder,
such carrier shall forfeit to the United States the sum of $6,000 for
Communications Act of 1934 38 each such offense, and $300 for each and every day of the continuance of such offense. SEC. 204. [47 U.S.C. 204] HEARING AS TO LAWFULNESS OF NEW CHARGES;
SUSPENSION. (a)(1) Whenever there is filed with the Commission any new or revised charge, classification, regulation, or practice, the Commission may either upon complaint or upon its
own initiative without complaint, upon reasonable notice, enter upon a hearing concerning the lawfulness thereof; and pending such hearing and the decision thereon the Commission, upon
delivering to the carrier or carriers affected thereby a statement in writing of its reasons for such suspension, may suspend the operation of such charge, classification, regulation,
or practice, in whole or in part but not for a longer period than five months beyond the time when it would otherwise go into effect; and after full hearing the Commission may make such
order with reference thereto as would be proper in a proceeding initiated after such charge, classification, regulation, or practice had become effective. If the proceeding has not been
concluded and an order made within the period of the suspension, the proposed new or revised charge, classification, regulation, or practice shall go into effect at the end of such period;
but in case of a proposed charge for a new service or a revised charge, the Commission may by order require the interested carrier or carriers to keep accurate account of all amounts
received by reason of such charge for a new service or revised charge, specifying by whom and in whose behalf such amounts are paid, and upon completion of the hearing and decision may
by further order require the interested carrier or carriers to refund, with interest, to the persons in whose behalf such amounts were paid, such portion of such charge for a new service
or revised charges as by its decision shall be found not justified. At any hearing involving a new or revised charge, or a proposed new or revised charge, the burden of proof to show
that the new or revised charge, or proposed charge, is just and reasonable shall be upon the carrier, and the Commission shall give to the hearing and decision of such questions preference
over all other questions pending before it and decide the same as speedily as possible. (2)(A) Except as provided in subparagraph (B), the Commission shall, with respect to any hearing
under this section, issue an order concluding such hearing within 5 months after the date that the charge, classification, regulation, or practice subject to the hearing becomes effective.
(B) The Commission shall, with respect to any such hearing initiated prior to the date of enactment of this paragraph, issue an order concluding the hearing not later than 12 months
after such date of enactment. (C) Any order concluding a hearing under this section shall be a final order and may be appealed under section 402(a). (3) A local exchange carrier may
file with the Commission a new or
Communications Act of 1934 39 revised charge, classification, regulation, or practice on a streamlined basis. Any such charge, classification, regulation, or practice shall be deemed
lawful and shall be effective 7 days (in the case of a reduction in rates) or 15 days (in the case of an increase in rates) after the date on which it is filed with the Commission unless
the Commission takes action under paragraph (1) before the end of that 7-day or 15-day period, as is appropriate. (b) Notwithstanding the provisions of subsection (a) of this section,
the Commission may allow part of a charge, classification, regulation, or practice to go into effect, based upon a written showing by the carrier or carriers affected, and an opportunity
for written comment thereon by affected persons, that such partial authorization is just, fair, and reasonable. Additionally, or in combination with a partial authorization, the Commission,
upon a similar showing, may allow all or part of a charge, classification, regulation, or practice to go into effect on a temporary basis pending further order of the Commission. Authorizations
of temporary new or increased charges may include an accounting order of the type provided for in subsection (a). SEC. 205. [47 U.S.C. 205] COMMISSION AUTHORIZED TO PRESCRIBE JUST AND
REASONABLE CHARGES. (a) Whenever, after full opportunity for hearing, upon a complaint or under an order for investigation and hearing made by the Commission on its own initiative, the
Commission shall be of opinion that any charge, classification, regulation, or practice of any carrier or carriers is or will be in violation of any of the provisions of this Act, the
Commission is authorized and empowered to determine and prescribe what will be the just and reasonable charge or the maximum or minimum, or maximum and minimum, charge or charges to
be thereafter observed, and what classification, regulation, or practice is or will be just, fair, and reasonable, to be thereafter followed, and to make an order that the carrier or
carriers shall cease and desist from such violation to the extent that the Commission finds that the same does or will exist, and shall not thereafter publish, demand, or collect any
charge other than the charge so prescribed, or in excess of the maximum or less than the minimum so prescribed, as the case may be, and shall adopt the classification and shall conform
to and observe the regulation or practice so prescribed. (b) Any carrier, any officer, representative, or agent of a carrier, or any receiver, trustee, lessee, or agent of either of
them, who knowingly fails or neglects to obey any order made under the provisions of this section shall forfeit to the United States the sum of $12,000 for each offense. Every distinct
violation shall be a separate offense, and in case of continuing violation each day shall be deemed a separate offense.
Communications Act of 1934 40 SEC. 206. [47 U.S.C. 206] LIABILITY OF CARRIERS FOR DAMAGES. In case any common carrier shall do, or cause or permit to be done, any act, matter, or thing
in this Act prohibited or declared to be unlawful, or shall omit to do any act, matter, or thing in this Act required to be done, such common carrier shall be liable to the person or
persons injured thereby for the full amount of damages sustained in consequence of any such violation of the provisions of this Act, together with a reasonable counsel or attorney's
fee, to be fixed by the court in every case of recovery, which attorney's fee shall be taxed and collected as part of the costs in the case. SEC. 207. [47 U.S.C. 207] RECOVERY OF DAMAGES.
Any person claiming to be damaged by any common carrier subject to the provisions of this Act may either make complaint to the Commission as hereinafter provided for, or may bring suit
for the recovery of the damages for which such common carrier may be liable under the provisions of of this Act, in any district court of the United States of competent jurisdiction;
but such person shall not have the right to pursue both such remedies. SEC. 208. [47 U.S.C. 208] COMPLAINTS TO THE COMMISSION. (a) Any person, any body politic or municipal organization,
or State commission, complaining of anything done or omitted to be done by any common carrier subject to this Act, in contravention of the provisions thereof, may apply to said Commission
by petition which shall briefly state the facts, whereupon a statement of the complaint thus made shall be forwarded by the Commission to such common carrier, who shall be called upon
to satisfy the complaint or to answer the same in writing within a reasonable time to be specified by the Commission. If such common carrier within the time specified shall make reparation
for the injury alleged to have been caused, the common carrier shall be relieved of liability to the complainant only for the particular violation of law thus complained of. If such
carrier or carriers shall not satisfy the complaint within the time specified or there shall appear to be any reasonable ground for investigating said complaint, it shall be the duty
of the Commission to investigate the matters complained of in such manner and by such means as it shall deem proper. No complaint shall at any time be dismissed because of the absence
of direct damage to the complainant. (b)(1) Except as provided in paragraph (2), the Commission shall, with respect to any investigation under this section of the lawfulness of a charge,
classification, regulation, or practice, issue an order concluding such investigation within 5 months after the date on which the complaint was filed. (2) The Commission shall, with
respect to any such investigation initiated prior to the date of enactment of this subsection, issue an order concluding the investigation not later than 12 months after such date of
enactment.
Communications Act of 1934 41 (3) Any order concluding an investigation under paragraph (1) or (2) shall be a final order and may be appealed under section 402(a). SEC. 209. [47 U.S.C.
209] ORDERS FOR PAYMENT OF MONEY. If, after hearing on a complaint, the Commission shall determine that any party complainant is entitled to an award of damages under the provisions
of this Act, the Commission shall make an order directing the carrier to pay to the complainant the sum to which he is entitled on or before a day named. SEC. 210. [47 U.S.C. 210] FRANKS
AND PASSES. (a) Nothing in this Act or in any other provision of law shall be construed to prohibit common carriers from issuing or giving franks to, exchanging franks with each other
for the use of, their officers, agents, employees, and their families, or subject to such rules as the Commission may prescribe, from issuing, giving, or exchanging franks and passes
to or with other common carriers not subject to the provisions of this Act, for the use of their officers, agents, employees, and their families. The term ''employees,'' as used in this
section, shall include furloughed, pensioned, and superannuated employees. (b) Nothing in this Act or in any other provision of law shall be construed to prohibit common carriers from
rendering to any agency of the Government free service in connection with the preparation for the national defense: Provided, That such free service may be rendered only in accordance
with such rules and regulations as the Commission may prescribe therefor. SEC. 211. [47 U.S.C. 211] COPIES OF CONTRACTS TO BE FILED. (a) Every carrier subject to this Act shall file
with the Commission copies of all contracts, agreements, or arrangements with other carriers, or with common carriers not subject to the provisions of this Act, in relation to any traffic
affected by the provisions of this Act to which it may be a party. (b) The Commission shall have authority to require the filing of any other contracts of any carrier, and shall also
have authority to to exempt any carrier from submitting copies of such minor contracts as the Commission may determine. SEC. 212. [47 U.S.C. 212] INTERLOCKING DIRECTORATES--OFFICIALS
DEALING IN SECURITIES. It shall be unlawful for any person to hold the position of officer or director of more than one carrier subject to this Act, unless such holding shall have been
authorized by order of the Commission, upon due showing in form and manner prescribed by the Commission, that neither public nor private interests will be adversely affected thereby:
Provided, That the Commission may authorize persons to hold the position of officer or director in more than one such carrier, without regard to the requirements of this section, where
it has found that one of the two
Communications Act of 1934 42 or more carriers directly or indirectly owns more than 50 per centum of the stock of the other or others, or that 50 per centum or more of the stock of
all such carriers is directly or indirectly owned by the same person. After this section takes effect it shall be unlawful for any officer or director of any carrier subject to this
Act to receive for his own benefit directly or indirectly, any money or thing of value in respect of negotiation, hypothecation, or sale of any securities issued or to be issued by such
carriers, or to share in any of the proceeds thereof, or to participate in the making or paying of any dividends of such carriers from any funds properly included in capital account.
SEC. 213. [47 U.S.C. 213] VALUATION OF CARRIER PROPERTY. (a) The Commission may from time to time, as may be necessary for the proper administration of this Act, and after opportunity
for hearing, make a valuation of all or of any part of the property owned or used by any carrier subject to this Act, as of such date as the Commission may fix. (b) The Commission may
at any time require any such carrier to file with the Commission an inventory of all or of any part of the property owned or used by said carrier, which inventory shall show the units
of said property classified in such detail, and in such manner, as the Commission shall direct, and shall show the estimated cost of reproduction new of said units, and their reproduction
cost new less depreciation, as of such date as the Commission may direct; and such carrier shall file such inventory within such reasonable time as the Commission by order shall require.
(c) The Commission may at any time require any such carrier to file with the Commission a statement showing the original cost at the time of dedication to the public use of all or of
any part of the property owned or used by said carrier. For the showing of such original cost said property shall be classified, and the original cost shall be defined, in such manner
as the Commission may prescribe; and if any part of such cost cannot be determined from accounting or other records, the portion of the property for which such cost cannot be determined
shall be reported to the Commission; and if the Commission shall so direct, the original cost thereof shall be estimated in such manner as the Commission may prescribe. If the carrier
owning the property at the time such original cost is reported shall have paid more or less than the original cost to acquire the same, the amount of such cost of acquisition, and any
facts which the Commission may require in connection therewith, shall be reported with such original cost. The report made by a carrier under this paragraph shall show the source or
sources from which the original cost reported was obtained, and such other information as to the manner in which the report was prepared, as the Commission shall require. (d) Nothing
shall be included in the original cost reported for the property of any carrier under paragraph (c) of this section on account of any easement, license, or franchise granted by the United
States or by any State or political
Communications Act of 1934 43 subdivision thereof, beyond the reasonable necessary expense lawfully incurred in obtaining such easement, license, or franchise from the public authority
aforesaid, which expense shall be reported separately from all other costs in such detail as the Commission may require; and nothing shall be included in any valuation of the property
of any carrier made by the Commission on account of any such easement, license, or franchise, beyond such reasonable necessary expense lawfully incurred as aforesaid. (e) The Commission
shall keep itself informed of all new construction, extensions, improvements, retirements, or other changes in the condition, quantity, use, and classification of the property of common
carriers, and of the cost of all additions and betterments thereto and of all changes in the investment therein, and may keep itself informed of current changes in costs and values of
carrier properties. (f) For the purpose of enabling the Commission to make a valuation of any of the property of any such carrier, or to find the original cost of such property, or to
find any other facts concerning the same which are required for use by the Commission, it shall be the duty of each such carrier to furnish to the Commission, within such reasonable
time as the Commission may order, any information with respect thereto which the Commission may by order require, including copies of maps, contracts, reports of engineers, and other
data, records, and papers, and to grant to all agents of the Commission free access to its property and its accounts, records, and memoranda whenever and wherever requested by any such
duly authorized agent, and to cooperate with and aid the Commission in the work of making any such valuation of finding in such manner and to such extent as the Commission may require
and direct, and all rules and regulations made by the Commission for the purpose of administering this section shall have the full force and effect of law. Unless otherwise ordered by
the Commission, with the reasons therefor, the records and data of the Commission shall be open to the inspection and examination of the public. The Commission, in making any such valuation,
shall be free to adopt any method of valuation which shall be lawful. (g) Nothing in this section shall impair or diminish the powers of any State commission. SEC. 214. [47 U.S.C. 214]
EXTENSION OF LINES. (a) No carrier shall undertake the construction of a new line or of an extension of any line, or shall acquire or operate any line, or extension thereof, or shall
engage in transmission over or by means of such additional or extended line, unless and until there shall first have been obtained from the Commission a certificate that the present
or future public convenience and necessity require or will require the construction, or operation, or construction and operation, of such additional or extended line: Provided, That
no such certificate shall be required under this section for the construction, acquisition, or operation of (1) a line line within
Communications Act of 1934 44 a single State unless such line constitutes part of an interstate line, (2) local, branch, or terminal lines not exceeding ten miles in length, or (3) any
line acquired under section 221 of this Act: Provided further, That the Commission may, upon appropriate request being made, authorize temporary or emergency service, or the supplementing
of existing facilities, without regard to the provisions of this section. No carrier shall discontinue, reduce, or impair service to a community, or part of a community, unless and until
there shall first have been obtained from the Commission a certificate that neither the present nor future public convenience and necessity will be adversely affected thereby; except
that the Commission may, upon appropriate request being made, authorize temporary or emergency discontinuance, reduction, or impairment of service, or partial discontinuance, reduction,
or impairment of service, without regard to the provisions of this section. As used in this section the term ''line'' means any channel of communication established by the use of appropriate
equipment, other than a channel of communication established by the interconnection of two or more existing channels: Provided, however, That nothing in this section shall be construed
to require a certificate or other authorization from the Commission for any installation, replacement, or other changes in plant, operation, or equipment, other than new construction,
which will not impair the adequacy or quality of service provided. (b) Upon receipt of an application for any such certificate, the Commission shall cause notice thereof to be given
to, and shall cause a copy of such application to be filed with, the Secretary of Defense, the Secretary of State (with respect to such applications involving service to foreign points),
and the Governor of each State in which such line is proposed to be constructed, extended, acquired, or operated, or in which such discontinuance, reduction, or impairment of service
is proposed, with the right to those notified to be heard; and the Commission may require such published notice as it shall determine. (c) The Commission shall have power to issue such
certificate as applied for, to refuse to issue it, or to issue it for a portion or portions of a line, or extension thereof, or discontinuance, reduction, or impairment of service, described
in the application, or for the partial exercise only of such right or privilege, and may attach to the issuance of the certificate such terms and conditions as in its judgment the public
convenience and necessity may require. After issuance of such certificate, and not before, the carrier may, without securing approval other than such certificate, comply with the terms
and conditions contained in or attached to the issuance of such certificate and proceed with
the construction, extension, acquisition, operation, or discontinuance, reduction, or impairment of service covered thereby. Any construction, extension, acquisition, operation, discontinuance,
reduction, or impairment of service contrary to the provisions of this section may be enjoined by any court of competent jurisdiction at the suit of the United States, the Commission,
the State commission, any State
Communications Act of 1934 45 affected, or any party in interest. (d) The Commission may, after full opportunity for hearing, in a proceeding upon complaint or upon its own initiative
without complaint, authorize or require by order any carrier, party to such proceeding, to provide itself with adequate facilities for the expeditious and efficient performance of its
service as a common carrier and to extend its line or to establish a public office; but no such authorization or order shall be made unless the Commission finds, as to such provision
of facilities, as to such establishment of public offices, or as to such extension, that it is reasonably required in the interest of public convenience and necessity, or as to such
extension or facilities that the expense involved therein will not impair the ability of the carrier to perform its duty to the public. Any carrier which refuses or neglects to comply
with any order of the Commission made in pursuance of this paragraph shall forfeit to the United States $1,200 for each day during which such refusal or neglect continues. (e) PROVISION
OF UNIVERSAL SERVICE.--(1) ELIGIBLE TELECOMMUNICATIONS CARRIERS.--A common carrier designated as an eligible telecommunications carrier under paragraph (2) or (3) shall be eligible to
receive universal service support in accordance with section 254 and shall, throughout the service area for which the designation is received--(A) offer the services that are supported
by Federal universal service support mechanisms under section 254(c), either using its own facilities or a combination of its own facilities and resale of another carrier's services
(including the services offered by another eligible telecommunications carrier); and (B) advertise the availability of such services and the charges therefor using media of general distribution.
(2) DESIGNATION OF ELIGIBLE TELECOMMUNICATIONS CARRIERS.--A State commission shall upon its own motion or upon request designate a common carrier that meets the requirements of paragraph
(1) as an an eligible telecommunications carrier for a service area designated by the State commission. Upon request and consistent with the public interest, convenience, and necessity,
the State commission may, in the case of an area served by a rural telephone company, and shall, in the case of all other areas, designate more than one common carrier as an eligible
telecommunications carrier for a service area designated by the State commission, so long as each additional requesting carrier meets the requirements of paragraph (1). Before designating
an additional eligible telecommunications carrier for an area served by a rural telephone company, the State commission shall find that the designation is in the public interest. (3)
DESIGNATION OF ELIGIBLE TELECOMMUNICATIONS CARRIERS
Communications Act of 1934 46 FOR UNSERVED AREAS.--If no common carrier will provide the services that are supported by Federal universal service support mechanisms under section 254(c)
to an unserved community or any portion thereof that requests such service, the Commission, with respect to interstate services, or a State commission, with respect to intrastate services,
shall determine which common carrier or carriers are best able to provide such service to the requesting unserved community or portion thereof and shall order such carrier or carriers
to provide such service for that unserved community or portion thereof. Any carrier or carriers ordered to provide such service under this paragraph shall meet the requirements of paragraph
(1) and shall be designated as an eligible telecommunications carrier for that community or portion thereof. (4) RELINQUISHMENT OF UNIVERSAL SERVICE.--A State commission shall permit
an eligible telecommunications carrier to relinquish its designation as such a carrier in any area served by more than one eligible telecommunications carrier. An eligible telecommunications
carrier that seeks to relinquish its eligible telecommunications carrier designation for an area served by more than one eligible telecommunications carrier shall give advance notice
to the State commission of such relinquishment. Prior to permitting a telecommunications carrier designated as an eligible telecommunications carrier to cease providing universal service
in an area served by more than one eligible telecommunications carrier, the State commission shall require the remaining eligible telecommunications carrier or carriers to ensure that
all customers served by the relinquishing carrier will continue to be served, and shall require sufficient notice to permit the purchase or construction of adequate facilities by any
remaining eligible telecommunications carrier. The State commission shall establish a time, not to exceed one year after the State commission approves such relinquishment under this
paragraph, within which such purchase or construction shall be completed. (5) SERVICE AREA DEFINED.--The term ''service area'' means a geographic area established by a State commission
for the purpose of determining universal service obligations and support mechanisms. In the case of an area served by a rural telephone company, ''service area'' means such company's
''study area'' unless and until the Commission and the States, after taking into account recommendations of a Federal-State Joint Board instituted under section 410(c), establish a different
definition of service area for such company. SEC. 215. [47 U.S.C. 215] TRANSACTIONS RELATING TO SERVICES, EQUIPMENT, AND SO FORTH. (a) The Commission shall examine into transactions
entered into by any
Communications Act of 1934 47 common carrier which relate to the furnishing of equipment, supplies, research, services, finances, credit, or personnel to such carrier and/or which may
affect the changes made or to be made and/or the services rendered or to be rendered by such carrier, in wire or radio communications subject to this Act, and shall report to the Congress
whether any such transactions have affected or are likely to affect adversely the ability of the carrier to render adequate service to the public, or may result in any undue or unreasonable
increase in charges or in the maintenance of undue or unreasonable charges for such service; and in order to fully examine into such transactions the Commission shall have access to
and the right of inspection and examination of all accounts, records, and memoranda including all documents, papers, and correspondence now or hereafter existing, of persons furnishing
such equipment, supplies, research, services, finances, credit, or personnel. The Commission shall include in its report its recommendations for necessary legislation in connection with
such transactions, and shall report specifically whether in its opinion legislation should be enacted (1) authorizing the Commission to declare any such transactions void or to permit
such transactions to be carried out subject to such modification of their terms and conditions as the Commission shall deem desirable in the public interest; and/or (2) subjecting such
transactions to the approval of the Commission where the person furnishing or seeking to furnish the equipment, supplies, research, service, finances, credit or personnel is a person
directly or indirectly controlling or controlled by, or under direct or indirect common control with, such carrier; and/or (3) authorizing the Commission to require that all or any transactions
of carriers involving the furnishing of equipment, supplies, research, services, finances, credit, or personnel to such carrier be upon competitive bids on such terms and conditions
and subject to such regulations as it shall prescribe as necessary in the public interest. (b) The Commission shall investigate the methods by which and the extent to which wire telephone
companies are furnishing wire telegraph service and wire telegraph companies are furnishing wire telephone service, and shall report its findings to Congress together with its recommendations
as to whether additional legislation on this subject is desirable. (c) The Commission shall examine all contracts of common carriers subject to this Act which prevent the other party
thereto from dealing with another common carrier subject to this Act, and shall report its findings to Congress, together with its recommendations as to whether additional legislation
on this subject is desirable. SEC. 216. [47 U.S.C. 216] APPLICATION OF ACT TO RECEIVERS AND TRUSTEES. The provisions of this Act shall apply to all receivers and operating trustees of
carriers subject to this Act to the same extent that it applies to carriers.
Communications Act of 1934 48 SEC. 217. [47 U.S.C. 217] LIABILITY OF CARRIER FOR ACTS AND OMISSIONS OF AGENTS. In construing and enforcing the provisions of this Act, the act, omission,
or failure of any officer, agent, or other person acting for or employed by any common carrier or user, acting within the scope of his employment, shall in every case be also deemed
to be the act, omission, or failure of such carrier or user as well as that of the person. SEC. 218. [47 U.S.C. 218] INQUIRIES INTO MANAGEMENT. The Commission may inquire into the management
of the business of all carriers subject to this Act, and shall keep itself informed as to the manner and method in which the same is conducted and as to technical developments and improvements
in wire and radio communication and radio transmission of energy to the end that the benefits of new inventions and developments may be made available to the people of the United States.
The Commission may obtain from such carriers and from persons directly or indirectly controlling or controlled by, or under direct or indirect common control with, such carriers full
and complete information necessary to enable the Commission to perform the duties and carry out the objects for which it was created. SEC. 219. [47 U.S.C. 219] ANNUAL AND OTHER REPORTS.
(a) The Commission is authorized to require annual reports from all carriers subject to this Act, and from persons directly or indirectly controlling or controlled by, or under direct
or indirect common control with, any such carrier, to prescribe the manner in which such reports shall be made, and to require from such persons specific answers to all questions upon
which the Commission may need information. Except as otherwise required by the Commission, such annual reports shall show in detail the amount of capital stock issued, the amount and
privileges of each class of stock, the amounts paid therefor, and the manner of payment for the same; the dividends paid and the surplus fund, if any; the number of stockholders (and
the the names of the thirty largest holders of each class of stock and the amount held by each); the funded and floating debts and the interest paid thereon; the cost and value of the
carrier's property, franchises, and equipment; the number of employees and the salaries paid each class; the names of all officers and directors, and the amount of salary, bonus, and
all other compensation paid to each; the amounts expended for improvements each year, how expended, and the character of such improvements; the earnings and receipts from each branch
of business and from all sources; the operating and other expenses; the balances of profit and loss; and a complete exhibit of the financial operations of the carrier each year, including
an annual balance sheet. Such reports shall also contain such information in relation to charges or regulations concerning charges, or
Communications Act of 1934 49 agreements, arrangements, or contracts affecting the same, as the Commission may require. (b) Such reports shall be for such twelve months' period as the
Commission shall designate and shall be filed with the Commission at its office in Washington within three months after the close of the year for which the report is made, unless additional
time is granted in any case by the Commission; and if any person subject to the provisions of this section shall fail to make and file said annual reports within the time above specified,
or within the time extended by the Commission, for making and filing the same, or shall fail to make specific answer to any question authorized by the provisions of this section within
thirty days from the time it is lawfully required so to do, such person shall forfeit to the United States the sum of $1,200 for each and every day it shall continue to be in default
with respect thereto. The Commission may by general or special orders require any such carriers to file monthly reports of earnings and expenses and to file periodical and/or special
reports concerning any matters with respect to which the Commission is authorized or required by law to act. If any such carrier shall fail to make and file any such periodical or special
report within the time fixed by the Commission, it shall be subject to the forefeitures above provided. SEC. 220. [47 U.S.C. 220] ACCOUNTS, RECORDS, AND MEMORANDA; DEPRECIATION CHARGES
(a)(1) The Commission may, in its discretion, prescribe the forms of any and all accounts, records, and memoranda to be kept by carriers subject to this Act, including the accounts,
records, and memoranda of the movement of traffic, as well as of the receipts and expenditures of moneys. (2) The Commission shall, by rule, prescribe a uniform system of accounts for
use by telephone companies. Such uniform system shall require that each common carrier shall maintain a system of accounting methods, procedures, and techniques (including accounts and
supporting records and memoranda) which shall ensure a proper allocation of all costs to and among telecommunications services, facilities, and products (and to and among classes of
such services, facilities, and products) which are developed, manufactured, or offered by such common carrier. (b) The Commission may prescribe for such carriers as it determines to
be appropriate, the classes of property for which depreciation charges may be properly included under operating expenses, and the percentages of depreciation which shall be charged with
respect to each of such classes of property, classifying the carriers as it may deem proper for this purpose. The Commission may, when it deems necessary, modify the classes and percentages
so prescribed. Such carriers shall not, after the Commission has prescribed the classes of property for which depreciation charges may be included, charge to operating expenses any
Communications Act of 1934 50 depreciation charges on classes of property other than those prescribed by the Commission, or, after the Commission has prescribed percentages of depreciation,
charge with respect to any class of property a percentage of depreciation other than that prescribed therefor by the Commission. No such carrier shall in any case include in any form
under its operating or other expenses any depreciation or other charge or expenditure included elsewhere as a depreciation charge or otherwise under its operating or other expenses.
(c) The Commission shall at all times have access to and the right of inspection and examination of all accounts, records, and memoranda, including all documents, papers, and correspondence
now or hereafter existing, and kept or required to be kept by such carriers, and the provisions of this section respecting the preservation and destruction of books, papers, and documents
shall apply thereto. The burden of proof to justify every accounting entry questioned by the Commission shall be on the person making, authorizing, or requiring such entry and the Commission
may suspend a charge or credit pending submission of proof by such person. Any provision of law prohibiting the disclosure of the contents of messages or communications shall not be
deemed to prohibit the disclosure of any matter in accordance with the provisions of this section. The Commission may obtain the services of any person licensed to provide public accounting
services under the law of any State to assist with, or conduct, audits under this section. While so employed or engaged in conducting an audit for the Commission under this section,
any such person shall have the powers granted the Commission under this subsection and shall be subject to subsection (f) in the same manner as if that person were an employee of the
Commission. (d) In case of failure or refusal on the part of any such carrier to keep such accounts, records, and memoranda on the books and in the manner prescribed by the Commission,
Commission, or to submit such accounts, records, memoranda, documents, papers, and correspondence as are kept to the inspection of the Commission or any of its authorized agents, such
carrier shall forfeit to the United States the sum of $6,000 for each day of the continuance of each such offense. (e) Any person who shall willfully make any false entry in the accounts
of any book of accounts or in any record or memoranda kept by any such carrier, or who shall willfully destroy, mutilate, alter, or by any other means or device falsify any such account,
record, or memoranda, or who shall willfully neglect or fail to make full, true, and correct entries in such accounts, records, or memoranda of all facts and transactions appertaining
to the business of the carrier, shall be deemed guilty of a misdemeanor, and shall be subject, upon conviction, to a fine of not less than $1,000 nor more than $5,000 or imprisonment
for a term of not less than one year nor more than three years, or both such fine and imprisonment: Provided, That the Commission may in its descretion issue orders specifying such operating,
accounting, or financial papers, records, books, blanks, or documents which may, after a reasonable time, be destroyed, and prescribing the length of time such
Communications Act of 1934 51 books, papers, or documents shall be preserved. (f) No member, officer, or employee of the Commission shall divulge any fact or information which may come
to his knowledge during the course of examination of books or other accounts, as hereinbefore provided, except insofar as he may be directed by the Commission or by a court. (g) After
the Commission has prescribed the forms and manner of keeping of accounts, records, or memoranda to be kept by any person as herein provided, it shall be unlawful for such person to
keep any other accounts, records, or memoranda than those so prescribed or such as may be approved by the Commission or to keep the accounts in any other manner than that prescribed
or approved by the Commission. Notice of alterations by the Commission in the required manner or form of keeping accounts shall be given to such persons by the Commission at least six
months before the same are to take effect. (h) The Commission may classify carriers subject to this Act and prescribe different requirements under this section for different classes
of carriers, and may, if it deems such action consistent with the public interest, except the carriers of any particular class or classes in any State from any of the requirements under
this section in cases where such carriers are subject to State commission regulation with respect to matters to which this section relates. (i) The Commission, before prescribing any
requirements as to accounts, records, or memoranda, shall notify each State commission having jurisdiction with respect to any carrier involved, and shall give reasonabale opportunity
to each such commission to present its views, and shall receive and consider such views and recommendations. (j) The Commission shall investigate and report to Congress as to the need
for legislation to define further or harmonize the powers of the Commission and of State commissions with respect to matters to which this section relates. SEC. 221. [47 U.S.C. 221]
SPECIAL PROVISIONS RELATING RELATING TO TELEPHONE COMPANIES. [(a) Repealed by Public Law 104-104; 110 Stat. 143.] (b) Subject to the provisions of sections 225 and 301, nothing in this
Act shall be construced to apply, or to give the Commission jurisdiction, with respect to charges, classifications, practices, services, facilities, or regulations for or in connection
with wire, mobile, or point-to-point radio telephone exchange service, or any combination thereof even though a portion of such exchange service constitutes interstate or foreign communication,
in any case where such matters are subject to regulation by a State commission or by local governmental authority. (c) For the purpose of administering this Act as to carriers engaged
in wire telephone communication, the Commission may classify the property of any such carrier used for wire telephone communication, and determine what property of said carrier shall
be considered as used in interstate or foreign telephone toll
Communications Act of 1934 52 service. Such classification shall be made after hearing, upon notice to the carrier, the State commission (or the Governor, if the State has no State commission)
of any State in which the property of said carrier is located, and such other persons as the commission may prescribe. ?? Sec. 221 (d) In making a valuation of the property of any wire
telephone carrier the Commission, after making the classification authorized in this section, may in its discretion value only that part of the property of such carrier determined to
be used in interstate or foreign telephone toll service. SEC. 222. [47 U.S.C. 222] PRIVACY OF CUSTOMER INFORMATION. (a) IN GENERAL.--Every telecommunications carrier has a duty to protect
the confidentiality of proprietary information of, and relating to, other telecommunication carriers, equipment manufacturers, and customers, including telecommunication carriers reselling
telecommunications services provided by a telecommunications carrier. (b) CONFIDENTIALITY OF CARRIER INFORMATION.--A telecommunications carrier that receives or obtains proprietary information
from another carrier for purposes of providing any telecommunications service shall use such information only for such purpose, and shall not use such information for its own marketing
efforts. (c) CONFIDENTIALITY OF CUSTOMER PROPRIETARY NETWORK INFORMATION.--(1) PRIVACY REQUIREMENTS FOR TELECOMMUNICATIONS CARRIERS.--Except as required by law or with the approval of
the customer, a telecommunications carrier that receives or obtains customer proprietary network information by virtue of its provision of a telecommunications service shall only use,
disclose, or permit access to individually identifiable customer proprietary network information in its provision of (A) the telecommunications service from which such information is
derived, or (B) services necessary to, or used in, the provision of such telecommunications service, including the publishing of directories. (2) DISCLOSURE ON REQUEST BY CUSTOMERS.--A
telecommunications carrier shall disclose customer proprietary network information, upon affirmative written request by the customer, to any person designated by the customer. (3) AGGREGATE
CUSTOMER INFORMATION.--A telecommunications carrier that receives or obtains customer proprietary network information by virtue of its provision of a telecommunications service may use,
disclose, or permit access to aggregate customer information other than for the purposes described in paragraph (1). A local exchange carrier may use,
Communications Act of 1934 53 disclose, or permit access to aggregate customer information other than for purposes described in paragraph (1) only if it provides such aggregate information
to other carriers or persons on reasonable and nondiscriminatory terms and conditions upon reasonable request therefor. (d) EXCEPTIONS.--Nothing in this section prohibits a telecommunications
carrier from using, disclosing, or permitting access to customer proprietary network information obtained from its customers, either directly or indirectly through its agents--(1) to
initiate, render, bill, and collect for telecommunications services; (2) to protect the rights or property of the carrier, or to protect users of those services and other carriers from
fraudulent, abusive, or unlawful use of, or subscription to, such services; or (3) to provide any inbound telemarketing, referral, or administrative services to the customer for the
duration of the call, if such call was initiated by the customer and the customer approves of the use of such information to provide such service. (e) SUBSCRIBER LIST INFORMATION.--Notwithstanding
subsections (b), (c), and (d), a telecommunications carrier that provides telephone exchange service shall provide subscriber list information gathered in its capacity as a provider
of such service on a timely and unbundled basis, under nondiscriminatory and reasonable rates, terms, and conditions, to any person upon request for the purpose of publishing directories
in any format. (f) DEFINITIONS.--As used in this section: (1) CUSTOMER PROPRIETARY NETWORK INFORMATION.--The term ''customer proprietary network information'' means--(A) information
that relates to the quantity, technical configuration, type, destination, and amount of use of a telecommunications service subscribed to by any customer of a telecommunications carrier,
and that is made available to the carrier by the customer solely by virtue of the carrier-customer relationship; and (B) information contained in the bills pertaining to telephone telephone
exchange service or telephone toll service received by a customer of a carrier; except that such term does not include subscriber list information. (2) AGGREGATE INFORMATION.--The term
''aggregate customer information'' means collective data that relates to a group or category of services or customers, from which individual customer identities and characteristics have
been removed. (3) SUBSCRIBER LIST INFORMATION.--The term ''subscriber list information'' means any information--
Communications Act of 1934 54 (A) identifying the listed names of subscribers of a carrier and such subscribers' telephone numbers, addresses, or primary advertising classifications
(as such classifications are assigned at the time of the establishment of such service), or any combination of such listed names, numbers, addresses, or classifications; and (B) that
the carrier or an affiliate has published, caused to be published, or accepted for publication in any directory format. SEC. 223. [47 U.S.C. 223] OBSCENE OR HARASSING TELEPHONE CALLS
IN THE DISTRICT OF COLUMBIA OR IN INTERSTATE OR FOREIGN COMMUNICATIONS. (a) Whoever--(1) in interstate or foreign communications--(A) by means of a telecommunications device knowingly--(i)
makes, creates, or solicits, and (ii) initiates the transmission of, any comment, request, suggestion, proposal, image, or other communication which is obscene, lewd, lascivious, filthy,
or indecent, with intent to annoy, abuse, threaten, or harass another person;(B) by means of a telecommunications device knowingly--(i) makes, creates, or solicits, and (ii) initiates
the transmission of, any comment, request, suggestion, proposal, image, or other communication which is obscene or indecent, knowing that the recipient of the communication is under
18 years of age, regardless of whether the maker of such communication placed the call or initiated the communication; (C) makes a telephone call or utilizes a telecommunications device,
whether or not conversation or communication ensues, without disclosing his identity and with intent to annoy, abuse, threaten, or harass any person at the called number or who receives
the communications; (D) makes or causes the telephone of another repeatedly or continuously to ring, with intent to harass any person at the called number; or (E) makes repeated telephone
calls or repeatedly initiates communication with a telecommunications device, during which conversation or communication ensues, solely to harass any person at the called number or who
receives the communication; or (2) knowingly permits any telecommunications facility under his control to be used for any activity prohibited by paragraph (1) with the
Communications Act of 1934 55 intent that it be used for such activity, shall be fined under title 18, United States Code,
or imprisoned not more than two years, or both. (b)(1) Whoever knowingly--(A) within the United States, by means of telephone, makes (directly or by recording device) any obscene communication
for commercial purposes to any person, regardless of whether the maker of such communication placed the call; or (B) permits any telephone facility under such person's control to be
used for an activity prohibited by subparagraph (A), shall be fined in accordance with title 18, United States Code, or imprisoned not more than two years, or both. (2) Whoever knowingly--(A)
within the United States, by means of telephone, makes (directly or by recording device) any indecent communication for commercial purposes which is available to any person under 18
years of age or to any other person without that person's consent, regardless of whether the maker of such communication placed the call; or (B) permits any telephone facility under
such person's control to be used for an activity prohibited by subparagraph (A), shall be fined not more than $50,000 or imprisoned not more than six months, or both. (3) It is a defense
to prosecution under paragraph (2) of this subsection that the defendant restricted access to the prohibited communication to persons 18 years of age or older in accordance with subsection
(c) of this section and with such procedures as the Commission may prescribe by regulation. (4) In addition to the penalties under paragraph (1), whoever, within the United States, intentionally
violates paragraph (1) or (2) shall be subject to a fine of not more than $50,000 for each violation. For purposes of this paragraph, each day of violation shall constitute a separate
violation. (5)(A) In addition to the penalties under paragraphs (1), (2), and (5), whoever, within the United States, violates paragraph (1) or (2) shall be subject to a civil fine of
not more than $50,000 for each violation. For purposes of this paragraph, each day of violation shall constitute a separate violation. (B) A fine under this paragraph may be assessed
either--(i) by a court, pursuant to civil action by the Commission or any attorney employed by the Commission who is designated by the Commission for such purposes, or (ii) by the Commission
after appropriate administrative proceedings. (6) The Attorney General may bring a suit in the appropriate district court of the United States to enjoin any act or practice which violates
paragraph (1) or (2). An injunction may be granted in accordance with the Federal Rules of Civil
Communications Act of 1934 56 Procedure. (c)(1) A common carrier within the District of Columbia or within any State, or in interstate or foreign commerce, shall not, to the extent technically
feasible, provide access to a communication specified in subsection (b) from the telephone of any subscriber who has not previously requested in writing the carrier to provide access
to such communication if the carrier collects from subscribers an identifiable charge for such communication that the carrier remits, in whole or in part, to the provider of such commuication.
(2) Except as provided in paragraph (3), no cause of action may be brought in any court or administrative agency against any common carrier, or any of its affiliates, including their
officers, directors, employees, agents, or authorized representatives on account of--(A) any action which the carrier demonstrates was taken in good faith to restrict access pursuant
to paragraph (1) of this subsection; or (B) any access permitted--(i) in good faith reliance upon the lack of any representation by a provider of communciations that communications provided
by that provider are communications specified in subsection (b), or (ii) because a specific representation by the provider did not allow the carrier, acting in good faith, a sufficient
period to restrict access to communications described in subsection (b). (3) Notwithstanding paragraph (2) of this subsection, a provider of communications services to which subscribers
are denied access pursuant to paragraph (1) of this subsection may bring an action for a declaratory judgment or similar action in a court. Any such action shall be limited to the question
of whether the communications which the provider seeks to provide fall within the category of communications to which the carrier will provide access only to subscribers who have previously
requested such access. (d) Whoever--(1) in interstate or foreign communications knowingly--(A) uses an interactive computer service to send to a specific person or persons under 18 years
of age, or (B) uses any interactive computer service to display in a manner available to a person under 18 years of age, any comment, request, suggestion, proposal, image, or other communication
that, in context, depicts or describes, in terms patently offensive as measured by contemporary community standards, sexual or excretory activities or organs, regardless of whether the
user of such service placed the call or initiated the communication; or (2) knowingly permits any telecommunications facility under such person's control to be used for an activity prohibited
by paragraph (1) with the intent that it be used for such activity,
Communications Act of 1934 57 shall be fined under title 18, United States Code, or imprisoned not more than two years, or both. (e) In addition to any other defenses available by law:
(1) No person shall be held to have violated subsection (a) or (d) solely for providing access or connection to or from a facility, system, or network not under that person's control,
including transmission, downloading, intermediate storage, access software, or other related capabilities that are incidental to providing such access or connection that does not include
the creation of the content of the communication. (2) The defenses provided by paragraph (1) of this subsection shall not be applicable to a person who is a conspirator with an entity
actively involved in the creation or knowing distribution of communications that violate this section, or who knowingly advertises the availability of such communications. (3) The defenses
provided in paragraph (1) of this subsection shall not be applicable to a person who provides provides access or connection to a facility, system, or network engaged in the violation
of this section that is owned or controlled by such person. (4) No employer shall be held liable under this section for the actions of an employee or agent unless the employee's or agent's
conduct is within the scope of his or her employment or agency and the employer (A) having knowledge of such conduct, authorizes or ratifies such conduct, or (B) recklessly disregards
such conduct. (5) It is a defense to a prosecution under subsection (a)(1)(B) or (d), or under subsection (a)(2) with respect to the use of a facility for an activity under subsection
(a)(1)(B) that a person--(A) has taken, in good faith, reasonable, effective, and appropriate actions under the circumstances to restrict or prevent access by minors to a communication
specified in such subsections, which may involve any appropriate measures to restrict minors from such communications, including any method which is feasible under available technology;
or (B) has restricted access to such communication by requiring use of a verified credit card, debit account, adult access code, or adult personal identification number. (6) The Commission
may describe measures which are reasonable, effective, and appropriate to restrict access to prohibited communications under subsection (d). Nothing in this section authorizes the Commission
to enforce, or is intended to provide the Commission with the authority to approve, sanction, or permit, the use of such measures. The Commission shall have no enforcement authority
over the failure to utilize such measures. The Commission shall not endorse specific products relating to
Communications Act of 1934 58 such measures. The use of such measures shall be admitted as evidence of good faith efforts for purposes of paragraph (5) in any action arising under subsection
(d). Nothing in this section shall be construed to treat interactive computer services as common carriers or telecommunications carriers. (f)(1) No cause of action may be brought in
any court or administrative agency against any person on account of any activity that is not in violation of any law punishable by criminal or civil penalty, and that the person has
taken in good faith to implement a defense authorized under this section or otherwise to restrict or prevent the transmission of, or access to, a communication specified in this section.(2)
No State or local government may impose any liability for commercial activities or actions by commercial entities, nonprofit libraries, or institutions of higher education in connection
with an activity or action described in subsection (a)(2) or (d) that is inconsistent with the treatment of those activities or actions under this section: Provided, however, That nothing
herein shall preclude any State or local government from enacting and enforcing complementary oversight, liability, and regulatory systems, procedures, and requirements, so long as such
systems, procedures, and requirements govern only intrastate services and do not result in the imposition of inconsistent rights, duties or obligations on the provision of interstate
services. Nothing in this subsection shall preclude any State or local government from governing conduct not covered by this section. (g) Nothing in subsection (a), (d), (e), or (f)
or in the defenses to prosecution under subsection (a) or (d) shall be construed to affect or limit the application or enforcement of any other Federal law. (h) For purposes of this
section--(1) The use of the term ''telecommunications device'' in this section--(A) shall not impose new obligations on broadcasting station licensees and cable operators covered by
obscenity and indecency provisions elsewhere in this Act; and (B) does not include an interactive computer service. (2) The term ''interactive computer service'' has the meaning provided
in section 230(e)(2). (3) The term ''access software'' means software (including client or server software) or enabling tools that do not create or provide the content of the communication
but that allow a user to do any one or more of the following: (A) filter, screen, allow, or disallow content; (B) pick, choose, analyze, or digest content; or (C) transmit, receive,
display, forward, cache, search, subset, organize, reorganize, or translate content. (4) The term ''institution of higher education'' has the meaning
Communications Act of 1934 59 provided in section 1201 of the Higher Education Act of 1965 (20 U.S.C. 1141). (5) The term ''library'' means a library eligible for participation in State-based
plans for funds under title III of the Library Services and Construction Act (20 U.S.C. 355e et seq.). SEC. 224. [47 U.S.C. 224] REGULATION OF POLE ATTACHMENTS. (a) As used in this section:
(1) The term ''utility'' means any person who is a local exchange carrier or an electric, gas, water, steam, or other public utility, and who owns or controls poles, ducts, conduits,
or rights-of-way used, in whole or in part, for any wire communications. Such term does not include any railroad, any person who is cooperatively organized, or any person owned by the
Federal Government or any State. (2) The term ''Federal Government'' means the Government of the United States or any agency or instrumentality thereof. (3) The term ''State'' means
any State, territory, or possession of the United States, the District of Columbia, or any political subdivision, agency, or instrumentality thereof. (4) The term ''pole attachment''
means any attachment by a cable television system or provider of telecommunications service to a pole, duct, conduit, or right-of-way owned or controlled by a utility. (5) For purposes
of this section, the term ''telecommunications carrier'' (as defined in section 3 of this Act) does not include any incumbent local exchange carrier as defined in section 251(h). (b)(1)
Subject to the provisions of subsection (c) of this section, the Commission shall regulate the rates, terms, and conditions for pole attachments to provide that such rates, terms, and
conditions are just and reasonable, and shall adopt procedures necessary and appropriate to hear and resolve complaints concerning such rates, terms, and conditions. For purposes of
enforcing any determinations resulting from complaint procedures established pursuant to this subsection, the Commission shall take such action as it deems appropriate and necessary,
including issuing cease and desist orders, as authorized by section 312(b) of title III of the Communications Act of 1934, as amended. (2) The Commission shall prescribe by rule regulations
to carry out the provisions of this section. (c)(1) Nothing in this section shall be construed to apply to, or to give the Commission jurisdiction with respect to rates, terms, and conditions,
or access to poles, ducts, conduits, and rights-of-way as provided in subsection (f), for pole attachments in any case where such matters are regulated by a State. (2) Each State which
regulates the rates, terms, and conditions for pole attachments shall certify to the Commission that--
Communications Act of 1934 60 (A) it regulates such rates, terms, and conditions; and (B) in so regulating such rates, terms, and conditions, the State has the authority to consider
and does consider the interests of the subscribers of the services offered via such attachments, as well as the interests of the consumers of the utility services. (3) For purposes of
this subsection, a State shall not be considered to regulate the rates, terms, and conditions for pole attachments--(A) unless the State has issued and made effective rules and regulations
implementing the State's regulatory authority over pole attachments; and (B) with respect to any individual matter, unless the State takes final action on a complaint regarding such
matter--(i) within 180 days after the complaint is filed with the State, or(ii) within the applicable period prescribed for such final action in such rules and regulations of the State,
if the prescribed period does not extend beyond 360 days after the filing of such complaint. (d)(1) 1) For purposes of subsection (b) of this section, a rate is just and reasonable if
it assures a utility the recovery of not less than the additional costs of providing pole attachments, nor more than an amount determined by multiplying the percentage of the total usable
space, or the percentage of the total duct or conduit capacity, which is occupied by the pole attachment by the sum of the operating expenses and actual capital costs of the utility
attributable to the entire pole, duct, conduit, or right-of-way. (2) As used in this subsection, the term ''usable space'' means the space above the minimum grade level which can be
used for the attachment of wires, cables, and associated equipment. (3) This subsection shall apply to the rate for any pole attachment used by a cable television system solely to provide
cable service. Until the effective date of the regulations required under subsection (e), this subsection shall also apply to the rate for any pole attachment used by a cable system
or any telecommunications carrier (to the extent such carrier is not a party to a pole attachment agreement) to provide any telecommunications service. (e)(1) The Commission shall, no
later than 2 years after the date of enactment of the Telecommunications Act of 1996, prescribe regulations in accordance with this subsection to govern the charges for pole attachments
used by telecommunications carriers to provide telecommunications services, when the parties fail to resolve a dispute over such charges. Such regulations shall ensure that a utility
charges just, reasonable, and nondiscriminatory rates for pole attachments. (2) A utility shall apportion the cost of providing space on a pole, duct,
Communications Act of 1934 61 conduit, or right-of-way other than the usable space among entities so that such apportionment equals two-thirds of the costs of providing space other than
the usable space that would be allocated to such entity under an equal apportionment of such costs among all attaching entities. (3) A utility shall apportion the cost of providing usable
space among all entities according to the percentage of usable space required for each entity. (4) The regulations required under paragraph (1) shall become effective 5 years after the
date of enactment of the Telecommunications Act of 1996. Any increase in the rates for pole attachments that result from the adoption of the regulations required by this subsection shall
be phased in equal annual increments over a period of 5 years beginning on the effective date of such regulations. (f)(1) A utility shall provide a cable television system or any telecommunications
carrier with nondiscriminatory access to any pole, duct, conduit, or right-of-way owned or controlled by it. (2) Notwithstanding paragraph (1), a utility providing electric service may
deny a cable television system or any telecommunications carrier access to its poles, ducts, conduits, or rights-of-way, on a non-discriminatory basis where there is insufficient capacity
and for reasons of safety, reliability and generally applicable engineering purposes. (g) A utility that engages in the provision of telecommunications services or cable services shall
impute to its costs of providing such services (and charge any affiliate, subsidiary, or associate company engaged in the provision of such services) an equal amount to the pole attachment
rate for which such company would be liable under this section. (h) Whenever the owner of a pole, duct, conduit, or right-of-way intends to modify or alter such pole, duct, conduit,
or right-of-way, the owner shall provide written notification of such action to any entity that has obtained an attachment to such conduit or right-of-way so that such entity may have
a reasonable opportunity to add to or modify its existing attachment. Any entity that adds to or modifies its existing attachment after receiving such notification shall bear a proportionate
share of the costs incurred by the owner in making such pole, duct, conduit, or right-of-way accessible. (i) An entity that obtains an attachment to a pole, conduit, or right-of-way
shall not be required to bear any of the costs of rearranging or replacing its attachment, if such rearrangement or replacement is required as a result of an additional attachment or
the modification of an existing attachment sought by any other entity (including the owner of such pole, duct, conduit, or right-of-way). SEC. 225. [47 U.S.C. 225] TELECOMMUNICATIONS
SERVICES FOR HEARING-IMPAIRED AND SPEECH-IMPAIRED INDIVIDUALS. (a) DEFINITIONS.--As used in this section--(1) COMMON CARRIER OR CARRIER.--The term ''common carrier'' or
Communications Act of 1934 62 ''carrier'' includes any common carrier engaged in interstate communication by wire or radio as defined in section 3 and any common carrier engaged in intrastate
communication by wire or radio, notwithstanding sections 2(b) and 221(b). (2) TDD.--The term ''TDD'' means a Telecommunications Device for the Deaf, which is a machine that employs graphic
communication in the transmission of coded signals through a wire or radio communication system.(3) TELECOMMUNICATIONS RELAY SERVICES.--The term ''telecommunications relay services''
means telephone transmission services that provide the ability for an individual who has a hearing impairment or speech impairment to engage in communication by wire or radio with a
hearing individual in a manner that is functionally equivalent to the ability of an individual who does not have a hearing impairment or speech impairment to communicate using voice
communication services by wire or radio. Such term includes services that enable two-way communication between an individual who uses a TDD or other nonvoice terminal device and an individual
who does not use such a device. (b) AVAILABILITY OF TELECOMMUNICATIONS RELAY SERVICES.--(1) IN GENERAL.--In order to carry out the purposes established under section 1, to make available
to all individuals in the United States a rapid, efficient nationwide communication service, and to increase the utility of the telephone system of the Nation, the Commission shall ensure
that interstate and intrastate telecommunications relay services are available, to the extent possible and in the most efficient manner, to hearing-impaired and speech-impaired individuals
in the United States. (2) USE OF GENERAL AUTHORITY AND REMEDIES.--For the purposes of administering and enforcing the provisions of this section and the regulations prescribed thereunder,
the Commission shall have the same authority, power, and functions with respect to common carriers engaged in intrastate communication as the Commission has in administering administering
and enforcing the provisions of this title with respect to any common carrier engaged in interstate communication. Any violation of this section by any common carrier engaged in intrastate
communication shall be subject to the same remedies, penalties, and procedures as are applicable to a violation of this Act by a common carrier engaged in interstate communication. (c)
PROVISION OF SERVICES.--Each common carrier providing telephone voice transmission services shall, not later than 3 years after the date of enactment of this section, provide in compliance
with the regulations prescribed under this section, throughout the area in which it offers service, telecommunications relay services, individually, through designees, through a competitively
selected vendor, or in concert with other carriers. A common carrier shall be considered to be in
Communications Act of 1934 63 compliance with such regulations--(1) with respect to intrastate telecommunications relay services in any State that does not have a certified program under
subsection (f) and with respect to interstate telecommunications relay services, if such common carrier (or other entity through which the carrier is providing such relay services) is
in compliance with the Commission's regulations under subsection (d); or (2) with respect to intrastate telecommunications relay services in any State that has a certified program under
subsection (f) for such State, if such common carrier (or other entity through which the carrier is providing such relay services) is in compliance with the program certified under subsection
(f) for such State. (d) REGULATIONS.--(1) IN GENERAL.--The Commission shall, not later than 1 year after the date of enactment of this section, prescribe regulations to implement this
section, including regulations that--(A) establish functional requirements, guidelines, and operations procedures for telecommunications relay services; (B) establish minimum standards
that shall be met in carrying out subsection (c); (C) require that telecommunications relay services operate every day for 24 hours per day; (D) require that users of telecommunications
relay services pay rates no greater than the rates paid for functionally equivalent voice communication services with respect to such factors as the duration of the call, the time of
day, and the distance from point of origination to point of termination; (E) prohibit relay operators from failing to fulfill the obligations of common carriers by refusing calls or
limiting the length of calls that use telecommunications relay services; (F) prohibit relay operators from disclosing the content of any relayed conversation and from keeping records
of the content of any such conversation beyond the duration of the call; and (G) prohibit relay operators from intentionally altering a relayed conversation. (2) TECHNOLOGY.--The Commission
shall ensure that regulations prescribed to implement this section encourage, consistent with section 7(a) of this Act, the use of existing technology and do not discourage or impair
the development of improved technology. (3) JURISDICTIONAL SEPARATION OF COSTS.--(A) IN GENERAL.--Consistent with the provisions of section 410 of this Act, the Commission shall prescribe
regulations
Communications Act of 1934 64 governing the jurisdictional separation of costs for the services provided pursuant to this section. (B) RECOVERING COSTS.--Such regulations shall generally
provide that costs caused by interstate telecommunications relay services shall be recovered from all subscribers for every interstate service and costs caused by intrastate telecommunications
relay services shall be recovered from the intrastate jurisdiction. In a State that has a certified program under subsection (f), a State commission shall permit a common carrier to
recover the costs incurred in providing intrastate telecommunications relay services by a method consistent with the requirements of this section. (e) ENFORCEMENT.--(1) IN GENERAL.--Subject
to subsections (f) and (g), the Commission shall enforce this section. (2) COMPLAINT.--The Commission shall resolve, by final order, a complaint alleging a violation of this section
within 180 days after the date such complaint is filed. (f) CERTIFICATION.--(1) STATE DOCUMENTATION.--Any State desiring to establish a State program under this section shall submit
documentation to the Commission that describes the program of such State for implementing intrastate telecommunications relay services and the procedures and remedies available for enforcing
any requirements imposed by the State program. (2) REQUIREMENTS FOR CERTIFICATION.--After review of such documentation, the Commission shall certify the State program if the Commission
determines that--(A) the program makes available to hearing-impaired and speech-impaired individuals, either directly, through designees, through a competitively selected vendor, or
through regulation of intrastate common carriers, intrastate telecommunications relay services in such State in a manner that meets or exceeds the requirements of regulations prescribed
by the Commission under subsection (d); and (B) the program makes available adequate procedures and remedies for enforcing the requirements of the State program. (3) METHOD OF FUNDING.--FUNDING.--Exc
ept as provided in subsection (d), the Commission shall not refuse to certify a State program based solely on the method such State will implement for funding intrastate telecommunication
relay services. (4) SUSPENSION OR REVOCATION OF CERTIFICATION.--The Commission may suspend or revoke such certification if, after notice and
Communications Act of 1934 65 opportunity for hearing, the Commission determines that such certification is no longer warranted. In a State whose program has been suspended or revoked,
the Commission shall take such steps as may be necessary, consistent with this section, to ensure continuity of telecommunications relay services. (g) COMPLAINT.--(1) REFERRAL OF COMPLAINT.--If
a complaint to the Commission alleges a violation of this section with respect to intrastate telecommunications relay services within a State and certification of the program of such
State under subsection (f) is in effect, the Commission shall refer such complaint to such State. (2) JURISDICTION OF COMMISSION.--After referring a complaint to a State under paragraph
(1), the Commission shall exercise jurisdiction over such complaint only if--(A) final action under such State program has not been taken on such complaint by such State--(i) within
180 days after the complaint is filed with such State; or (ii) within a shorter period as prescribed by the regulations of such State; or (B) the Commission determines that such State
program is no longer qualified for certification under subsection (f). SEC. 226. [47 U.S.C. 226] TELEPHONE OPERATOR SERVICES. (a) DEFINITIONS.--As used in this section--(1) The term
''access code'' means a sequence of numbers that, when dialed, connect the caller to the provider of operator services associated with that sequence. (2) The term ''aggregator'' means
any person that, in the ordinary course of its operations, makes telephones available to the public or to transient users of its premises, for interstate telephone calls using a provider
of operator services. (3) The term ''call splashing'' means the transfer of a telephone call from one provider of operator services to another such provider in such a manner that the
subsequent provider is unable or unwilling to determine the location of the origination
of the call and, because of such inability or unwillingness, is prevented from billing the call on the basis of such location. (4) The term ''consumer'' means a person initiating any
interstate telephone call using operator services. (5) The term ''equal access'' has the meaning given that term in Appendix B of the Modification of Final Judgment entered August 24,
Communications Act of 1934 66 1982, in United States v. Western Electric, Civil Action No. 82-0192 (United States District Court, District of Columbia), as amended by the Court in its
orders issued prior to the enactment of this section. (6) The term ''equal access code'' means an access code that allows the public to obtain an equal access connection to the carrier
associated with that code. (7) The term ''operator services'' means any interstate telecommunications service initiated from an aggregator location that includes, as a component, any
automatic or live assistance to a consumer to arrange for billing or completion, or both, of an interstate telephone call through a method other than--(A) automatic completion with billing
to the telephone from which the call originated; or (B) completion through an access code used by the consumer, with billing to an account previously established with the carrier by
the consumer. (8) The term ''presubscribed provider of operator services'' means the interstate provider of operator services to which the consumer is connected when the consumer places
a call using a provider of operator services without dialing an access code. (9) The term ''provider of operator services'' means any common carrier that provides operator services or
any other person determined by the Commission to be providing operator services. (b) REQUIREMENTS FOR PROVIDERS OF OPERATOR SERVICES.--(1) IN GENERAL.--Beginning not later than 90 days
after the date of enactment of this section, each provider of operator services shall, at a minimum--(A) identify itself, audibly and distinctly, to the consumer at the beginning of
each telephone call and before the consumer incurs any charge for the call; (B) permit the consumer to terminate the telephone call at no charge before the call is connected; (C) disclose
immediately to the consumer, upon request and at no charge to the consumer--(i) a quote of its rates or charges for the call; (ii) the methods by which such rates or charges will be
collected; and ((iii) the methods by which complaints concerning such rates, charges, or collection practices will be resolved; (D) ensure, by contract or tariff, that each aggregator
for which such provider is the presubscribed provider of operator services is in compliance with the requirements of subsection (c)
Communications Act of 1934 67 and, if applicable, subsection (e)(1); (E) withhold payment (on a location-by-location basis) of any compensation, including commissions, to aggregators
if such provider reasonably believes that the aggregator (i) is blocking access by means of ''950'' or ''800'' numbers to interstate common carriers in violation of subsection (c)(1)(B)
or (ii) is blocking access to equal access codes in violation of rules the Commission may prescribe under subsection (e)(1); (F) not bill for unanswered telephone calls in areas where
equal access is available; (G) not knowingly bill for unanswered telephone calls where equal access is not available; (H) not engage in call splashing, unless the consumer requests to
be transferred to another provider of operator services, the consumer is informed prior to incurring any charges that the rates for the call may not reflect the rates from the actual
originating location of the call, and the consumer then consents to be transferred; and (I) except as provided in subparagraph (H), not bill for a call that does not reflect the location
of the origination of the call. (2) ADDITIONAL REQUIREMENTS FOR FIRST 3 YEARS.--In addition to meeting the requirements of paragraph (1), during the 3-year period beginning on the date
that is 90 days after the date of enactment of this section, each presubscribed provider of operator services shall identify itself audibly and distinctly to the consumer, not only as
required in paragraph (1)(A), but also for a second time before connecting the call and before the consumer incurs any charge. (c) REQUIREMENTS FOR AGGREGATORS.--(1) IN GENERAL.--Each
aggregator, beginning not later than 90 days after the date of enactment of this section, shall--(A) post on or near the telephone instrument, in plain view of consumers--(i) the name,
address, and toll-free telephone number of the provider of operator services; (ii) a written disclosure that the rates for all operator-assisted calls are available on request, and that
consumers have have a right to obtain access to the interstate common carrier of their choice and may contact their preferred interstate common carriers for information on accessing
that carrier's service using that telephone; and (iii) the name and address of the enforcement division of the Common Carrier Bureau of the Commission,
Communications Act of 1934 68 to which the consumer may direct complaints regarding operator services; (B) ensure that each of its telephones presubscribed to a provider of operator
services allows the consumer to use ''800'' and ''950'' access code numbers to obtain access to the provider of operator services desired by the consumer; and (C) ensure that no charge
by the aggregator to the consumer for using an ''800'' or ''950'' access code number, or any other access code number, is greater than the amount the aggregator charges for calls placed
using the presubscribed provider of operator services. (2) EFFECT OF STATE LAW OR REGULATION.--The requirements of paragraph (1)(A) shall not apply to an aggregator in any case in which
State law or State regulation requires the aggregator to take actions that are substantially the same as those required in paragraph (1)(A). (d) GENERAL RULEMAKING REQUIRED.--(1) RULEMAKING
PROCEEDING.--The Commission shall conduct a rulemaking proceeding pursuant to this title to prescribe regulations to--(A) protect consumers from unfair and deceptive practices relating
to their use of operator services to place interstate telephone calls; and (B) ensure that consumers have the opportunity to make informed choices in making such calls. (2) CONTENTS
OF REGULATIONS.--The regulations prescribed under this section shall--(A) contain provisions to implement each of the requirements of this section, other than the requirements established
by the rulemaking under subsection (e) on access and compensation; and (B) contain such other provisions as the Commission determines necessary to carry out this section and the purposes
and policies of this section. (3) ADDITIONAL REQUIREMENTS TO BE IMPLEMENTED BY REGULATIONS.--The regulations prescribed under this section shall, at a minimum--(A) establish minimum
standards for providers of operator services and aggregators to use in the routing and handling of emergency telephone calls; and (B) establish a policy for requiring providers of operator
services to make public information about recent changes in operator services and choices available to consumers in that market. (e) SEPARATE RULEMAKING ON ACCESS AND COMPENSATION.--
Communications Act of 1934 69 (1) ACCESS.--The Commission, shall require--(A) that each aggregator ensure within a reasonable time that each of its telephones presubscribed to a provider
of operator services allows the consumer to obtain access to the provider of operator services desired by the consumer through the use of an equal access code; or (B) that all providers
of operator services, within a reasonable time, make available to their customers a ''950'' or ''800'' access code number for use in making operator services calls from anywhere in the
United States; or (C) that the requirements described under both subparagraphs (A) and (B) apply. (2) COMPENSATION.--The Commission shall consider the need to prescribe compensation
(other than advance payment by consumers) for owners of competitive public pay telephones for calls routed to providers of operator services that are other than the presubscribed provider
of operator services for such telephones. Within 9 months after the date of enactment of this section, the Commission shall reach a final decision on whether to prescribe such compensation.
(f) TECHNOLOGICAL CAPABILITY OF EQUIPMENT.--Any equipment and software manufactured or imported more than 18 months after the date of enactment of this section and installed by any aggregator
shall be technologically capable of providing consumers with access to interstate providers of operator services through the use of equal access codes. (g) FRAUD.--In any proceeding
to carry out the provisions of this section, the Commission shall require such actions or measures as are necessary to ensure that aggregators are not exposed to undue risk of fraud.
(h) DETERMINATIONS OF RATE COMPLIANCE.--(1) FILING OF INFORMATIONAL TARIFF.--(A) IN GENERAL.--Each provider of operator services shall file, within 90 days after the date of enactment
of this section, and shall maintain, update regularly, and keep open for public inspection, an informational tariff specifying rates, terms, and conditions, and including commissions,
surcharges, any fees which are collected from consumers, and reasonable estimates of the amount of traffic priced at each rate, with respect to calls for which operator services are
provided. Any changes in such rates, terms, or conditions shall be filed no later than the first day on which the changed rates, terms, or conditions are in effect. (B) WAIVER AUTHORITY.--The
Commission may, after 4 years following the date of enactment of this section, waive the requirements of this paragraph only if--
Communications Act of 1934 70 (i) the findings and conclusions of the Commission in the final report issued under paragraph (3)(B)(iii) state that the regulatory objectives specified
in subsection (d)(1) (A) and (B) have been achieved; and (ii) the Commission determines that such waiver will not adversely affect the continued achievement of such regulatory objectives.
(2) REVIEW OF INFORMATIONAL TARIFFS.--If the rates and charges filed by any provider of operator services under paragraph (1) appear upon review by the Commission to be unjust or unreasonable,
the Commission may require such provider of operator services to do either or both of the following: (A) demonstrate that its rates and charges are just and reasonable, and (B) announce
that its rates are available on request at the beginning of each call. (3) PROCEEDING REQUIRED.--(A) IN GENERAL.--Within 60 days after the date of enactment of this section, the Commission
shall initiate a proceeding to determine whether the regulatory objectives specified in subsection (d)(1) (A) and (B) are being achieved. The proceeding shall--(i) monitor operator service
rates; (ii) determine the extent to which offerings made by providers of operator services are improvements, in terms of service quality, price, innovation, and other factors, over those
available before the entry of new providers of operator services into the market; (iii) report on (in the aggregate and by individual provider) operator service rates, incidence of service
complaints, and service offerings; (iv) consider the effect that commissions and surcharges, billing and validation costs, and other costs of doing business have on the overall rates
charged to consumers; and (v) monitor compliance with the provisions of this section, including the periodic placement of telephone calls from aggregator locations. (B) REPORTS.--(i)
The Commission shall, during the pendency of such proceeding and not later than 5 months after its commencement, provide the Congress with an interim report on the Commission's activities
and progress to date.
Communications Act of 1934 71 (ii) Not later than 11 months after the commencement of such proceeding, the Commission shall report to the Congress on its interim findings as a result
of the proceeding. (iii) Not later than 23 months after the commencement of such proceeding, the Commission shall submit a final report to the Congress on its findings and conclusions.
(4) IMPLEMENTING REGULATIONS.--(A) IN GENERAL.--Unless the Commission makes the determination described in subparagraph (B), the Commission shall, within 180 days after submission of
the report required under paragraph (3)(B)(iii), complete a rulemaking proceeding pursuant to this title to establish regulations for implementing the requirements of this title (and
paragraphs (1) and (2) of this subsection) that rates and charges for operator services be just and reasonable. Such regulations shall include limitations on the amount of commissions
or any other compensation given to aggregators by providers of operator service. (B) LIMITATION.--The requirement of subparagraph (A) shall not apply if, on the basis of the proceeding
under paragraph (3)(A), the Commission makes (and includes in the report required by paragraph (3)(B)(iii)) a factual determination that market forces are securing rates and charges
that are just and reasonable, as evidenced by rate levels, costs, complaints, service quality, and other relevant factors. (i) STATUTORY CONSTRUCTION.--Nothing in this section shall
be construed to alter the obligations, powers, or duties of common carriers or the Commission under the other sections of this Act. SEC. 227. [47 U.S.C. 227] RESTRICTIONS ON THE USE
OF TELEPHONE EQUIPMENT. (a) DEFINITIONS.--As used in this section--(1) The term ''automatic telephone dialing system'' means equipment which has the capacity--(A) to store or produce
telephone numbers to be called, using a random or sequential number generator; and (B) to dial such numbers. (2) The term ''telephone facsimile machine'' means equipment which has the
capacity (A) to transcribe text or images, or both, from paper into an electronic signal and to transmit that signal over a regular telephone line, or (B) to transcribe text or images
(or both) from an electronic signal received over a regular telephone line onto paper. (3) The term ''telephone solicitation'' means the initiation of a
Communications Act of 1934 72 telephone call or message for the purpose of encouraging the purchase or rental of, or investment in, property, goods, or services, which is transmitted
to any person, but such term does not include a call or message (A) to any person with that person's prior express invitation or permission, (B) to any person with whom the caller has
an established business relationship, or (C) by a tax exempt nonprofit organization. (4) The term ''unsolicited advertisement'' means any material advertising the commercial availability
or quality of any property, goods, or services which is transmitted to any person without that person's prior express invitation or permission. (b) RESTRICTIONS ON THE USE OF AUTOMATED
TELEPHONE EQUIPMENT.--(1) PROHIBITIONS.--It shall be unlawful for any person within the United States--(A) to make any call (other than a call made for emergency purposes or made with
the prior express consent of the called party) using any automatic telephone dialing system or an artificial or prerecorded voice--(i) to any emergency telephone line (including any
''911'' line and any emergency line of a hospital, medical physician or service office, health care facility, poison control center, or fire protection or law enforcement agency);(ii)
to the telephone line of any guest room or patient room of a hospital, health care facility, elderly home, or similar establishment; or (iii) to any telephone number assigned to a paging
service, cellular telephone service, specialized mobile radio service, or other radio common carrier service, or any service for which the called party is charged for the call; (B) to
initiate any telephone call to any residential telephone line using an artificial or prerecorded voice to deliver a message without the prior express consent of the called party, unless
the call is initiated for emergency purposes or is exempted by rule or order by the Commission under paragraph (2)(B); (C) to use any telephone facsimile machine, computer, or other
device to send an an unsolicited advertisement to a telephone facsimile machine; or (D) to use an automatic telephone dialing system in such a way that two or more telephone lines of
a multi-line business are engaged simultaneously. (2) REGULATIONS; EXEMPTIONS AND OTHER PROVISIONS.--The Commission shall prescribe regulations to implement the requirements of
Communications Act of 1934 73 this subsection. In implementing the requirements of this subsection, the Commission--(A) shall consider prescribing regulations to allow businesses to
avoid receiving calls made using an artificial or prerecorded voice to which they have not given their prior express consent; (B) may, by rule or order, exempt from the requirements
of paragraph (1)(B) of this subsection, subject to such conditions as the Commission may prescribe--(i) calls that are not made for a commercial purpose; and (ii) such classes or categories
of calls made for commercial purposes as the Commission determines--(I) will not adversely affect the privacy rights that this section is intended to protect; and (II) do not include
the transmission of any unsolicited advertisement; and (C) may, by rule or order, exempt from the requirements of paragraph (1)(A)(iii) of this subsection calls to a telephone number
assigned to a cellular telephone service that are not charged to the called party, subject to such conditions as the Commission may prescribe as necessary in the interest of the privacy
rights this section is intended to protect. (3) PRIVATE RIGHT OF ACTION.--A person or entity may, if otherwise permitted by the laws or rules of court of a State, bring in an appropriate
court of that State--(A) an action based on a violation of this subsection or the regulations prescribed under this subsection to enjoin such violation, (B) an action to recover for
actual monetary loss from such a violation, or to receive $500 in damages for each such violation, whichever is greater, or (C) both such actions. If the court finds that the defendant
willfully or knowingly violated this subsection or the regulations prescribed under this subsection, the court may, in its discretion, increase the amount of the award to an amount equal
to not more than 3 times the amount available under subparagraph (B) of this paragraph. (c) PROTECTION OF SUBSCRIBER PRIVACY RIGHTS.--(1) RULEMAKING PROCEEDING REQUIRED.--Within 120
days after the date of enactment of this section, the Commission shall initiate a rulemaking proceeding concerning the need to protect residential telephone
Communications Act of 1934 74 subscribers' privacy rights to avoid receiving telephone solicitations to which they object. The proceeding shall--(A) compare and evaluate alternative
methods and procedures (including the use of electronic databases, telephone network technologies, special directory markings, industry-based or company-specific ''do not call'' systems,
and any other alternatives, individually or in combination) for their effectiveness in protecting such privacy rights, and in terms of their cost and other advantages and disadvantages;
(B) evaluate the categories of public and private entities that would have the capacity to establish and administer such methods and procedures; (C) consider whether different methods
and procedures may apply for local telephone solicitations, such as local telephone solicitations of small businesses or holders of second class mail permits;(D) consider whether there
is a need for additional Commission authority to further restrict telephone solicitations, including those calls exempted under subsection (a)(3) of this section, and, if such a finding
is made and supported by the record, propose specific restrictions to the Congress; and (E) develop proposed regulations to implement the methods and procedures that the Commission determines
are most effective and efficient to accomplish the purposes of this section. (2) REGULATIONS.--Not later than 9 months after the date of enactment of this section, the Commission shall
conclude the rulemaking proceeding initiated under paragraph (1) and shall prescribe regulations to implement methods and procedures for protecting the privacy rights described in such
paragraph in an efficient, effective, and economic manner and without the imposition of any additional charge to telephone subscribers. (3) USE OF DATABASE PERMITTED.--The regulations
required by paragraph (2) may require the establishment and operation of a single national database to compile a list of telephone numbers of residential subscribers who object to receiving
receiving telephone solicitations, and to make that compiled list and parts thereof available for purchase. If the Commission determines to require such a database, such regulations
shall--(A) specify a method by which the Commission will select an entity to administer such database; (B) require each common carrier providing telephone exchange service, in accordance
with regulations prescribed by the Commission, to inform subscribers for telephone exchange service
Communications Act of 1934 75 of the opportunity to provide notification, in accordance with regulations established under this paragraph, that such subscriber objects to receiving telephone
solicitations; (C) specify the methods by which each telephone subscriber shall be informed, by the common carrier that provides local exchange service to that subscriber, of (i) the
subscriber's right to give or revoke a notification of an objection under subparagraph (A), and (ii) the methods by which such right may be exercised by the subscriber; (D) specify the
methods by which such objections shall be collected and added to the database; (E) prohibit any residential subscriber from being charged for giving or revoking such notification or
for being included in a database compiled under this section; (F) prohibit any person from making or transmitting a telephone solicitation to the telephone number of any subscriber included
in such database; (G) specify (i) the methods by which any person desiring to make or transmit telephone solicitations will obtain access to the database, by area code or local exchange
prefix, as required to avoid calling the telephone numbers of subscribers included in such database; and (ii) the costs to be recovered from such persons; (H) specify the methods for
recovering, from persons accessing such database, the costs involved in identifying, collecting, updating, disseminating, and selling, and other activities relating to, the operations
of the database that are incurred by the entities carrying out those activities; (I) specify the frequency with which such database will be updated and specify the method by which such
updating will take effect for purposes of compliance with the regulations prescribed under this subsection; (J) be designed to enable States to use the database mechanism selected by
the Commission for purposes of administering or enforcing State law; (K) prohibit the use of such database for any purpose other than compliance with the requirements of this section
and any such State law and specify methods for protection of the privacy rights of persons whose numbers are included in such database; and (L) require each common carrier providing
services to any person for the purpose of making telephone solicitations to notify such person of the requirements of this section and the regulations thereunder.
Communications Act of 1934 76 (4) CONSIDERATIONS REQUIRED FOR USE OF DATABASE METHOD.--If the Commission determines to require the database mechanism described in paragraph (3), the
Commission shall--(A) in developing procedures for gaining access to the database, consider the different needs of telemarketers conducting business on a national, regional, State, or
local level; (B) develop a fee schedule or price structure for recouping the cost of such database that recognizes such differences and--(i) reflect the relative costs of providing a
national, regional, State, or local list of phone numbers of subscribers who object to receiving telephone solicitations; (ii) reflect the relative costs of providing such lists on paper
or electronic media; and (iii) not place an unreasonable financial burden on small businesses; and (C) consider (i) whether the needs of telemarketers operating on a local basis could
be met through special markings of area white pages directories, and (ii) if such directories are needed as an adjunct to database lists prepared by area code and local exchange prefix.
(5) PRIVATE RIGHT OF ACTION.--A person who has received more than one telephone call within any 12-month period by or on behalf of the same entity in violation of the regulations prescribed
under this subsection may, if otherwise permitted by the laws or rules of court of a State bring in an appropriate court of that State--(A) an action based on a violation of the regulations
prescribed under this subsection to enjoin such violation, (B) an action to recover for actual monetary loss from such a violation, or to receive up to $500 in damages for each such
violation, whichever is greater, or (C) both such actions. It shall be an affirmative defense in any action brought under this paragraph that the defendant has established and implemented,
with due care, reasonable practices and procedures to effectively prevent telephone solicitations in violation of the regulations prescribed under this subsection. If the court finds
that the defendant willfully or knowingly violated the regulations prescribed under this subsection, the court may, in its discretion, increase the amount of the award to an amount equal
to not more than 3 times the amount available under subparagraph (B) of this paragraph. (6) RELATION TO SUBSECTION (b).--The provisions of this subsection shall not be construed to permit
a communication prohibited by
Communications Act of 1934 77 subsection (b). (d) TECHNICAL AND PROCEDURAL STANDARDS.--(1) PROHIBITION.--It shall be unlawful for any person within the United States--(A) to initiate
any communication using a telephone facsimile machine, or to make any telephone call using any automatic telephone dialing system, that does not comply with the technical and procedural
standards prescribed under this subsection, or to use any telephone facsimile machine or automatic telephone dialing system in a manner that does not comply with such standards; or (B)
to use a computer or other electronic device to send any message via a telephone facsimile machine unless such person clearly marks, in a margin at the top or bottom of each transmitted
page of the message or on the first page of the transmission, the date and time it is sent and an identification of the business, other entity, or individual sending the message and
the telephone number of the sending machine or of such business, other entity, or individual. (2) TELEPHONE FACSIMILE MACHINES.--The Commission shall revise the regulations setting technical
and procedural standards for telephone facsimile machines to require that any such machine which is manufactured after one year after the date of enactment of this section clearly marks,
in a margin at the top or bottom of each transmitted page or on the first page of each transmission, the date and time sent, an identification of the business, other entity, or individual
sending the message, and the telephone number of the sending machine or of such business, other entity, or individual. (3) ARTIFICIAL OR PRERECORDED VOICE SYSTEMS.--The Commission shall
prescribe technical and procedural standards for systems that are used to transmit any artificial or prerecorded voice message via telephone. Such standards shall require that--(A) all
artificial or prerecorded telephone messages (i) shall, at the beginning of the message, state clearly the identity of the business, individual, or other entity initiating the call,
and ((ii) shall, during or after the message, state clearly the telephone number or address of such business, other entity, or individual; and (B) any such system will automatically
release the called party's line within 5 seconds of the time notification is transmitted to the system that the called party has hung up, to allow the called party's line to be used
to make or receive other calls. (e) EFFECT ON STATE LAW.--
Communications Act of 1934 78 (1) STATE LAW NOT PREEMPTED.--Except for the standards
prescribed under subsection (d) and subject to paragraph (2) of this subsection, nothing in this section or in the regulations prescribed under this section shall preempt any State law
that imposes more restrictive intrastate requirements or regulations on, or which prohibits--(A) the use of telephone facsimile machines or other electronic devices to send unsolicited
advertisements; (B) the use of automatic telephone dialing systems; (C) the use of artificial or prerecorded voice messages; or (D) the making of telephone solicitations. (2) STATE USE
OF DATABASES.--If, pursuant to subsection (c)(3), the Commission requires the establishment of a single national database of telephone numbers of subscribers who object to receiving
telephone solicitations, a State or local authority may not, in its regulation of telephone solicitations, require the use of any database, list, or listing system that does not include
the part of such single national database that relates to such State. (f) ACTIONS BY STATES.--(1) AUTHORITY OF STATES.--Whenever the attorney general of a State, or an official or agency
designated by a State, has reason to believe that any person has engaged or is engaging in a pattern or practice of telephone calls or other transmissions to residents of that State
in violation of this section or the regulations prescribed under this section, the State may bring a civil action on behalf of its residents to enjoin such calls, an action to recover
for actual monetary loss or receive $500 in damages for each violation, or both such actions. If the court finds the defendant willfully or knowingly violated such regulations, the court
may, in its discretion, increase the amount of the award to an amount equal to not more than 3 times the amount available under the preceding sentence. (2) EXCLUSIVE JURISDICTION OF
FEDERAL COURTS.--The district courts of the United States, the United States courts of any territory, and the District Court of the United States for the District of Columbia shall have
exclusive jurisdiction over all civil actions brought under this subsection. Upon proper application, such courts shall also have jurisdiction to issue writs of mandamus, or orders affording
like relief, commanding the defendant to comply with the provisions of this section or regulations prescribed under this section, including the requirement that the defendant take such
action as is necessary to remove the danger of such violation. Upon a proper showing, a permanent or temporary injunction or restraining order shall be granted without bond. (3) RIGHTS
OF COMMISSION.--The State shall serve prior written notice of any such civil action upon the Commission and provide the
Communications Act of 1934 79 Commission with a copy of its complaint, except in any case where such prior notice is not feasible, in which case the State shall serve such notice immediately
upon instituting such action. The Commission shall have the right (A) to intervene in the action, (B) upon so intervening, to be heard on all matters arising therein, and (C) to file
petitions for appeal. (4) VENUE; SERVICE OF PROCESS.--Any civil action brought under this subsection in a district court of the United States may be brought in the district wherein the
defendant is found or is an inhabitant or transacts business or wherein the violation occurred or is occurring, and process in such cases may be served in any district in which the defendant
is an inhabitant or where the defendant may be found. (5) INVESTIGATORY POWERS.--For purposes of bringing any civil action under this subsection, nothing in this section shall prevent
the attorney general of a State, or an official or agency designated by a State, from exercising the powers conferred on the attorney general or such official by the laws of such State
to conduct investigations or to administer oaths or affirmations or to compel the attendance of witnesses or the production of documentary and other evidence. (6) EFFECT ON STATE COURT
PROCEEDINGS.--Nothing contained in this subsection shall be construed to prohibit an authorized State official from proceeding in State court on the basis of an alleged violation of
any general civil or criminal statute of such State. (7) LIMITATION.--Whenever the Commission has instituted a civil action for violation of regulations prescribed under this section,
no State may, during the pendency of such action instituted by the Commission, subsequently institute a civil action against any defendant named in the Commission's complaint for any
violation as alleged in the Commission's complaint. (8) DEFINITION.--As used in this subsection, the term ''attorney general'' means the chief legal officer of a State. SEC. 228. [47
U.S.C. 228] REGULATION OF CARRIER OFFERING OF PAY-PER-CALL SERVICES. (a) PURPOSE.--It is the purpose of this section--(1) to put into effect a system of national regulation and review
that will oversee interstate pay-per-call services; and (2) to recognize the Commission's authority to prescribe regulations and enforcement procedures and conduct oversight to afford
reasonable protection to consumers of pay-per-call services and to assure that violations of Federal law do not occur. (b) GENERAL AUTHORITY FOR REGULATIONS.--The Commission by regulation
shall, within 270 days after the date of enactment of this section,
Communications Act of 1934 80 establish a system for oversight and regulation of pay-per-call services in order to provide for the protection of consumers in accordance with this Act
and other applicable Federal statutes and regulations. The Commission's final rules shall--(1) include measures that provide a consumer of pay-per-call services with adequate and clear
descriptions of the rights of the caller; (2) define the obligations of common carriers with respect to the provision of pay-per-call services; (3) include requirements on such carriers
to protect against abusive practices by providers of pay-per-call services; (4) identify procedures by which common carriers and providers of pay-per-call services may take affirmative
steps to protect against nonpayment of legitimate charges; and (5) require that any service described in subparagraphs (A) and (B) of subsection (i)(1) be offered only through the use
of certain telephone number prefixes and area codes. (c) COMMON CARRIER OBLIGATIONS.--Within 270 days after the date of enactment of this section, the Commission shall, by regulation,
establish the following requirements for common carriers: (1) CONTRACTUAL OBLIGATIONS TO COMPLY.--Any common carrier assigning to a provider of pay-per-call services a telephone number
with a prefix or area code designated by the Commission in accordance with subsection (b)(5) shall require by contract or tariff that such provider comply with the provisions of titles
II and III of the Telephone Disclosure and Dispute Resolution Act and the regulations prescribed by the Federal Trade Commission pursuant to those titles. (2) INFORMATION AVAILABILITY.--A
common carrier that by tariff or contract assigns a telephone number with a prefix or area code designated by the Commission in accordance with subsection (b)(5) to a provider of a pay-per-call
service shall make readily available on request to Federal and State agencies and other interested persons--(A) a list of the telephone numbers for each of the pay-percall services it
carries; (B) a short description of each such service; (C) a statement of the total cost or the cost per minute and any other fees for each such service; (D) a statement of the pay-per-call
service's name, business address, and business telephone; and (E) such other information as the Commission considers necessary for the enforcement of this section and other applicable
Federal statutes and regulations. (3) COMPLIANCE PROCEDURES.--A common carrier that by contract or tariff assigns a telephone number with a prefix or area code designated
Communications Act of 1934 81 by the Commission in accordance with subsection (b)(5) to a provider of pay-per-call services shall terminate, in accordance with procedures specified in
such regulations, the offering of a pay-per-call service of a provider if the carrier knows or reasonably should know that such service is not provided in compliance with title II or
III of the Telephone Disclosure and Dispute Resolution Act or the regulations prescribed by the Federal Trade Commission pursuant to such titles. (4) SUBSCRIBER DISCONNECTION PROHIBITED.--A
common carrier shall not disconnect or interrupt a subscriber's local exchange telephone service or long distance telephone service because of nonpayment of charges for any pay-per-call
service. (5) BLOCKING AND PRESUBSCRIPTION.--A common carrier that provides local exchange service shall--(A) offer telephone subscribers (where technically feasible) the option of blocking
access from their telephone number to all, or to certain specific, prefixes or area codes used by pay-per-call services, which option--(i) shall be offered at no charge (I) to all subscribers
for a period of 60 days after the issuance of the regulations under subsection (b), and (II) to any subscriber who subscribes to a new telephone number until 60 days after the time the
new telephone number is effective; and (ii) shall otherwise be offered at a reasonable fee; and (B) offer telephone subscribers (where the Commission determines it is technically and
economically feasible), in combination with the blocking option described under subparagraph (A), the option of presubscribing to or blocking only specific payper-call services for a
reasonable one-time charge. The regulations prescribed under subparagraph (A)(i) of this paragraph may permit the costs of such blocking to be recovered by contract or tariff, but such
costs may not be recovered from local or long-distance ratepayers. Nothing in this subsection precludes a common carrier from filing its rates and regulations regarding blocking and
presubscription in its interstate tariffs. (6) VERIFICATION OF CHARITABLE STATUS.--A common carrier that assigns by contract or tariff a telephone number with a prefix or area code designated
by the Commission in accordance with subsection (b)(5) to a provider of pay-per-call services that the carrier knows or reasonably should know is engaged in soliciting charitable contributions
shall obtain from such provider proof of the tax exempt status of any person or organization for which contributions are solicited.
Communications Act of 1934 82 (7) BILLING FOR 800 CALLS.--A common carrier shall prohibit by tariff or contract the use of any 800 telephone number, or other telephone number advertised
or widely understood to be toll free, in a manner that would result in--(A) the calling party being assessed, by virtue of completing the call, a charge for the call; (B) the calling
party being connected to a pay-per-call service;(C) the calling party being charged for information conveyed during the call unless--(i) the calling party has a written agreement (including
an agreement transmitted through electronic medium) that meets the requirements of paragraph (8); or (ii) the calling party is charged for the information in accordance with paragraph
(9); (D) the calling party being called back collect for the provision of audio information services or simultaneous voice conversation services; or (E) the calling party being assessed,
by virtue of being asked to connect or otherwise transfer to a pay-per-call service, a charge for the call. (8) SUBSCRIPTION AGREEMENTS FOR BILLING FOR INFORMATION PROVIDED VIA TOLL-FREE
CALLS.--(A) IN GENERAL.--For purposes of paragraph (7)(C)(i), a written subscription does not meet the requirements of this paragraph unless the agreement specifies the material terms
and conditions under which the information is offered and includes--(i) the rate at which charges are assessed for the information; (ii) the information provider's name; (iii) the information
provider's business address; (iv) the information provider's regular business telephone number; (v) the information provider's agreement to notify the subscriber at least one billing
cycle in advance of all future changes in the rates charged for the information; and (vi) the subscriber's choice of payment method, which may be by direct remit, debit, prepaid account,
phone bill, or credit or calling card. (B) BILLING ARRANGEMENTS.--If a subscriber elects, pursuant to subparagraph (A)(vi), to pay by means of a phone bill--(i) the agreement shall clearly
explain that the
Communications Act of 1934 83 subscriber will be assessed for calls made to the information service from the subscriber's phone line; (ii) the phone bill shall include, in prominent
type, the following disclaimer: ''Common carriers may not disconnect local or long distance telephone service for failure to pay disputed charges for information services.''; and (iii)
the phone bill shall clearly list the 800 number dialed. (C) USE OF PINS TO PREVENT UNAUTHORIZED USE.--A written agreement does not meet the requirements of this paragraph unless it--(i)
includes a unique personal identification number or other subscriber-specific identifier and requires a subscriber to use this number or identifier to obtain access to the information
provided and includes instructions on its use; and(ii) assures that any charges for services accessed by use of the subscriber's personal identification number or subscriber-specific
identifier be assessed to subscriber's source of payment elected pursuant to subparagraph (A)(vi). (D) EXCEPTIONS.--Notwithstanding paragraph (7)(C), a written agreement that meets the
requirements of this paragraph is not required--(i) for calls utilizing telecommunications devices for the deaf; (ii) for directory services provided by a common carrier or its affiliate
or by a local exchange carrier or its affiliate; or (iii) for any purchase of goods or of services that are not information services. (E) TERMINATION OF SERVICE.--On receipt by a common
carrier of a complaint by any person that an information provider is in violation of the provisions of this section, a carrier shall--(i) promptly investigate the complaint; and (ii)
if the carrier reasonably determines that the complaint is valid, it may terminate the provision of service to an information provider unless the provider supplies evidence of a written
agreement that meets the requirements of this section. (F) TREATMENT OF REMEDIES.--The remedies provided in
Communications Act of 1934 84 this paragraph are in addition to any other remedies that are available under title V of this Act. (9) CHARGES BY CREDIT, PREPAID, DEBIT, CHARGE, OR CALLING
CARD IN ABSENCE OF AGREEMENT.--For purposes of paragraph (7)(C)(ii), a calling party is not charged in accordance with this paragraph unless the calling party is charged by means of
a credit, prepaid, debit, charge, or calling card and the information service provider includes in response to each call an introductory disclosure message that--(A) clearly states that
there is a charge for the call; (B) clearly states the service's total cost per minute and any other fees for the service or for any service to which the caller may be transferred; (C)
explains that the charges must be billed on either a credit, prepaid, debit, charge, or calling card; (D) asks the caller for the card number; (E) clearly states that charges for the
call begin at the end of the introductory message; and (F) clearly states that the caller can hang up at or before the end of the introductory message without incurring any charge whatsoever.
(10) BYPASS OF INTRODUCTORY DISCLOSURE MESSAGE.--The requirements of paragraph (9) shall not apply to calls from repeat callers using a bypass mechanism to avoid listening to the introductory
message: Provided, That information providers shall disable such a bypass mechanism after the institution of any price increase and for a period of time determined to be sufficient by
the Federal Trade Commission to give callers adequate and sufficient notice of a price increase. (11) DEFINITION OF CALLING CARD.--As used in this subsection, the term ''calling card''
means an identifying number or code unique to the individual, that is issued to the individual by a common carrier and enables the individual to be charged by means of a phone bill for
charges incurred independent of where the call originates. (d) BILLING AND COLLECTION PRACTICES.--The regulations required by this section shall require that any common carrier that
by by tariff or contract assigns a telephone number with a prefix or area code designated by the Commission in accordance with subsection (b)(5) to a provider of a pay-per-call service
and that offers billing and collection services to such provider--(1) ensure that a subscriber is not billed--(A) for pay-per-call services that such carrier knows or reasonably should
know was provided in violation of the regulations issued pursuant to title II of the Telephone Disclosure and Dispute Resolution Act; or
Communications Act of 1934 85 (B) under such other circumstances as the Commission determines necessary in order to protect subscribers from abusive practices; (2) establish a local
or a toll-free telephone number to answer questions and provide information on subscribers' rights and obligations with regard to their use of pay-per-call services and to provide to
callers the name and mailing address of any provider of pay-per-call services offered by the common carrier; (3) within 60 days after the issuance of final regulations pursuant to subsection
(b), provide, either directly or through contract with any local exchange carrier that provides billing or collection services to the common carrier, to all of such common carrier's
telephone subscribers, to all new subscribers, and to all subscribers requesting service at a new location, a disclosure statement that sets forth all rights and obligations of the subscriber
and the carrier with respect to the use and payment for pay-percall services, including the right of a subscriber not to be billed and the applicable blocking option; and (4) in any
billing to telephone subscribers that includes charges for any pay-per-call service--(A) display any charges for pay-per-call services in a part of the subscriber's bill that is identified
as not being related to local and long distance telephone charges; (B) for each charge so displayed, specify, at a minimum, the type of service, the amount of the charge, and the date,
time, and duration of the call; and (C) identify the toll-free number established pursuant to paragraph (2). (e) LIABILITY.--(1) COMMON CARRIERS NOT LIABLE FOR TRANSMISSION OR BILLING.--No
common carrier shall be liable for a criminal or civil sanction or penalty solely because the carrier provided transmission or billing and collection for a pay-per-call service unless
the carrier knew or reasonably should have known that such service was provided in violation of a provision of, or regulation prescribed pursuant to, title II or III of the Telephone
Disclosure and Dispute Resolution Act or any other Federal law. This paragraph shall not prevent the Commission from imposing a sanction or penalty on a common carrier for a violation
by that carrier of a regulation prescribed under this section. (2) CIVIL LIABILITY.--No cause of action may be brought in any court or administrative agency against any common carrier
or any of its affiliates on account of any act of the carrier or affiliate to terminate any pay-per-call service in order to comply with the regulations prescribed
Communications Act of 1934 86 under this section, title II or III of the Telephone Disclosure and Dispute Resolution Act, or any other Federal law unless the complainant demonstrates
that the carrier or affiliate did not act in good faith. (f) SPECIAL PROVISIONS.--(1) CONSUMER REFUND REQUIREMENTS.--The regulations required by subsection (d) shall establish procedures,
consistent with the provisions of titles II and III of the Telephone Disclosure and Dispute Resolution Act, to ensure that carriers and other parties providing billing and collection
services with respect to pay-per-call services provide appropriate refunds to subscribers who have been billed for pay-per-call services pursuant to programs that have been found to
have violated this section or such regulations, any provision of, or regulations prescribed pursuant to, title II or III of the Telephone Disclosure and Dispute Resolution Act, or any
other Federal law. (2) RECOVERY OF COSTS.--The regulations prescribed by the Commission under this section shall permit a common carrier to recover its cost of complying with such regulations
from providers of pay-per-call services, but shall not permit such costs to be recovered from local or long distance ratepayers. (3) RECOMMENDATIONS ON DATA PAY-PER-CALL.--The Commission,
within one year after the date of enactment of this section, shall submit to the Congress the Commission's recommendations with respect to the extension of regulations under this section
to persons that provide, for a per-call charge, data services that are not pay-per-call services. (g) EFFECT ON OTHER LAW.--(1) NO PREEMPTION OF ELECTION LAW.--Nothing in this section
shall relieve any provider of pay-per-call services, common carrier, local exchange carrier, or any other person from the obligation to comply with Federal, State, and local election
statutes and regulations. (2) CONSUMER PROTECTION LAWS.--Nothing in this section shall relieve any provider of pay-per-call services, common carrier, local exchange carrier, or any other
person from the obligation to comply with any Federal, State, or local statute or regulation relating to consumer protection or unfair trade. (3) GAMBLING LAWS.--Nothing in this section
shall preclude any State from enforcing its statutes and regulations with regard to lotteries, wagering, betting, and other gambling activities. (4) STATE AUTHORITY.--Nothing in this
section shall preclude any State from enacting and enforcing additional and complementary oversight and regulatory systems or procedures, or both, so long as such systems and procedures
govern intrastate services and do not significantly impede the
Communications Act of 1934 87 enforcement of this section or other Federal statutes. (5) ENFORCEMENT OF EXISTING REGULATIONS.--Nothing in this section shall be construed to prohibit
the Commission from enforcing regulations prescribed prior to the date of enactment of this section in fulfilling the requirements of this section to the extent that such regulations
are consistent with the provisions of this section. (h) EFFECT ON DIAL-A-PORN PROHIBITIONS.--Nothing in this section shall affect the provisions of section 223 of this Act. (i) DEFINITION
OF PAY-PER-CALL SERVICES.--For purposes of this section--(1) The term ''pay-per-call services'' means any service--(A) in which any person provides or purports to provide--(i) audio
information or audio entertainment produced or packaged by such person; (ii) access to simultaneous voice conversation services; or (iii) any service, including the provision of a product,
the charges for which are assessed on the basis of the completion of the call; (B) for which the caller pays a per-call or per-time-interval charge that is greater than, or in addition
to, the charge for transmission of the call; and (C) which is accessed through use of a 900 telephone number or other prefix or area code designated by the Commission in accordance with
subsection (b)(5). (2) Such term does not include directory services provided by a common carrier or its affiliate or by a local exchange carrier or its affiliate, or any service for
which users are assessed charges only after entering into a presubscription or comparable arrangement with the provider of such service. SEC. 229. [47 U.S.C. 229] COMMUNICATIONS ASSISTANCE
FOR LAW ENFORCEMENT ACT COMPLIANCE. (a) IN GENERAL.--The Commission shall prescribe such rules as are necessary to implement the requirements of the Communications Assistance for Law
Enforcement Act. (b) SYSTEMS SECURITY AND INTEGRITY.--The rules prescribed pursuant to subsection (a) shall include rules to implement section 105 of the Communications Assistance for
Law Enforcement Act that require common carriers--(1) to establish appropriate policies and procedures for the supervision and control of its officers and employees--(A) to require appropriate
authorization to activate
Communications Act of 1934 88 interception of communications or access to call-identifying information; and (B) to prevent any such interception or access without such authorization;
(2) to maintain secure and accurate records of any interception or access with or without such authorization; and (3) to submit to the Commission the policies and procedures adopted
to comply with the requirements established under paragraphs (1) and (2). (c) COMMISSION REVIEW OF COMPLIANCE.--The Commission shall review the policies and procedures submitted under
subsection (b)(3) and shall order a common carrier to modify any such policy or procedure that the Commission determines does not comply with Commission regulations. The Commission shall
conduct such investigations as may be necessary to insure compliance by common carriers with the requirements of the regulations prescribed under this section. (d) PENALTIES.--For purposes
of this Act, a violation by an officer or employee of any policy or procedure adopted by a common common carrier pursuant to subsection (b), or of a rule prescribed by the Commission
pursuant to subsection (a), shall be considered to be a violation by the carrier of a rule prescribed by the Commission pursuant to this Act. (e) COST RECOVERY FOR COMMUNICATIONS ASSISTANCE
FOR LAW ENFORCEMENT ACT COMPLIANCE.--(1) PETITIONS AUTHORIZED.--A common carrier may petition the Commission to adjust charges, practices, classifications, and regulations to recover
costs expended for making modifications to equipment, facilities, or services pursuant to the requirements of section 103 of the Communications Assistance for Law Enforcement Act. (2)
COMMISSION AUTHORITY.--The Commission may grant, with or without modification, a petition under paragraph (1) if the Commission determines that such costs are reasonable and that permitting
recovery is consistent with the public interest. The Commission may, consistent with maintaining just and reasonable charges, practices, classifications, and regulations in connection
with the provision of interstate or foreign communication by wire or radio by a common carrier, allow carriers to adjust such charges, practices, classifications, and regulations in
order to carry out the purposes of this Act. (3) Joint board.--The Commission shall convene a Federal-State joint board to recommend appropriate changes to part 36 of the Commission's
rules with respect to recovery of costs pursuant to charges, practices, classifications, and regulations under the jurisdiction of the Commission.
Communications Act of 1934 89 SEC. 230. [47 U.S.C. 230] PROTECTION FOR PRIVATE BLOCKING AND SCREENING OF OFFENSIVE MATERIAL. (a) FINDINGS.--The Congress finds the following: (1) The
rapidly developing array of Internet and other interactive computer services available to individual Americans represent an extraordinary advance in the availability of educational and
informational resources to our citizens. (2) These services offer users a great degree of control over the information that they receive, as well as the potential for even greater control
in the future as technology develops. (3) The Internet and other interactive computer services offer a forum for a true diversity of political discourse, unique opportunities for cultural
development, and myriad avenues for intellectual activity. (4) The Internet and other interactive computer services have flourished, to the benefit of all Americans, with a minimum of
government regulation. (5) Increasingly Americans are relying on interactive media for a variety of political, educational, cultural, and entertainment services. (b) POLICY.--It is the
policy of the United States--(1) to promote the continued development of the Internet and other interactive computer services and other interactive media; (2) to preserve the vibrant
and competitive free market that presently exists for the Internet and other interactive computer services, unfettered by Federal or State regulation; (3) to encourage the development
of technologies which maximize user control over what information is received by individuals, families, and schools who use the Internet
and other interactive computer services; (4) to remove disincentives for the development and utilization of blocking and filtering technologies that empower parents to restrict their
children's access to objectionable or inappropriate online material; and (5) to ensure vigorous enforcement of Federal criminal laws to deter and punish trafficking in obscenity, stalking,
and harassment by means of computer. (c) PROTECTION FOR ''''GOOD SAMARITAN'' BLOCKING AND SCREENING OF OFFENSIVE MATERIAL.--(1) TREATMENT OF PUBLISHER OR SPEAKER.--No provider or user
of an interactive computer service shall be treated as the publisher or speaker of any information provided by another information content provider. (2) CIVIL LIABILITY.--No provider
or user of an interactive computer service shall be held liable on account of--(A) any action voluntarily taken in good faith to restrict
Communications Act of 1934 90 access to or availability of material that the provider or user considers to be obscene, lewd, lascivious, filthy, excessively violent, harassing, or otherwise
objectionable, whether or not such material is constitutionally protected; or (B) any action taken to enable or make available to information content providers or others the technical
means to restrict access to material described in paragraph (1). (d) EFFECT ON OTHER LAWS.--(1) NO EFFECT ON CRIMINAL LAW.--Nothing in this section shall be construed to impair the enforcement
of section 223 of this Act, chapter 71 (relating to obscenity) or 110 (relating to sexual exploitation of children) of title 18, United States Code, or any other Federal criminal statute.
(2) NO EFFECT ON INTELLECTUAL PROPERTY LAW.--Nothing in this section shall be construed to limit or expand any law pertaining to intellectual property. (3) STATE LAW.--Nothing in this
section shall be construed to prevent any State from enforcing any State law that is consistent with this section. No cause of action may be brought and no liability may be imposed under
any State or local law that is inconsistent with this section. (4) NO EFFECT ON COMMUNICATIONS PRIVACY LAW.--Nothing in this section shall be construed to limit the application of the
Electronic Communications Privacy Act of 1986 or any of the amendments made by such Act, or any similar State law. (e) DEFINITIONS.--As used in this section: (1) INTERNET.--The term
''Internet'' means the international computer network of both Federal and non-Federal interoperable packet switched data networks. (2) INTERACTIVE COMPUTER SERVICE.--The term ''interactive
computer service'' means any information service, system, or access software provider that provides or enables computer access by multiple users to a computer server, including specifically
a service or system that provides access to the Internet and such systems operated or services offered by libraries or educational institutions. (3) INFORMATION CONTENT PROVIDER.--The
term ''information content provider'' means any person or entity that is responsible, in whole or in part, for the creation or development of information provided through the Internet
or any other interactive computer service. (4) ACCESS SOFTWARE PROVIDER.--The term ''access software provider'' means a provider of software (including client or server software), or
enabling tools that do any one or more of the following: (A) filter, screen, allow, or disallow content; (B) pick, choose, analyze, or digest content; or
Communications Act of 1934 91 (C) transmit, receive, display, forward, cache, search, subset, organize, reorganize, or translate content. PART II--DEVELOPMENT OF COMPETITIVE MARKETS
SEC. 251. [47 U.S.C. 251] INTERCONNECTION. (a) GENERAL DUTY OF TELECOMMUNICATIONS CARRIERS.--Each telecommunications carrier has the duty--(1) to interconnect directly or indirectly
with the facilities and equipment of other telecommunications carriers; and (2) not to install network features, functions, or capabilities that do not comply with the guidelines and
standards established pursuant to section 255 or 256. (b) OBLIGATIONS OF ALL LOCAL EXCHANGE CARRIERS.--Each local exchange carrier has the following duties: (1) RESALE.--The duty not
to prohibit, and not to impose unreasonable or discriminatory conditions or limitations on, the resale of its telecommunications services. (2) NUMBER PORTABILITY.--The duty to provide,
to the extent technically feasible, number portability in accordance with requirements prescribed by the Commission. (3) DIALING PARITY.--The duty to provide dialing parity to competing
providers of telephone exchange service and telephone toll service, and the duty to permit all such providers to have nondiscriminatory access to telephone numbers, operator services,
directory assistance, and directory listing, with no unreasonable dialing delays. (4) ACCESS TO RIGHTS-OF-WAY.--The duty to afford access to the poles, ducts, conduits, and rights-of-way
of such carrier to competing providers of telecommunications services on rates, terms, and conditions that are consistent with section 224. (5) RECIPROCAL COMPENSATION.--The duty to
establish reciprocal compensation arrangements for the transport and termination of telecommunications. (c) ADDITIONAL OBLIGATIONS OF INCUMBENT LOCAL EXCHANGE CARRIERS.--In addition
to the duties contained in subsection (b), each incumbent local exchange carrier has the following duties: (1) DUTY TO NEGOTIATE.--The duty to negotiate in good faith in accordance with
section 252 the particular terms and conditions of agreements to fulfill the duties described in paragraphs (1) through (5) of subsection (b) and this subsection. The requesting telecommunications
Communications Act of 1934 92 carrier also has the duty to negotiate in good faith the terms and conditions of such agreements. (2) INTERCONNECTION.--The duty to provide, for the facilities
and equipment of any requesting telecommunications carrier, interconnection with the local exchange carrier's network--(A) for the transmission and routing of telephone exchange service
and exchange access; (B) at any technically feasible point within the carrier's network; (C) that is at least equal in quality to that provided by the local exchange carrier to itself
or to any subsidiary, affiliate, or any other party to which the carrier provides interconnection; and (D) on rates, terms, and conditions that are just, reasonable, and nondiscriminatory,
in accordance with the terms and conditions of the agreement and the requirements of this section and section 252. (3) UNBUNDLED ACCESS.--The duty to provide, to any requesting telecommunications
carrier for the provision of a telecommunications service, nondiscriminatory access to network elements on an unbundled basis at any technically feasible point on rates, terms, and conditions
that are just, reasonable, and nondiscriminatory in accordance with the terms and conditions of the agreement and the requirements of this section and section 252. An incumbent local
exchange carrier shall provide such unbundled network elements in a manner that allows requesting carriers to combine such elements in order to provide such telecommunications service.(4)
RESALE.--The duty--(A) to offer for resale at wholesale rates any telecommunications service that the carrier provides at retail to subscribers who are not telecommunications carriers;
and (B) not to prohibit, and not to impose unreasonable or discriminatory conditions or limitations on, the resale of such telecommunications service, except that a State commission
may, consistent with regulations prescribed by the Commission under this section, prohibit a reseller that obtains at wholesale rates a telecommunications service that is is available
at retail only to a category of subscribers from offering such service to a different category of subscribers. (5) NOTICE OF CHANGES.--The duty to provide reasonable public notice of
changes in the information necessary for the transmission and routing of services using that local exchange carrier's facilities or networks, as well as of any other changes that would
affect the interoperability of
Communications Act of 1934 93 those facilities and networks. (6) COLLOCATION.--The duty to provide, on rates, terms, and conditions that are just, reasonable, and nondiscriminatory,
for physical collocation of equipment necessary for interconnection or access to unbundled network elements at the premises of the local exchange carrier, except that the carrier may
provide for virtual collocation if the local exchange carrier demonstrates to the State commission that physical collocation is not practical for technical reasons or because of space
limitations. (d) IMPLEMENTATION.--(1) IN GENERAL.--Within 6 months after the date of enactment of the Telecommunications Act of 1996, the Commission shall complete all actions necessary
to establish regulations to implement the requirements of this section. (2) ACCESS STANDARDS.--In determining what network elements should be made available for purposes of subsection
(c)(3), the Commission shall consider, at a minimum, whether--(A) access to such network elements as are proprietary in nature is necessary; and (B) the failure to provide access to
such network elements would impair the ability of the telecommunications carrier seeking access to provide the services that it seeks to offer. (3) PRESERVATION OF STATE ACCESS REGULATIONS.--In
prescribing and enforcing regulations to implement the requirements of this section, the Commission shall not preclude the enforcement of any regulation, order, or policy of a State
commission that--(A) establishes access and interconnection obligations of local exchange carriers; (B) is consistent with the requirements of this section; and (C) does not substantially
prevent implementation of the requirements of this section and the purposes of this part. (e) NUMBERING ADMINISTRATION.--(1) COMMISSION AUTHORITY AND JURISDICTION.--The Commission shall
create or designate one or more impartial entities to administer telecommunications numbering and to make such numbers available on an equitable basis. The Commission shall have exclusive
jurisdiction over those portions of the North American Numbering Plan that pertain to the United States. Nothing in this paragraph shall preclude the Commission from delegating to State
commissions or other entities all or any portion of such jurisdiction. (2) COSTS.--The cost of establishing telecommunications numbering administration arrangements and number portability
shall be
Communications Act of 1934 94 borne by all telecommunications carriers on a competitively neutral basis as determined by the Commission. (f) EXEMPTIONS, SUSPENSIONS, AND MODIFICATIONS.--(1)
EXEMPTION FOR CERTAIN RURAL TELEPHONE COMPANIES.--(A) EXEMPTION.--Subsection (c) of this section shall not apply to a rural telephone company until (i) such company has received a bona
fide request for interconnection, services, or network elements, and (ii) the State commission determines (under subparagraph (B)) that such request is not unduly economically burdensome,
is technically feasible, and is consistent with section 254 (other than subsections (b)(7) and (c)(1)(D) thereof). (B) STATE TERMINATION OF EXEMPTION AND IMPLEMENTATION SCHEDULE.--The
party making a bona fide request of a rural telephone company for interconnection, services, or network elements shall submit a notice of its request to the State commission. The State
commission shall conduct an inquiry for the purpose of determining whether to terminate the exemption under subparagraph (A). Within 120 days after the State commission receives notice
of the request, the State commission shall terminate the exemption if the request is not unduly economically burdensome, is technically feasible, and is consistent with section 254 (other
than subsections (b)(7) and (c)(1)(D) thereof). Upon termination of the exemption, a State commission shall establish an implementation schedule for compliance with the request that
is consistent in time and manner with Commission regulations. (C) LIMITATION ON EXEMPTION.--The exemption provided by this paragraph shall not apply with respect to a request under subsection
(c) from a cable operator providing video programming, and seeking to provide any telecommunications service, in the area in which the rural telephone company provides video programming.
The limitation contained in this subparagraph shall not apply to a rural telephone company that is providing video programming on the date of enactment of the Telecommunications Act
of 1996. (2) SUSPENSIONS AND MODIFICATIONS FOR RURAL CARRIERS.--A local exchange carrier with fewer than 2 percent of the Nation's subscriber lines installed in the aggregate nationwide
may petition a State commission for a suspension or modification of the application of a requirement or requirements of subsection (b) or (c) to telephone exchange service facilities
specified in such petition. The State commission shall grant such petition to the extent that, and for such duration as, the State commission determines that such suspension or modification--(A)
is necessary--
Communications Act of 1934 95 (i) to avoid a significant adverse economic impact on users of telecommunications services generally; (ii) to avoid imposing a requirement that is unduly
economically burdensome; or (iii) to avoid imposing a requirement that is technically infeasible; and (B) is consistent with the public interest, convenience, and necessity. The State
commission shall act upon any petition filed under this paragraph within 180 days after receiving such petition. Pending such action, the State commission may suspend enforcement of
the requirement or requirements to which the petition applies with respect to the petitioning carrier or carriers. (g) CONTINUED ENFORCEMENT OF EXCHANGE ACCESS AND INTERCONNECTION REQUIREMENTS.--On
and after the date of enactment of the Telecommunications Act of 1996, each local exchange carrier, to the extent that it provides wireline services, shall provide exchange access, information
access, and exchange services for such access to interexchange carriers and information service providers in accordance with the same equal access and nondiscriminatory interconnection
restrictions and obligations (including receipt of compensation) that apply to such carrier on the date immediately preceding the date of enactment of the Telecommunications Act of 1996
under any court order, consent decree, or regulation, order, or policy of the Commission, until such restrictions and obligations are explicitly superseded by regulations prescribed
by the Commission after such date of enactment. During the period beginning on such date of enactment and until such restrictions and obligations are so superseded, such restrictions
and obligations shall be enforceable in the same manner as regulations of the Commission. (h) DEFINITION OF INCUMBENT LOCAL EXCHANGE CARRIER.--(1) DEFINITION.--For purposes of this section,
the term ''incumbent local exchange carrier'' means, with respect to an area, the local exchange carrier that--(A) on the date of enactment of the Telecommunications Act of 1996, 1996,
provided telephone exchange service in such area; and (B)(i) on such date of enactment, was deemed to be a member of the exchange carrier association pursuant to section 69.601(b) of
the Commission's regulations (47 C.F.R. 69.601(b)); or (ii) is a person or entity that, on or after such date of enactment, became a successor or assign of a member described in clause
(i). (2) TREATMENT OF COMPARABLE CARRIERS AS INCUMBENTS.--The
Communications Act of 1934 96 Commission may, by rule, provide for the treatment of a local exchange carrier (or class or category thereof) as an incumbent local exchange carrier for
purposes of this section if--(A) such carrier occupies a position in the market for telephone exchange service within an area that is comparable to the position occupied by a carrier
described in paragraph (1); (B) such carrier has substantially replaced an incumbent local exchange carrier described in paragraph (1); and (C) such treatment is consistent with the
public interest, convenience, and necessity and the purposes of this section. (i) SAVINGS PROVISION.--Nothing in this section shall be construed to limit or otherwise affect the Commission's
authority under section 201. SEC. 252. [47 U.S.C. 252] PROCEDURES FOR NEGOTIATION, ARBITRATION, AND APPROVAL OF AGREEMENTS. (a) AGREEMENTS ARRIVED AT THROUGH NEGOTIATION.--(1) VOLUNTARY
NEGOTIATIONS.--Upon receiving a request for interconnection, services, or network elements pursuant to section 251, an incumbent local exchange carrier may negotiate and enter into a
binding agreement with the requesting telecommunications carrier or carriers without regard to the standards set forth in subsections (b) and (c) of section 251. The agreement shall
include a detailed schedule of itemized charges for interconnection and each service or network element included in the agreement. The agreement, including any interconnection agreement
negotiated before the date of enactment of the Telecommunications Act of 1996, shall be submitted to the State commission under subsection (e) of this section. (2) MEDIATION.--Any party
negotiating an agreement under this section may, at any point in the negotiation, ask a State commission to participate in the negotiation and to mediate any differences arising in the
course of the negotiation. (b) AGREEMENTS ARRIVED AT THROUGH COMPULSORY ARBITRATION.--(1) ARBITRATION.--During the period from the 135th to the 160th day (inclusive) after the date on
which an incumbent local exchange carrier receives a request for negotiation under this section, the carrier or any other party to the negotiation may petition a State commission to
arbitrate any open issues. (2) DUTY OF PETITIONER.--(A) A party that petitions a State commission under paragraph (1) shall, at the same time as it submits the petition, provide the
State commission all relevant documentation concerning--
Communications Act of 1934 97 (i) the unresolved issues; (ii) the position of each of the parties with respect to those issues; and (iii) any other issue discussed and resolved by the
parties. (B) A party petitioning a State commission under paragraph (1) shall provide a copy of the petition and any documentation to the other party or parties not later than the day
on which the State commission receives the petition. (3) OPPORTUNITY TO RESPOND.--A non-petitioning party to a negotiation under this section may respond to the other party's petition
and provide such additional information as it wishes within 25 days after the State commission receives the petition. (4) ACTION BY STATE COMMISSION.--(A) The State commission shall
limit its consideration of any petition under paragraph (1) (and any response thereto) to the issues set forth in the petition and in the response, if any, filed under paragraph (3).
(B) The State commission may require the petitioning party and the responding party to provide such information as may be necessary for the State commission to reach a decision on the
unresolved issues. If any party refuses or fails unreasonably to respond on a timely basis to any reasonable request from the State commission, then the State commission may proceed
on the basis of the best information available to it from whatever source derived. (C) The State commission shall resolve each issue set forth in the petition and the response, if any,
by imposing appropriate conditions as required to implement subsection (c) upon the parties to the agreement, and shall conclude the resolution of any unresolved issues not later than
9 months after the date on which the local exchange carrier received the request under this section. (5) REFUSAL TO NEGOTIATE.--The refusal of any other party to the negotiation to participate
further in the negotiations, to cooperate with the State commission in carrying out its function as an arbitrator, or to continue to negotiate in good faith in the presence, or with
the assistance, of of the State commission shall be considered a failure to negotiate in good faith. (c) STANDARDS FOR ARBITRATION.--In resolving by arbitration under subsection (b)
any open issues and imposing conditions upon the parties to the agreement, a State commission shall--(1) ensure that such resolution and conditions meet the requirements of section 251,
including the regulations prescribed by the
Communications Act of 1934 98 Commission pursuant to section 251; (2) establish any rates for interconnection, services, or network elements according to subsection (d); and (3) provide
a schedule for implementation of the terms and conditions by the parties to the agreement. (d) PRICING STANDARDS.--(1) INTERCONNECTION AND NETWORK ELEMENT CHARGES.--Determinations by
a State commission of the just and reasonable rate for the interconnection of facilities and equipment for purposes of subsection (c)(2) of section 251, and the just and reasonable rate
for network elements for purposes of subsection (c)(3) of such section--(A) shall be--(i) based on the cost (determined without reference to a rate-of-return or other rate-based proceeding)
of providing the interconnection or network element (whichever is applicable), and (ii) nondiscriminatory, and (B) may include a reasonable profit. (2) CHARGES FOR TRANSPORT AND TERMINATION
OF TRAFFIC.--(A) IN GENERAL.--For the purposes of compliance by an incumbent local exchange carrier with section 251(b)(5), a State commission shall not consider the terms and conditions
for reciprocal compensation to be just and reasonable unless--(i) such terms and conditions provide for the mutual and reciprocal recovery by each carrier of costs associated with the
transport and termination on each carrier's network facilities of calls that originate on the network facilities of the other carrier; and (ii) such terms and conditions determine such
costs on the basis of a reasonable approximation of the additional costs of terminating such calls. (B) RULES OF CONSTRUCTION.--This paragraph shall not be construed--(i) to preclude
arrangements that afford the mutual recovery of costs through the offsetting of reciprocal obligations, including arrangements that waive mutual recovery (such as bill-and-keep arrangements);
or (ii) to authorize the Commission or any State commission to engage in any rate regulation proceeding to establish with particularity the additional costs of transporting or terminating
calls, or to require carriers to maintain records with respect to the additional costs of such
Communications Act of 1934 99 calls. (3) WHOLESALE PRICES FOR TELECOMMUNICATIONS SERVICES.--For the purposes of section 251(c)(4), a State commission shall determine wholesale rates
on the basis of retail rates charged to subscribers for the telecommunications service requested, excluding the portion thereof attributable to any marketing, billing, collection, and
other costs that will be avoided by the local exchange carrier. (e) APPROVAL BY STATE COMMISSION.--(1) APPROVAL REQUIRED.--Any interconnection agreement adopted by negotiation or arbitration
shall be submitted for approval to the State commission. A State commission to which an agreement is submitted shall approve or reject the agreement, with written findings as to any
deficiencies. (2) GROUNDS FOR REJECTION.--The State commission may only reject--(A) an agreement (or any portion thereof) adopted by negotiation under subsection (a) if it finds that--(i)
the agreement (or portion thereof) discriminates against a telecommunications carrier not a party to the agreement; or (ii) the implementation of such agreement or portion is not consistent
with the public interest, convenience, and necessity; or (B) an agreement (or any portion thereof) adopted by arbitration under subsection (b) if it finds that the agreement does not
meet the requirements of section 251, including the regulations prescribed by the Commission pursuant to section 251, or the standards set forth in subsection (d) of this section. (3)
PRESERVATION OF AUTHORITY.--Notwithstanding paragraph (2), but subject to section 253, nothing in this section shall prohibit a State commission from establishing or enforcing other
requirements of State law in its review of an agreement, including requiring compliance with intrastate telecommunications service quality standards or requirements. (4) SCHEDULE FOR
DECISION.--If the State commission does not act to approve or reject the agreement within 90 days after submission by the parties of an agreement adopted by negotiation under subsection
(a), or within 30 days after submission by the parties of an agreement adopted by arbitration under subsection (b), the agreement shall be deemed approved. No State court shall have
jurisdiction to review the action of a State commission in approving or rejecting an agreement under this section. (5) COMMISSION TO ACT IF STATE WILL NOT ACT.--If a State commission
fails to act to carry out its responsibility under this section in
Communications Act of 1934 100 any proceeding or other matter under this section, then the Commission shall issue an order preempting the State commission's jurisdiction of that proceeding
or matter within 90 days after being notified (or taking notice) of such failure, and shall assume the responsibility of the State commission under this section with respect to the proceeding
or matter and act for the State commission. (6) REVIEW OF STATE COMMISSION ACTIONS.--In a case in which a State fails to act as described in paragraph (5), the proceeding by the Commission
under such paragraph and any judicial review of the Commission's actions shall be the exclusive remedies for a State commission's failure to act. In any case in which a State commission
makes a determination under this section, any party aggrieved by such determination may bring an action in an appropriate Federal district court to determine whether the agreement or
statement meets the requirements of section 251 and this section. (f) STATEMENTS OF OF GENERALLY AVAILABLE TERMS.--(1) IN GENERAL.--A Bell operating company may prepare and file with
a State commission a statement of the terms and conditions that such company generally offers within that State to comply with the requirements of section 251 and the regulations thereunder
and the standards applicable under this section. (2) STATE COMMISSION REVIEW.--A State commission may not approve such statement unless such statement complies with subsection (d) of
this section and section 251 and the regulations thereunder. Except as provided in section 253, nothing in this section shall prohibit a State commission from establishing or enforcing
other requirements of State law in its review of such statement, including requiring compliance with intrastate telecommunications service quality standards or requirements. (3) SCHEDULE
FOR REVIEW.--The State commission to which a statement is submitted shall, not later than 60 days after the date of such submission--(A) complete the review of such statement under paragraph
(2) (including any reconsideration thereof), unless the submitting carrier agrees to an extension of the period for such review; or (B) permit such statement to take effect. (4) AUTHORITY
TO CONTINUE REVIEW.--Paragraph (3) shall not preclude the State commission from continuing to review a statement that has been permitted to take effect under subparagraph (B) of such
paragraph or from approving or disapproving such statement under paragraph (2). (5) DUTY TO NEGOTIATE NOT AFFECTED.--The submission or approval of a statement under this subsection shall
not relieve a Bell
Communications Act of 1934 101 operating company of its duty to negotiate the terms and conditions of an agreement under section 251. (g) CONSOLIDATION OF STATE PROCEEDINGS.--Where not
inconsistent with the requirements of this Act, a State commission may, to the extent practical, consolidate proceedings under sections 214(e), 251(f), 253, and this section in order
to reduce administrative burdens on telecommunications carriers, other parties to the proceedings, and the State commission in carrying out its responsibilities under this Act. (h) FILING
REQUIRED.--A State commission shall make a copy of each agreement approved under subsection (e) and each statement approved under subsection (f) available for public inspection and copying
within 10 days after the agreement or statement is approved. The State commission may charge a reasonable and nondiscriminatory fee to the parties to the agreement or to the party filing
the statement
to cover the costs of approving and filing such agreement or statement. (i) AVAILABILITY TO OTHER TELECOMMUNICATIONS CARRIERS.--A local exchange carrier shall make available any interconnection,
service, or network element provided under an agreement approved under this section to which it is a party to any other requesting telecommunications carrier upon the same terms and
conditions as those provided in the agreement. (j) DEFINITION OF INCUMBENT LOCAL EXCHANGE CARRIER.--For purposes of this section, the term ''incumbent local exchange carrier'' has the
meaning provided in section 251(h). SEC. 253. [47 U.S.C. 253] REMOVAL OF BARRIERS TO ENTRY. (a) IN GENERAL.--No State or local statute or regulation, or other State or local legal requirement,
may prohibit or have the effect of prohibiting the ability of any entity to provide any interstate or intrastate telecommunications service. (b) STATE REGULATORY AUTHORITY.--Nothing
in this section shall affect the ability of a State to impose, on a competitively neutral basis and consistent with section 254, requirements necessary to preserve preserve and advance
universal service, protect the public safety and welfare, ensure the continued quality of telecommunications services, and safeguard the rights of consumers. (c) STATE AND LOCAL GOVERNMENT
AUTHORITY.--Nothing in this section affects the authority of a State or local government to manage the public rights-ofway or to require fair and reasonable compensation from telecommunications
providers, on a competitively neutral and nondiscriminatory basis, for use of public rights-of-way on a nondiscriminatory basis, if the compensation required is publicly disclosed by
such government. (d) PREEMPTION.--If, after notice and an opportunity for public comment, the Commission determines that a State or local government has permitted or imposed any statute,
regulation, or legal requirement that violates subsection (a) or
Communications Act of 1934 102 (b), the Commission shall preempt the enforcement of such statute, regulation, or legal requirement to the extent necessary to correct such violation or
inconsistency. (e) COMMERCIAL MOBILE SERVICE PROVIDERS.--Nothing in this section shall affect the application of section 332(c)(3) to commercial mobile service providers. (f) RURAL MARKETS.--It
shall not be a violation of this section for a State to require a telecommunications carrier that seeks to provide telephone exchange service or exchange access in a service area served
by a rural telephone company to meet the requirements in section 214(e)(1) for designation as an eligible telecommunications carrier for that area before being permitted to provide such
service. This subsection shall not apply--(1) to a service area served by a rural telephone company that has obtained an exemption, suspension, or modification of section 251(c)(4) that
effectively prevents a competitor from meeting the requirements of section 214(e)(1); and (2) to a provider of commercial mobile services. SEC. 254. [47 U.S.C. 254] UNIVERSAL SERVICE.
(a) PROCEDURES TO REVIEW UNIVERSAL SERVICE REQUIREMENTS.--(1) FEDERAL-STATE JOINT BOARD ON UNIVERSAL SERVICE.--Within one month after the date of enactment of the Telecommunications
Act of 1996, the Commission shall institute and refer to a Federal-State Joint Board under section 410(c) a proceeding to recommend changes to any of its regulations in order to implement
sections 214(e) and this section, including the definition of the services that are supported by Federal universal service support mechanisms and a specific timetable for completion
of such recommendations. In addition to the members of the Joint Board required under section 410(c), one member of such Joint Board shall be a State-appointed utility consumer advocate
nominated by a national organization of State utility consumer advocates. The Joint Board shall, after notice and opportunity for public comment, make its recommendations to the Commission
9 months after the date of enactment of the Telecommunications Act of 1996. (2) COMMISSION ACTION.--The Commission shall initiate a single proceeding to implement the recommendations
from the Joint Board required by paragraph (1) and shall complete such proceeding within 15 months after the date of enactment of the Telecommunications Act of 1996. The rules established
by such proceeding shall include a definition of the services that are supported by Federal universal service support mechanisms and a specific timetable for implementation. Thereafter,
the Commission shall complete any proceeding to implement subsequent
Communications Act of 1934 103 recommendations from any Joint Board on universal service within one year after receiving such recommendations. (b) UNIVERSAL SERVICE PRINCIPLES.--The
Joint Board and the Commission shall base policies for the preservation and advancement of universal service on the following principles: (1) QUALITY AND RATES.--Quality services should
be available at just, reasonable, and affordable rates. (2) ACCESS TO ADVANCED SERVICES.--Access to advanced telecommunications and information services should be provided in all regions
of the Nation. (3) ACCESS IN RURAL AND HIGH COST AREAS.--Consumers in all regions of the Nation, including low-income consumers and those in rural, insular, and high cost areas, should
have access to telecommunications and information services, including interexchange services and advanced telecommunications and information services, that are reasonably comparable
to those services provided in urban areas and that are available at rates that are reasonably comparable to rates charged for similar services in urban areas. (4) EQUITABLE AND NONDISCRIMINATORY
CONTRIBUTIONS.--All providers of telecommunications services should make an equitable and nondiscriminatory contribution to the preservation and advancement of universal service. (5)
SPECIFIC AND PREDICTABLE SUPPORT MECHANISMS.--There should be specific, predictable and sufficient Federal and State mechanisms to preserve and advance universal service. (6) ACCESS
TO ADVANCED TELECOMMUNICATIONS SERVICES FOR SCHOOLS, HEALTH CARE, AND LIBRARIES.--Elementary and secondary schools and classrooms, health care providers, and libraries should have access
to advanced telecommunications services as described in subsection (h). (7) ADDITIONAL PRINCIPLES.--Such other principles as the Joint Board and the Commission determine are necessary
and appropriate for the protection of the public interest, convenience, and necessity and are consistent with this Act. (c) DEFINITION.--(1) IN GENERAL.--Universal service is an evolving
level level of telecommunications services that the Commission shall establish periodically under this section, taking into account advances in telecommunications and information technologies
and services. The Joint Board in recommending, and the Commission in establishing, the definition of the services that are supported by Federal universal service support mechanisms shall
consider the extent to which such telecommunications
Communications Act of 1934 104 services--(A) are essential to education, public health, or public safety; (B) have, through the operation of market choices by customers, been subscribed
to by a substantial majority of residential customers; (C) are being deployed in public telecommunications networks by telecommunications carriers; and (D) are consistent with the public
interest, convenience, and necessity. (2) ALTERATIONS AND MODIFICATIONS.--The Joint Board may, from time to time, recommend to the Commission modifications in the definition of the services
that are supported by Federal universal service support mechanisms. (3) SPECIAL SERVICES.--In addition to the services included in the definition of universal service under paragraph
(1), the Commission may designate additional services for such support mechanisms for schools, libraries, and health care providers for the purposes of subsection (h). (d) TELECOMMUNICATIONS
CARRIER CONTRIBUTION.--Every telecommunications carrier that provides interstate telecommunications services shall contribute, on an equitable and nondiscriminatory basis, to the specific,
predictable, and sufficient mechanisms established by the Commission to preserve and advance universal service. The Commission may exempt a carrier or class of carriers from this requirement
if the carrier's telecommunications activities are limited to such an extent that the level of such carrier's contribution to the preservation and advancement of universal service would
be de minimis. Any other provider of interstate telecommunications may be required to contribute to the preservation and advancement of universal service if the public interest so requires.
(e) UNIVERSAL SERVICE SUPPORT.--After the date on which Commission regulations implementing this section take effect, only an eligible telecommunications carrier designated under section
214(e) shall be eligible to receive specific Federal universal service support. A carrier that receives such support shall use that support only for the provision, maintenance, and upgrading
of facilities and services for which the support is intended. Any such support should be explicit and sufficient to achieve the purposes of this section. (f) STATE AUTHORITY.--A State
may adopt regulations not inconsistent with the Commission's rules to preserve and advance universal service. Every telecommunications carrier that provides intrastate telecommunications
services shall contribute, on an equitable and nondiscriminatory basis, in a manner determined by the State to the preservation and advancement of universal service in that State. A
State may adopt regulations to provide for additional definitions
Communications Act of 1934 105 and standards to preserve and advance universal service within that State only to the extent that such regulations adopt additional specific, predictable,
and sufficient mechanisms to support such definitions or standards that do not rely on or burden Federal universal service support mechanisms. (g) INTEREXCHANGE AND INTERSTATE SERVICES.--Within
6 months after the date of enactment of the Telecommunications Act of 1996, the Commission shall adopt rules to require that the rates charged by providers of interexchange telecommunications
services to subscribers in rural and high cost areas shall be no higher than the rates charged by each such provider to its subscribers in urban areas. Such rules shall also require
that a provider of interstate interexchange telecommunications services shall provide such services to its subscribers in each State at rates no higher than the rates charged to its
subscribers in any other State. (h) TELECOMMUNICATIONS SERVICES FOR CERTAIN PROVIDERS.--(1) IN GENERAL.--(A) HEALTH CARE PROVIDERS FOR RURAL AREAS.--A telecommunications carrier shall,
upon receiving a bona fide request, provide telecommunications services which are necessary for the provision of health care services in a State, including instruction relating to such
services, to any public or nonprofit health care provider that serves persons who reside in rural areas in that State at rates that are reasonably comparable to rates charged for similar
services in urban areas in that State. A telecommunications carrier providing service under this paragraph shall be entitled to have an amount equal to the difference, if any, between
the rates for services provided to health care providers for rural areas in a State and the rates for similar services provided to other customers in comparable rural areas in that State
treated as a service obligation as a part of its obligation to participate in the mechanisms to preserve and advance universal service. (B) EDUCATIONAL PROVIDERS AND LIBRARIES.--All
All telecommunications carriers serving a geographic area shall, upon a bona fide request for any of its services that are within the definition of universal service under subsection
(c)(3), provide such services to elementary schools, secondary schools, and libraries for educational purposes at rates less than the amounts charged for similar services to other parties.
The discount shall be an amount that the Commission, with respect to interstate services, and the States, with respect to intrastate services, determine is appropriate and necessary
to ensure affordable access to and use of such services by such entities. A telecommunications carrier providing service under this paragraph shall--(i) have an amount equal to the amount
of the
Communications Act of 1934 106 discount treated as an offset to its obligation to contribute to the mechanisms to preserve and advance universal service, or (ii) notwithstanding the
provisions of subsection (e) of this section, receive reimbursement utilizing the support mechanisms to preserve and advance universal service. (2) ADVANCED SERVICES.--The Commission
shall establish competitively neutral rules--(A) to enhance, to the extent technically feasible and economically reasonable, access to advanced telecommunications and information services
for all public and nonprofit elementary and secondary school classrooms, health care providers, and libraries; and (B) to define the circumstances under which a telecommunications carrier
may be required to connect its network to such public institutional telecommunications users. (3) TERMS AND CONDITIONS.--Telecommunications services and network capacity provided to
a public institutional telecommunications user under this subsection may not be sold, resold, or otherwise transferred by such user in consideration for money or any other thing of value.
(4) ELIGIBILITY OF USERS.--No entity listed in this subsection shall be entitled to preferential rates or treatment as required by this subsection, if such entity operates as a for-profit
business, is a school described in paragraph (5)(A) with an endowment of more than $50,000,000, or is a library not eligible for participation in State-based plans for funds under title
III of the Library Services and Construction Act (20 U.S.C. 335c et seq.). (5) DEFINITIONS.--For purposes of this subsection: (A) ELEMENTARY AND SECONDARY SCHOOLS.--The term ''elementary
and secondary schools'' means elementary schools and secondary schools, as defined in paragraphs (14) and (25), respectively, of section 14101 of the Elementary and Secondary Education
Act of 1965 (20 U.S.C. 8801). (B) HEALTH CARE PROVIDER.--The term ''health care provider'' means--(i) post-secondary educational institutions offering health care instruction, teaching
hospitals, and medical schools;(ii) community health centers or health centers providing health care to migrants; (iii) local health departments or agencies; (iv) community mental health
centers;
Communications Act of 1934 107 (v) not-for-profit hospitals; (vi) rural health clinics; and (vii) consortia of health care providers consisting of one or more entities described in clauses
(i) through (vi). (C) PUBLIC INSTITUTIONAL TELECOMMUNICATIONS USER.--The term ''public institutional telecommunications user'' means an elementary or secondary school, a library, or
a health care provider as those terms are defined in this paragraph. (i) CONSUMER PROTECTION.--The Commission and the States should ensure that universal service is available at rates
that are just, reasonable, and affordable. (j) LIFELINE ASSISTANCE.--Nothing in this section shall affect the collection, distribution, or administration of the Lifeline Assistance Program
provided for by the Commission under regulations set forth in section 69.117 of title 47, Code of Federal Regulations, and other related sections of such title. (k) SUBSIDY OF COMPETITIVE
SERVICES PROHIBITED.--A telecommunications carrier may not use services that are not competitive to subsidize services that are subject to competition. The Commission, with respect to
interstate services, and the States, with respect to intrastate services, shall establish any necessary cost allocation rules, accounting safeguards, and guidelines to ensure that services
included in the definition of universal service bear no more than a reasonable share of the joint and common costs of facilities used to provide those services. SEC. 255. [47 U.S.C.
255] ACCESS BY PERSONS WITH DISABILITIES. (a) DEFINITIONS.--As used in this section--(1) DISABILITY.--The term ''disability'' has the meaning given to it by section 3(2)(A) of the Americans
with Disabilities Act of 1990 (42 U.S.C. 12102(2)(A)). (2) READILY ACHIEVABLE.--The term ''readily achievable'' has the meaning given to it by section 301(9) of that Act (42 U.S.C. 12181(9)).
(b) MANUFACTURING.--A manufacturer of telecommunications equipment or customer premises equipment shall ensure that the equipment is designed, developed, and fabricated to be accessible
to and usable by individuals with disabilities, if readily achievable. (c) TELECOMMUNICATIONS SERVICES.--A provider of telecommunications service shall ensure that the service is accessible
to and usable by individuals with disabilities, if readily achievable. (d) COMPATIBILITY.--Whenever the requirements of subsections (b) and (c) are not readily achievable, such a manufacturer
or provider shall ensure that the equipment or service is compatible with existing peripheral devices or specialized customer premises equipment commonly used by individuals with disabilities
to
Communications Act of 1934 108 achieve access, if readily achievable. (e) GUIDELINES.--Within 18 months after the date of enactment of the Telecommunications Act of 1996, the Architectural
and Transportation Barriers Compliance Board shall develop guidelines for accessibility of telecommunications equipment and customer premises equipment in conjunction with the Commission.
The Board shall review and update the guidelines periodically. (f) NO ADDITIONAL PRIVATE RIGHTS AUTHORIZED.--Nothing in this section shall be construed to authorize any private right
of action to enforce any requirement of this section or any regulation thereunder. The Commission shall have exclusive jurisdiction with respect to any complaint under this section.
SEC. 256. [47 U.S.C. 256] COORDINATION FOR INTERCONNECTIVITY. (a) PURPOSE.--It is the purpose of this section--(1) to promote nondiscriminatory accessibility by the broadest number of
users and vendors of communications products and services to public telecommunications networks used to provide telecommunications service through--(A) coordinated public telecommunications
network planning and design by telecommunications carriers and other providers of telecommunications service; and (B) public telecommunications network interconnectivity, and interconnectivity
of devices with such networks used to provide telecommunications service; and (2) to ensure the ability of users and information providers to seamlessly and transparently transmit and
receive information between and across telecommunications networks. (b) COMMISSION FUNCTIONS.--In carrying out the purposes of this section, the Commission--(1) shall establish procedures
for Commission oversight of coordinated network planning by telecommunications carriers and other providers of telecommunications service for the effective and efficient interconnection
of public telecommunications networks used to provide telecommunications service; and (2) may participate, in a manner consistent with its authority and practice prior to the date of
enactment of this section, in the development by appropriate industry standards-setting organizations of public telecommunications network interconnectivity standards that promote access
to--(A) public telecommunications networks used to provide telecommunications service; (B) network capabilities and services by individuals with
Communications Act of 1934 109 disabilities; and (C) information services by subscribers of rural telephone companies. (c) COMMISSION'S AUTHORITY.--Nothing in this section shall be construed
as expanding or limiting any authority that the Commission may have under law in effect before the date of enactment of the Telecommunications Act of 1996. (d) DEFINITION.--As used in
this section, the term ''public telecommunications network interconnectivity'' means the ability of two or more public telecommunications networks used to provide telecommunications
service to communicate and exchange information without degeneration, and to interact in concert with one another. SEC. 257. [47 U.S.C. 257] MARKET ENTRY BARRIERS PROCEEDING. (a) ELIMINATION
OF BARRIERS.--Within 15 months after the date of enactment of the Telecommunications Act of 1996, the Commission shall complete a proceeding for the purpose of identifying and eliminating,
by regulations pursuant to its authority under this Act (other than this section), market entry barriers for entrepreneurs and other small businesses in the provision and ownership of
telecommunications services and information services, or in the provision of parts or services to providers of telecommunications services and information services. (b) NATIONAL POLICY.--In
carrying out subsection (a), the Commission shall seek to promote the policies and purposes of this Act favoring diversity of media voices, vigorous economic competition, technological
advancement, and promotion of the public interest, convenience, and necessity. (c) PERIODIC REVIEW.--Every 3 years following the completion of the proceeding required by subsection (a),
the Commission shall review and report to Congress on--(1) any regulations prescribed to eliminate barriers within its jurisdiction that are identified under subsection (a) and that
can be prescribed consistent with the public interest, convenience, and necessity; and (2) the statutory barriers identified under subsection (a) that the Commission recommends be eliminated,
consistent with the public interest, convenience, and necessity. SEC. 258. [47 U.S.C. 258] ILLEGAL CHANGES IN SUBSCRIBER CARRIER SELECTIONS. (a) PROHIBITION.--No telecommunications carrier
shall submit or execute a change in a subscriber's selection of a provider of telephone exchange service or telephone toll service except in accordance with such verification procedures
as the Commission shall prescribe. Nothing in this section shall preclude any State
Communications Act of 1934 110 commission from enforcing such procedures with respect to intrastate services. (b) LIABILITY FOR CHARGES.--Any telecommunications carrier that violates
the verification procedures described in subsection (a) and that collects charges for telephone exchange service or telephone toll service from a subscriber shall be liable to the carrier
previously selected by the subscriber in an amount equal to all charges paid by such subscriber after such violation, in accordance with such procedures as the Commission may prescribe.
The remedies provided by this subsection are in addition to any other remedies available by law. SEC. 259. [47 U.S.C. 259] INFRASTRUCTURE SHARING. (a) REGULATIONS REQUIRED.--The Commission
shall prescribe, within one year after the date of enactment of the Telecommunications Act of 1996, regulations that require incumbent local exchange carriers (as defined in section
251(h)) to make available to any qualifying carrier such public switched network infrastructure, technology, information, and telecommunications facilities and functions as may be requested
by such qualifying carrier for the purpose of enabling such qualifying carrier to provide telecommunications services, or to provide access to information services, in the service area
in which such qualifying carrier has requested and obtained designation as an eligible telecommunications carrier under section 214(e). (b) TERMS AND CONDITIONS OF REGULATIONS.--The
regulations prescribed by the Commission pursuant to this section shall--(1) not require a local exchange carrier to which this section applies to take any action that is economically
unreasonable or that is contrary to the public interest; (2) permit, but shall not require, the joint ownership or operation of public switched network infrastructure and services by
or among such local exchange carrier and a qualifying carrier; (3) ensure that such local exchange carrier will not be treated by the Commission or any State as a common carrier for
hire or as offering common carrier services with respect to any infrastructure, technology, information, facilities, or functions made available to a qualifying carrier in accordance
with regulations issued pursuant to this section; (4) ensure that such local exchange carrier makes such infrastructure, technology, information, facilities, or functions available to
a qualifying carrier on just and reasonable terms and conditions that permit such qualifying carrier to fully benefit from the economies of scale and scope of such local exchange carrier,
as determined in accordance with guidelines prescribed by the Commission in regulations issued pursuant to this section; (5) establish conditions that promote cooperation between local
exchange carriers to which this section applies and qualifying carriers;
Communications Act of 1934 111 (6) not require a local exchange carrier to which this section applies to engage in any infrastructure sharing agreement for any services or access which
are to be provided or offered to consumers by the qualifying carrier in such local exchange carrier's telephone exchange area; and (7) require that such local exchange carrier file with
the Commission or State for public inspection, any tariffs, contracts, or other arrangements showing the rates, terms, and conditions under which such carrier is making available public
switched network infrastructure and functions under this section. (c) INFORMATION CONCERNING DEPLOYMENT OF NEW SERVICES AND EQUIPMENT.--A local exchange carrier to which this section
applies that has entered into an infrastructure sharing agreement under this section shall provide to each party to such agreement timely information on the planned deployment of telecommunications
services and equipment, including any software or upgrades of software integral to the use or operation of such telecommunications equipment. (d) DEFINITION.--For purposes of this section,
the term ''qualifying carrier'' means a telecommunications carrier that--(1) lacks economies of scale or scope, as determined in accordance with regulations prescribed by the Commission
pursuant to this section; and (2) offers telephone exchange service, exchange access, and any other service that is included in universal service, to all consumers without preference
throughout the service area for which such carrier has been designated as an eligible telecommunications carrier under section 214(e). SEC. 260. [47 U.S.C. 260] PROVISION OF TELEMESSAGING
SERVICE. (a) NONDISCRIMINATION SAFEGUARDS.--Any local exchange carrier subject to the requirements of section 251(c) that provides telemessaging service--(1) shall not subsidize its
telemessaging service directly or indirectly from its telephone exchange service or its exchange access; and (2) shall not prefer or discriminate in favor of its telemessaging service
operations in its provision of telecommunications services. (b) EXPEDITED CONSIDERATION OF COMPLAINTS.--The Commission shall establish procedures for the receipt and review of complaints
concerning violations of subsection (a) or the regulations thereunder that result in material financial harm to a provider of telemessaging service. Such procedures shall ensure that
the Commission will make a final determination with respect to any such complaint within 120 days after receipt of the complaint. If the complaint contains an appropriate showing that
the alleged violation occurred, the Commission shall, within 60 days after receipt of the complaint, order the local exchange carrier and any affiliates to cease engaging in such violation
pending such final determination. (c) DEFINITION.--As used in this section, the term ''telemessaging service''
Communications Act of 1934 112 means voice mail and voice storage and retrieval services, any live operator services used to record, transcribe, or relay messages (other than telecommunications
relay services), and any ancillary services offered in combination with these services. SEC. 261. [47 U.S.C. 261] EFFECT ON OTHER REQUIREMENTS. (a) COMMISSION REGULATIONS.--Nothing in
this part shall be construed to prohibit the Commission from enforcing regulations prescribed prior to the date of enactment of the Telecommunications Act of 1996 in fulfilling the requirements
of this part, to the extent that such regulations are not inconsistent with the provisions
of this part. (b) EXISTING STATE REGULATIONS.--Nothing in this part shall be construed to prohibit any State commission from enforcing regulations prescribed prior to the date of enactment
of the Telecommunications Act of 1996, or from prescribing regulations after such date of enactment, in fulfilling the requirements of this part, if such regulations are not inconsistent
with the provisions of this part. (c) ADDITIONAL STATE REQUIREMENTS.--Nothing in this part precludes a State from imposing requirements on a telecommunications carrier for intrastate
services that are necessary to further competition in the provision of telephone exchange service or exchange access, as long as the State's requirements are not inconsistent with this
part or the Commission's regulations to implement this part. PART III--SPECIAL PROVISIONS CONCERNING BELL OPERATING COMPANIES SEC. 271. [47 U.S.C. 271] BELL OPERATING COMPANY ENTRY INTO
INTERLATA SERVICES. (a) GENERAL LIMITATION.--Neither a Bell operating company, nor any affiliate of a Bell operating company, may provide interLATA services except as provided in this
section. (b) INTERLATA SERVICES TO WHICH THIS SECTION APPLIES.--(1) IN-REGION SERVICES.--A Bell operating company, or any affiliate of that Bell operating company, may provide interLATA
services originating in any of its in-region States (as defined in subsection (i)) i)) if the Commission approves the application of such company for such State under subsection (d)(3).
(2) OUT-OF-REGION SERVICES.--A Bell operating company, or any affiliate of that Bell operating company, may provide interLATA services originating outside its in-region States after
the date of enactment of the Telecommunications Act of 1996, subject to subsection (j). (3) INCIDENTAL INTERLATA SERVICES.--A Bell operating company,
Communications Act of 1934 113 or any affiliate of a Bell operating company, may provide incidental interLATA services (as defined in subsection (g)) originating in any State after the
date of enactment of the Telecommunications Act of 1996. (4) TERMINATION.--Nothing in this section prohibits a Bell operating company or any of its affiliates from providing termination
for interLATA services, subject to subsection (j). (c) REQUIREMENTS FOR PROVIDING CERTAIN IN-REGION INTERLATA SERVICES.--(1) AGREEMENT OR STATEMENT.--A Bell operating company meets the
requirements of this paragraph if it meets the requirements of subparagraph (A) or subparagraph (B) of this paragraph for each State for which the authorization is sought. (A) PRESENCE
OF A FACILITIES-BASED COMPETITOR.--A Bell operating company meets the requirements of this subparagraph if it has entered into one or more binding agreements that have been approved
under section 252 specifying the terms and conditions under which the Bell operating company is providing access and interconnection to its network facilities for the network facilities
of one or more unaffiliated competing providers of telephone exchange service (as defined in section 3(47)(A), but excluding exchange access) to residential and business subscribers.
For the purpose of this subparagraph, such telephone exchange service may be offered by such competing providers either exclusively over their own telephone exchange service facilities
or predominantly over their own telephone exchange service facilities in combination with the resale of the telecommunications services of another carrier. For the purpose of this subparagraph,
services provided pursuant to subpart K of part 22 of the Commission's regulations (47 C.F.R. 22.901 et seq.) shall not be considered to be telephone exchange services. (B) FAILURE TO
REQUEST ACCESS.--A Bell operating company meets the requirements of this subparagraph if, after 10 months after the date of enactment of the Telecommunications Act of 1996, no such provider
has requested the access and interconnection described in subparagraph (A) before the date which is 3 months before the date the company makes its application under subsection (d)(1),
and a statement of the terms and conditions that the company generally offers to provide such access and interconnection has been approved or permitted to take effect by the State commission
under section 252(f). For purposes of this subparagraph, a Bell operating company shall be considered not to have received any request for access and interconnection if
Communications Act of 1934 114 the State commission of such State certifies that the only provider or providers making such a request have (i) failed to negotiate in good faith as required
by section 252, or (ii) violated the terms of an agreement approved under section 252 by the provider's failure to comply, within a reasonable period of time, with the implementation
schedule contained in such agreement. (2) SPECIFIC INTERCONNECTION REQUIREMENTS.--(A) AGREEMENT REQUIRED.--A Bell operating company meets the requirements of this paragraph if, within
the State for which the authorization is sought--(i)(I) such company is providing access and interconnection pursuant to one or more agreements described in paragraph (1)(A), or (II)
such company is generally offering access and interconnection pursuant to a statement described in paragraph (1)(B), and (ii) such access and interconnection meets the requirements of
subparagraph (B) of this paragraph. (B) COMPETITIVE CHECKLIST.--Access or interconnection provided or generally offered by a Bell operating company to other telecommunications carriers
meets the requirements of this subparagraph if such access and interconnection includes each of the following: (i) Interconnection in accordance with the requirements of sections 251(c)(2)
and 252(d)(1). (ii) Nondiscriminatory access to network elements in accordance with the requirements of sections 251(c)(3) and 252(d)(1). (iii) Nondiscriminatory access to the poles,
ducts, conduits, and rights-of-way owned or controlled by the Bell operating company at just and reasonable rates in accordance with the requirements of section 224. (iv) Local loop
transmission from the central office to the customer's premises, unbundled from local switching or other services. (v) Local transport from the trunk side of a wireline local exchange
carrier switch unbundled from switching or other services. (vi) Local switching unbundled from transport, local loop transmission, or other services. (vii) Nondiscriminatory access to--(I)
911 and E911 services;
Communications Act of 1934 115 (II) directory assistance services to allow the other carrier's customers to obtain telephone numbers; and (III) operator call completion services. (viii)
White pages directory listings for customers of the other carrier's telephone exchange service. (ix) Until the date by which telecommunications numbering administration guidelines, plan,
or rules are established, nondiscriminatory access to telephone numbers for assignment to the other carrier's telephone exchange service customers. After that date, compliance with such
guidelines, plan, or rules. (x) Nondiscriminatory access to databases and associated signaling necessary for call routing and completion. (xi) Until the date by which the Commission
issues regulations pursuant to section 251 to require number portability, interim telecommunications number portability through remote call forwarding, direct inward dialing trunks,
or other comparable arrangements, with as little impairment of functioning, quality, reliability, and convenience as possible. After that date, full compliance with such regulations.
(xii) Nondiscriminatory access to such services or information as are necessary to allow the requesting carrier to implement local dialing parity in accordance with the requirements
of section 251(b)(3). (xiii) Reciprocal compensation arrangements in accordance with the requirements of section 252(d)(2). (xiv) Telecommunications services are available for resale
in accordance with the requirements of sections 251(c)(4) and 252(d)(3). (d) ADMINISTRATIVE PROVISIONS.--(1) APPLICATION TO COMMISSION.--On and after the date of enactment of the Telecommunications
Act of 1996, a Bell operating company or its affiliate may apply to the Commission for authorization to provide interLATA services originating in any in-region State. The application
shall identify each State for which the authorization is sought. (2) CONSULTATION.--(A) CONSULTATION WITH THE ATTORNEY GENERAL.--The Commission shall notify the Attorney General promptly
of any any application under paragraph (1). Before making any determination
Communications Act of 1934 116 under this subsection, the Commission shall consult with the Attorney General, and if the Attorney General submits any comments in writing, such comments
shall be included in the record of the Commission's decision. In consulting with and submitting comments to the Commission under this paragraph, the Attorney General shall provide to
the Commission an evaluation of the application using any standard the Attorney General considers appropriate. The Commission shall give substantial weight to the Attorney General's
evaluation, but such evaluation shall not have any preclusive effect on any Commission decision under paragraph (3). (B) CONSULTATION WITH STATE COMMISSIONS.--Before making any determination
under this subsection, the Commission shall consult with the State commission of any State that is the subject of the application in order to verify the compliance of the Bell operating
company with the requirements of subsection (c). (3) DETERMINATION.--Not later than 90 days after receiving an application under paragraph (1), the Commission shall issue a written determination
approving or denying the authorization requested in the application for each State. The Commission shall not approve the authorization requested in an application submitted under paragraph
(1) unless it finds that--(A) the petitioning Bell operating company has met the requirements of subsection (c)(1) and--(i) with respect to access and interconnection provided pursuant
to subsection (c)(1)(A), has fully implemented the competitive checklist in subsection (c)(2)(B); or (ii) with respect to access and interconnection generally offered pursuant to a statement
under subsection (c)(1)(B), such statement offers all of the items included in the competitive checklist in subsection (c)(2)(B); (B) the requested authorization will be carried out
in accordance with the requirements of section 272; and (C) the requested authorization is consistent with the public interest, convenience, and necessity. The Commission shall shall
state the basis for its approval or denial of the application. (4) LIMITATION ON COMMISSION.--The Commission may not, by rule or otherwise, limit or extend the terms used in the competitive
checklist set forth in subsection (c)(2)(B). (5) PUBLICATION.--Not later than 10 days after issuing a
Communications Act of 1934 117 determination under paragraph (3), the Commission shall publish in the Federal Register a brief description of the determination. (6) ENFORCEMENT OF CONDITIONS.--(A)
COMMISSION AUTHORITY.--If at any time after the approval of an application under paragraph (3), the Commission determines that a Bell operating company has ceased to meet any of the
conditions required for such approval, the Commission may, after notice and opportunity for a hearing--(i) issue an order to such company to correct the deficiency; (ii) impose a penalty
on such company pursuant to title V; or (iii) suspend or revoke such approval. (B) RECEIPT AND REVIEW OF COMPLAINTS.--The Commission shall establish procedures for the review of complaints
concerning failures by Bell operating companies to meet conditions required for approval under paragraph (3). Unless the parties otherwise agree, the Commission shall act on such complaint
within 90 days. (e) LIMITATIONS.--(1) JOINT MARKETING OF LOCAL AND LONG DISTANCE SERVICES.--Until a Bell operating company is authorized pursuant to subsection (d) to provide interLATA
services in an in-region State, or until 36 months have passed since the date of enactment of the Telecommunications Act of 1996, whichever is earlier, a telecommunications carrier that
serves greater than 5 percent of the Nation's presubscribed access lines may not jointly market in such State telephone exchange service obtained from such company pursuant to section
251(c)(4) with interLATA services offered by that telecommunications carrier. (2) INTRALATA TOLL DIALING PARITY.--(A) PROVISION REQUIRED.--A Bell operating company granted authority
to provide interLATA services under subsection (d) shall provide intraLATA toll dialing parity throughout that State coincident with its exercise of that authority. (B) LIMITATION.--Except
for single-LATA States and States that have issued an order by December 19, 1995, requiring a Bell operating company to implement intraLATA toll dialing parity, a State may not require
a Bell operating company to implement intraLATA toll dialing parity in that State before a Bell operating company has been granted authority under this section to provide interLATA services
originating in that State or before 3 years after the date of enactment of the Telecommunications Act of 1996,
Communications Act of 1934 118 whichever is earlier. Nothing in this subparagraph precludes a State from issuing an order requiring intraLATA toll dialing parity in that State prior
to either such date so long as such order does not take effect until after the earlier of either such dates. (f) EXCEPTION FOR PREVIOUSLY AUTHORIZED ACTIVITIES.--Neither subsection (a)
nor section 273 shall prohibit a Bell operating company or affiliate from engaging, at any time after the date of enactment of the Telecommunications Act of 1996, in any activity to
the extent authorized by, and subject to the terms and conditions contained in, an order entered by the United States District Court for the District of Columbia pursuant to section
VII or VIII(C) of the AT&T Consent Decree if such order was entered on or before such date of enactment, to the extent such order is not reversed or vacated on appeal. Nothing in this
subsection shall be construed to limit, or to impose terms or conditions on, an activity in which a Bell operating company is otherwise authorized to engage under any other provision
of this section. (g) DEFINITION OF INCIDENTAL INTERLATA SERVICES.--For purposes of this section, the term ''incidental interLATA services'' means the interLATA provision by a Bell operating
company or its affiliate--(1)(A) of audio programming, video programming, or other programming services to subscribers to such services of such company or affiliate;(B) of the capability
for interaction by such subscribers to select or respond to such audio programming, video programming, or other programming services; (C) to distributors of audio programming or video
programming that such company or affiliate owns or controls, or is licensed by the copyright owner of such programming (or by an assignee of such owner) to distribute; or (D) of alarm
monitoring services; (2) of two-way interactive video services or Internet services over dedicated facilities to or for elementary and secondary schools as defined in section 254(h)(5);
(3) of commercial mobile services in accordance with section 332(c) of this Act and with the regulations prescribed by the Commission pursuant to paragraph (8) of such section; (4) of
a service that permits a customer that is located in one LATA to retrieve stored information from, or file information for storage in, information storage facilities of such company
that are located in another LATA;(5) of signaling information used in connection with the provision of telephone exchange services or exchange access by a local exchange carrier; or
Communications Act of 1934 119 (6) of network control signaling information to, and receipt of such signaling information from, common carriers offering interLATA services at any location
within the area in which such Bell operating company provides telephone exchange services or exchange access. (h) LIMITATIONS.--The provisions of subsection (g) are intended to be narrowly
construed. The interLATA services provided under subparagraph (A), (B), or (C) of subsection (g)(1) are limited to those interLATA transmissions incidental to the provision by a Bell
operating company or its affiliate of video, audio, and other programming services that the company or its affiliate is engaged in providing to the public. The Commission shall ensure
that the provision of services authorized under subsection (g) by a Bell operating company or its affiliate will not adversely affect telephone exchange service ratepayers or competition
in any telecommunications market. (i) ADDITIONAL DEFINITIONS.--As used in this section--(1) 1) IN-REGION STATE.--The term ''in-region State'' means a State in which a Bell operating
company or any of its affiliates was authorized to provide wireline telephone exchange service pursuant to the reorganization plan approved under the AT&T Consent Decree, as in effect
on the day before the date of enactment of the Telecommunications Act of 1996. (2) AUDIO PROGRAMMING SERVICES.--The term ''audio programming services'' means programming provided by,
or generally considered to be comparable to programming provided by, a radio broadcast station. (3) VIDEO PROGRAMMING SERVICES; OTHER PROGRAMMING SERVICES.--The terms ''video programming
service'' and ''other programming services'' have the same meanings as such terms have under section 602 of this Act. (j) CERTAIN SERVICE APPLICATIONS TREATED AS IN-REGION SERVICE APPLICATIONS.--For
purposes of this section, a Bell operating company application to provide 800 service, private line service, or their equivalents that--(1) terminate in an in-region State of that that
Bell operating company, and (2) allow the called party to determine the interLATA carrier, shall be considered an in-region service subject to the requirements of subsection (b)(1).
SEC. 272. [47 U.S.C. 272] SEPARATE AFFILIATE; SAFEGUARDS. (a) SEPARATE AFFILIATE REQUIRED FOR COMPETITIVE ACTIVITIES.--(1) IN GENERAL.--A Bell operating company (including any affiliate)
which is a local exchange carrier that is subject to the requirements of section 251(c) may not provide any service described in paragraph (2) unless it provides that service through
one or more affiliates that--
Communications Act of 1934 120 (A) are separate from any operating company entity that is subject to the requirements of section 251(c); and (B) meet the requirements of subsection (b).
(2) SERVICES FOR WHICH A SEPARATE AFFILIATE IS REQUIRED.--The services for which a separate affiliate is required by paragraph (1) are: (A) Manufacturing activities (as defined in section
273(h)). (B) Origination of interLATA telecommunications services, other than--(i) incidental interLATA services described in paragraphs (1), (2), (3), (5), and (6) of section 271(g);
(ii) out-of-region services described in section 271(b)(2); or (iii) previously authorized activities described in section 271(f). (C) InterLATA information services, other than electronic
publishing (as defined in section 274(h)) and alarm monitoring services (as defined in section 275(e)). (b) STRUCTURAL AND TRANSACTIONAL REQUIREMENTS.--The separate affiliate required
by this section--(1) shall operate independently from the Bell operating company; (2) shall shall maintain books, records, and accounts in the manner prescribed by the Commission which
shall be separate from the books, records, and accounts maintained by the Bell operating company of which it is an affiliate; (3) shall have separate officers, directors, and employees
from the Bell operating company of which it is an affiliate; (4) may not obtain credit under any arrangement that would permit a creditor, upon default, to have recourse to the assets
of the Bell operating company; and (5) shall conduct all transactions with the Bell operating company of which it is an affiliate on an arm's length basis with any such transactions
reduced to writing and available for public inspection. (c) NONDISCRIMINATION SAFEGUARDS.--In its dealings with its affiliate described in subsection (a), a Bell operating company--(1)
may not discriminate between that company or affiliate and any other entity in the provision or procurement of goods, services, facilities, and information, or in the establishment of
standards; and (2) shall account for all transactions with an affiliate described in subsection (a) in accordance with accounting principles designated or approved by the Commission.
(d) BIENNIAL AUDIT.--(1) GENERAL REQUIREMENT.--A company required to operate a
Communications Act of 1934 121 separate affiliate under this section shall obtain and pay for a joint Federal/State audit every 2 years conducted by an independent auditor to determine
whether such company has complied with this section and the regulations promulgated under this section, and particularly whether such company has complied with the separate accounting
requirements under subsection (b). (2) RESULTS SUBMITTED TO COMMISSION; STATE COMMISSIONS.--The auditor described in paragraph (1) shall submit the results of the audit to the Commission
and to the State commission of each State in which the company audited provides service, which shall make such results available for public inspection. Any party may submit comments
on the final audit report. (3) ACCESS TO DOCUMENTS.--For purposes of conducting audits and reviews under this subsection--(A) the independent auditor, the Commission, and the State commission
shall have access to the financial accounts and records of each company and of its affiliates necessary to verify transactions conducted with that company that are relevant to the specific
activities permitted under this section and that are necessary for the regulation of rates; (B) the Commission and the State commission shall have access to the working papers and supporting
materials of any auditor who performs an audit under this section; and (C) the State commission shall implement appropriate procedures to ensure the protection of any proprietary information
submitted to it under this section. (e) FULFILLMENT OF CERTAIN REQUESTS.--A Bell operating company and an affiliate that is subject to the requirements of section 251(c)--(1) shall fulfill
any requests from an unaffiliated entity for telephone exchange service and exchange access within a period no longer than the period in which it provides such telephone exchange service
and exchange access to itself or to its affiliates; (2) shall not provide any facilities, services, or information concerning its provision of exchange access to the affiliate described
in subsection (a) unless such facilities, services, or information are made available to other providers of interLATA services in that market on the same terms and conditions; (3) shall
charge the affiliate described in subsection (a), or impute to itself (if using the access for its provision of its own services), an amount for access to its telephone exchange service
and exchange access that is no less than the amount charged to any unaffiliated interexchange carriers for such service; and
Communications Act of 1934 122 (4) may provide any interLATA or intraLATA facilities or services to its interLATA affiliate if such services or facilities are made available to all carriers
at the same rates and on the same terms and conditions, and so long as the costs are appropriately allocated. (f) SUNSET.--(1) MANUFACTURING AND LONG DISTANCE.--The provisions of this
section (other than subsection (e)) shall cease to apply with respect to the manufacturing activities or the interLATA telecommunications services of a Bell operating company 3 years
after the date such Bell operating company or any Bell operating company affiliate is authorized to provide interLATA telecommunications services under section 271(d), unless the Commission
extends such 3-year period by rule or order. (2) INTERLATA INFORMATION SERVICES.--The provisions of this section (other than subsection (e)) shall cease to apply with respect to the
interLATA information services of a Bell operating company 4 years after the date of enactment of the Telecommunications Act of 1996, unless the Commission extends such 4-year period
by rule or order. (3) PRESERVATION OF EXISTING AUTHORITY.--Nothing in this subsection shall be construed to limit the authority of the Commission under any other section of this Act
to prescribe safeguards consistent with the public interest, convenience, and necessity. (g) JOINT MARKETING.--(1) AFFILIATE SALES OF TELEPHONE EXCHANGE SERVICES.--A Bell operating company
affiliate required by this section may not market or sell telephone exchange services provided by the Bell operating company unless that company permits other entities offering the same
or similar service to market and sell its telephone exchange services. (2) BELL OPERATING COMPANY SALES OF AFFILIATE SERVICES.--A Bell operating company may not market or sell interLATA
service provided by an affiliate required by this section within any of its in-region States until such company is authorized to provide interLATA services in such State under section
271(d). (3) RULE OF CONSTRUCTION.--The joint marketing and sale of services permitted under this subsection shall not be considered to violate the nondiscrimination provisions of subsection
(c). (h) TRANSITION.--With respect to any activity in which a Bell operating company is engaged on the date of enactment of the Telecommunications Act of 1996, such company shall have
one year from such date of enactment to comply with the requirements of this section. SEC. 273. [47 U.S.C. 273] MANUFACTURING BY BELL OPERATING COMPANIES.
Communications Act of 1934 123 (a) AUTHORIZATION.--A Bell operating company may manufacture and provide telecommunications equipment, and manufacture customer premises equipment, if
the Commission authorizes that Bell operating company or any Bell operating company affiliate to provide interLATA services under section 271(d), subject to the requirements of this
section and the regulations prescribed thereunder, except that neither a Bell operating company nor any of its affiliates may engage in such manufacturing in conjunction with a Bell
operating company not so affiliated or any of its affiliates. (b) COLLABORATION; RESEARCH AND ROYALTY AGREEMENTS.--(1) COLLABORATION.--Subsection (a) shall not prohibit a Bell operating
company from engaging in close collaboration with any manufacturer of customer premises equipment or telecommunications equipment during the design and development of hardware, software,
or combinations thereof related to such equipment. (2) CERTAIN RESEARCH ARRANGEMENTS; ROYALTY AGREEMENTS.--Subsection (a) shall not prohibit a Bell operating company from--(A) engaging
in research activities related to manufacturing, and (B) entering into royalty agreements with manufacturers of telecommunications equipment. (c) INFORMATION REQUIREMENTS.--(1) INFORMATION
ON PROTOCOLS AND TECHNICAL REQUIREMENTS.--Each Bell operating company shall, in accordance with regulations prescribed by the Commission, maintain and file with the Commission full and
complete information with respect to the protocols and technical requirements for connection with and use of its telephone exchange service facilities. Each such company shall report
promptly to the Commission any material changes or planned changes to such protocols and requirements, and the schedule for implementation of such changes or planned changes. (2) DISCLOSURE
OF INFORMATION.--A Bell operating company shall not disclose any information required to be filed under paragraph (1) unless that information has been filed promptly, as required by
regulation by the Commission. (3) ACCESS BY COMPETITORS TO INFORMATION.--The Commission may prescribe such additional regulations under this subsection as may be necessary to ensure
that manufacturers have access to the information with respect to the protocols and technical requirements for connection with and use of telephone exchange service facilities that a
Bell operating company makes available to any manufacturing affiliate or any unaffiliated manufacturer. (4) PLANNING INFORMATION.--Each Bell operating company shall provide, to interconnecting
carriers providing telephone exchange service,
Communications Act of 1934 124 timely information on the planned deployment of telecommunications equipment. (d) MANUFACTURING LIMITATIONS FOR STANDARD-SETTING ORGANIZATIONS.--(1) APPLICATION
TO BELL COMMUNICATIONS RESEARCH OR MANUFACTURERS.--Bell Communications Research, Inc., or any successor entity or affiliate--(A) shall not be considered a Bell operating company or a
successor or assign of a Bell operating company at such time as it is no longer an affiliate of any Bell operating company; and (B) notwithstanding paragraph (3), shall not engage in
manufacturing telecommunications equipment or customer premises equipment as long as it is an affiliate of more than 1 otherwise unaffiliated Bell operating company or successor or assign
of any such company. Nothing in this subsection prohibits Bell Communications Research, Inc., or any successor entity, from engaging in any activity in which it is lawfully engaged on
the date of enactment of the Telecommunications Act of 1996. Nothing provided in this subsection shall render Bell Communications Research, Inc., or any successor entity, a common carrier
under title II of this Act. Nothing in this subsection restricts any manufacturer from engaging in any activity in which it is lawfully engaged on the date of enactment of the Telecommunications
Act of 1996. (2) PROPRIETARY INFORMATION.--Any entity which establishes standards for telecommunications equipment or customer premises equipment, or generic network requirements for
such equipment, or certifies telecommunications equipment or customer premises equipment, shall be prohibited from releasing or otherwise using any proprietary information, designated
as such by its owner, in its possession as a result of such activity, for any purpose other than purposes authorized in writing by the owner of such information, even after such entity
ceases to be so engaged. (3) MANUFACTURING SAFEGUARDS.--(A) Except as prohibited in paragraph (1), and subject to paragraph (6), any entity which certifies telecommunications equipment
or customer premises equipment manufactured by an unaffiliated entity shall only manufacture a particular class of telecommunications equipment or customer premises equipment for which
it is undertaking or has undertaken, during the previous 18 months, certification activity for such class of equipment through a separate affiliate. (B) Such separate affiliate shall--(i)
maintain books, records, and accounts separate from
Communications Act of 1934 125 those of the entity that certifies such equipment, consistent with generally acceptable accounting principles; (ii) not engage in any joint manufacturing
activities with such entity; and (iii) have segregated facilities and separate employees with such entity. (C) Such entity that certifies such equipment shall--(i) not discriminate in
favor of its manufacturing affiliate in the establishment of standards, generic requirements, or product certification; (ii) not disclose to the manufacturing affiliate any proprietary
information that has been received at any time from an unaffiliated manufacturer, unless authorized in writing by the owner of the information; and (iii) not permit any employee engaged
in product certification for telecommunications equipment or customer premises equipment to engage jointly in sales or marketing of any such equipment with the affiliated manufacturer.
(4) STANDARD-SETTING ENTITIES.--Any entity that is not an accredited standards development organization and that establishes industry-wide standards for telecommunications equipment
or customer premises equipment, or industry-wide generic network requirements for such equipment, or that certifies telecommunications equipment or customer premises equipment manufactured
by an unaffiliated entity, shall--(A) establish and publish any industry-wide standard for, industry-wide generic requirement for, or any substantial modification of an existing industry-wide
standard or industry-wide generic requirement for, telecommunications equipment or customer premises equipment only in compliance with the following procedure--(i) such entity shall
issue a public notice of its consideration of a proposed industry-wide standard or industry-wide generic requirement; (ii) such entity shall issue a public invitation to interested industry
parties to fund and participate in such efforts on a reasonable and nondiscriminatory basis, administered in such a manner as not to unreasonably exclude any interested industry party;
((iii) such entity shall publish a text for comment by such parties as have agreed to participate in the process pursuant to clause (ii), provide such parties a full opportunity to submit
comments, and respond to comments
Communications Act of 1934 126 from such parties; (iv) such entity shall publish a final text of the industry-wide standard or industry-wide generic requirement, including the comments
in their entirety, of any funding party which requests to have its comments so published; and (v) such entity shall attempt, prior to publishing a text for comment, to agree with the
funding parties as a group on a mutually satisfactory dispute resolution process which such parties shall utilize as their sole recourse in the event of a dispute on technical issues
as to which there is disagreement between any funding party and the entity conducting such activities, except that if no dispute resolution process is agreed to by all the parties, a
funding party may utilize the dispute resolution procedures established pursuant to paragraph (5) of this subsection; (B) engage in product certification for telecommunications equipment
or customer premises equipment manufactured by unaffiliated entities only if--(i) such activity is performed pursuant to published criteria;(ii) such activity is performed pursuant to
auditable criteria; and (iii) such activity is performed pursuant to available industry-accepted testing methods and standards, where applicable, unless otherwise agreed upon by the
parties funding and performing such activity; (C) not undertake any actions to monopolize or attempt to monopolize the market for such services; and (D) not preferentially treat its
own telecommunications equipment or customer premises equipment, or that of its affiliate, over that of any other entity in establishing and publishing industrywide standards or industry-wide
generic requirements for, and in certification of, telecommunications equipment and customer premises equipment. (5) ALTERNATE DISPUTE RESOLUTION.--Within 90 days after the date of enactment
of the Telecommunications Act of 1996, the Commission shall prescribe a dispute resolution process to be utilized in the event that a dispute resolution process is not agreed upon by
all the parties when establishing and publishing any industry-wide standard or industrywide generic requirement for telecommunications equipment or customer premises equipment, pursuant
to paragraph (4)(A)(v). The Commission
Communications Act of 1934 127 shall not establish itself as a party to the dispute resolution process. Such dispute resolution process shall permit any funding party to resolve a dispute
with the entity conducting the activity that significantly affects such funding party's interests, in an open, nondiscriminatory, and unbiased fashion, within 30 days after the filing
of such dispute. Such disputes may be filed within 15 days after the date the funding party receives a response to its comments from the entity conducting the activity. The Commission
shall establish penalties to be assessed for delays caused by referral of frivolous disputes to the dispute resolution process. (6) SUNSET.--The requirements of paragraphs (3) and (4)
shall terminate for the particular relevant activity when the Commission determines that there are alternative sources of industry-wide standards, industry-wide generic requirements,
or product certification for a particular class of telecommunications equipment or customer premises equipment available in the United States. Alternative sources shall be deemed to
exist when such sources provide commercially viable alternatives that are providing such services to customers. The Commission shall act on any application for such a determination within
90 days after receipt of such application, and shall receive public comment on such application. (7) ADMINISTRATION AND ENFORCEMENT AUTHORITY.--For the purposes of administering this
subsection and the regulations prescribed thereunder, the Commission shall have the same remedial authority as the Commission has in administering and enforcing the provisions of this
title with respect to any common carrier subject to this Act. (8) DEFINITIONS.--For purposes of this subsection: (A) The term ''affiliate'' shall have the same meaning as in section
3 of this Act, except that, for purposes of paragraph (1)(B)--(i) an aggregate voting equity interest in Bell Communications Research, Inc., of at least 5 percent of its total voting
equity, owned directly or indirectly by more than 1 otherwise unaffiliated Bell operating company, shall constitute an affiliate relationship; and (ii) a voting equity interest in Bell
Communications Research, Inc., by any otherwise unaffiliated Bell operating company of less than 1 percent of Bell Communications Research's total voting equity shall not be considered
to be an equity interest under this paragraph. (B) The term ''generic requirement'' means a description of acceptable product attributes for use by local exchange carriers in establishing
product specifications for the purchase of telecommunications equipment, customer premises equipment, and
Communications Act of 1934 128 software integral thereto. (C) The term ''industry-wide'' means activities funded by or performed on behalf of local exchange carriers for use in providing
wireline telephone exchange service whose combined total of deployed access lines in the United States constitutes at least 30 percent of all access lines deployed by telecommunications
carriers in the United States as of the date of enactment of the Telecommunications Act of 1996. (D) The term ''certification'' means any technical process whereby a party determines
whether a product, for use by more than one local exchange carrier, conforms with the specified requirements pertaining to such product. (E) The term ''accredited standards development
organization'' means an entity composed of industry members which has been accredited by an institution vested with the responsibility for standards accreditation by the industry. (e)
BELL OPERATING COMPANY EQUIPMENT PROCUREMENT AND SALES.--(1) NONDISCRIMINATION STANDARDS FOR MANUFACTURING.--In the procurement or awarding of supply contracts for telecommunications
equipment, a Bell operating company, or any entity acting on its behalf, for the duration of the requirement for a separate subsidiary including manufacturing under this Act--(A) shall
consider such equipment, produced or supplied by unrelated persons; and (B) may not discriminate in favor of equipment produced or supplied by an affiliate or related person. (2) PROCUREMENT
STANDARDS.--Each Bell operating company or any entity acting on its behalf shall make procurement decisions and award all supply contracts for equipment, services, and software on the
basis of an objective assessment of price, quality, delivery, and other commercial factors.(3) NETWORK PLANNING AND DESIGN.--A Bell operating company shall, to the extent consistent
with the antitrust laws, engage in joint network planning and design with local exchange carriers operating in the same area of interest. No participant in such planning shall be allowed
to delay delay the introduction of new technology or the deployment of facilities to provide telecommunications services, and agreement with such other carriers shall not be required
as a prerequisite for such introduction or deployment. (4) SALES RESTRICTIONS.--Neither a Bell operating company engaged in manufacturing nor a manufacturing affiliate of such a company
shall restrict sales to any local exchange carrier of telecommunications
Communications Act of 1934 129 equipment, including software integral to the operation of such equipment and related upgrades. (5) PROTECTION OF PROPRIETARY INFORMATION.--A Bell operating
company and any entity it owns or otherwise controls shall protect the proprietary information submitted for procurement decisions from release not specifically authorized by the owner
of such information. (f) ADMINISTRATION AND ENFORCEMENT AUTHORITY.--For the purposes of administering and enforcing the provisions of this section and the regulations prescribed thereunder,
the Commission shall have the same authority, power, and functions with respect to any Bell operating company or any affiliate thereof as the Commission has in administering and enforcing
the provisions of this title with respect to any common carrier subject to this Act. (g) ADDITIONAL RULES AND REGULATIONS.--The Commission may prescribe such additional rules and regulations
as the Commission determines are necessary to carry out the provisions of this section, and otherwise to prevent discrimination and cross-subsidization in a Bell operating company's
dealings with its affiliate and with third parties. (h) DEFINITION.--As used in this section, the term ''manufacturing'' has the same meaning as such term has under the AT&T Consent
Decree. SEC. 274. [47 U.S.C. 274] ELECTRONIC PUBLISHING BY BELL OPERATING COMPANIES. (a) LIMITATIONS.--No Bell operating company or any affiliate may engage in the provision of electronic
publishing that is disseminated by means of such Bell operating company's or any of its affiliates' basic telephone service, except that nothing in this section shall prohibit a separated
affiliate or electronic publishing joint venture operated in accordance with this section from engaging in the provision of electronic publishing. (b) SEPARATED AFFILIATE OR ELECTRONIC
PUBLISHING JOINT VENTURE REQUIREMENTS.--A separated affiliate or electronic publishing joint venture shall be operated independently from the Bell operating company. Such separated affiliate
or joint venture and the Bell operating company with which it is affiliated shall--(1) maintain separate books, records, and accounts and prepare separate financial statements; (2) not
incur debt in a manner that would permit a creditor of the separated affiliate or joint venture upon default to have recourse to the assets of the Bell operating company; (3) carry out
transactions (A) in a manner consistent with such independence, (B) pursuant to written contracts or tariffs that are filed with the Commission and made publicly available, and (C) in
a manner that is auditable in accordance with generally accepted auditing standards;
Communications Act of 1934 130 (4) value any assets that are transferred directly or indirectly from the Bell operating company to a separated affiliate or joint venture, and record
any transactions by which such assets are transferred, in accordance with such regulations as may be prescribed by the Commission or a State commission to prevent improper cross subsidies;
(5) between a separated affiliate and a Bell operating company--(A) have no officers, directors, and employees in common after the effective date of this section; and (B) own no property
in common; (6) not use for the marketing of any product or service of the separated affiliate or joint venture, the name, trademarks, or service marks of an existing Bell operating company
except for names, trademarks, or service marks that are owned by the entity that owns or controls the Bell operating company; (7) not permit the Bell operating company--(A) to perform
hiring or training of personnel on behalf of a separated affiliate; (B) to perform the purchasing, installation, or maintenance of equipment on behalf of a separated affiliate, except
for telephone service that it provides under tariff or contract subject to the provisions of this section; or (C) to perform research and development on behalf of a separated affiliate;
(8) each have performed annually a compliance review--(A) that is conducted by an independent entity for the purpose of determining compliance during the preceding calendar year with
any provision of this section; and (B) the results of which are maintained by the separated affiliate or joint venture and the Bell operating company for a period of 5 years subject
to review by any lawful authority; and (9) within 90 days of receiving a review described in paragraph (8), file a report of any exceptions and corrective action with the Commission
and allow any person to inspect and copy such report subject to reasonable safeguards to protect any proprietary information contained in such report from being used for purposes other
than to enforce or pursue remedies under this section. (c) JOINT MARKETING.--(1) IN GENERAL.--Except as provided in paragraph (2)--(A) a Bell operating company shall not carry out any
promotion, marketing, sales, or advertising for or in conjunction with a separated affiliate; and (B) a Bell operating company shall not carry out any
Communications Act of 1934 131 promotion, marketing, sales, or advertising for or in conjunction with an affiliate that is related to the provision of electronic publishing. (2) PERMISSIBLE
JOINT ACTIVITIES.--(A) JOINT TELEMARKETING.--A Bell operating company may provide inbound telemarketing or referral services related to the provision of electronic publishing for a separated
affiliate, electronic publishing joint venture, affiliate, or unaffiliated electronic publisher: Provided, That if such services are provided to a separated affiliate, electronic publishing
joint venture, or affiliate, such services shall be made available to all electronic publishers on request, on nondiscriminatory terms. (B) TEAMING ARRANGEMENTS.--A Bell operating company
may engage in nondiscriminatory teaming or business arrangements to engage in electronic publishing with any separated affiliate or with any other electronic publisher if (i) the Bell
operating company only provides facilities, services, and basic telephone service information as authorized by this section, and (ii) the Bell operating company does not own such teaming
or business arrangement. (C) ELECTRONIC PUBLISHING JOINT VENTURES.--A Bell operating company or affiliate may participate on a nonexclusive basis in electronic publishing joint ventures
with entities that are not a Bell operating company, affiliate, or separated affiliate to provide electronic publishing services, if the Bell operating company or affiliate has not more
than a 50 percent direct or indirect equity interest (or the equivalent thereof) or the right to more than 50 percent of the gross revenues under a revenue sharing or royalty agreement
in any electronic publishing joint venture. Officers and employees of a Bell operating company or affiliate participating in an electronic publishing joint venture may not have more
than 50 percent of the voting control over the electronic publishing joint venture. In the case of joint ventures with small, local electronic publishers, the Commission for good cause
shown may authorize the Bell operating company or affiliate to have a larger equity interest, revenue share, or voting control but not to exceed 80 percent. A Bell operating company
participating in an electronic publishing joint venture may provide promotion, marketing, sales, or advertising personnel and services to such joint venture. (d) BELL OPERATING COMPANY
REQUIREMENT.--A Bell operating company under common ownership or control with a separated affiliate or electronic publishing joint venture shall provide network access and interconnections
for basic telephone service to electronic publishers at just and
Communications Act of 1934 132 reasonable rates that are tariffed (so long as rates for such services are subject to regulation) and that are not higher on a per-unit basis than those
charged for such services to any other electronic publisher or any separated affiliate engaged in electronic publishing. (e) PRIVATE RIGHT OF ACTION.--(1) DAMAGES.--Any person claiming
that any act or practice of any Bell operating company, affiliate, or separated affiliate constitutes a violation of this section may file a complaint with the Commission or bring suit
as provided in section 207 of this Act, and such Bell operating company, affiliate, or separated affiliate shall be liable as provided in section 206 of this Act; except that damages
may not be awarded for a violation that is discovered by a compliance review as required by subsection (b)(7) of this section and corrected within 90 days. (2) CEASE AND DESIST ORDERS.--In
addition to the provisions of paragraph (1), any person claiming that any act or practice of any any Bell operating company, affiliate, or separated affiliate constitutes a violation
of this section may make application to the Commission for an order to cease and desist such violation or may make application in any district court of the United States of competent
jurisdiction for an order enjoining such acts or practices or for an order compelling compliance with such requirement. (f) SEPARATED AFFILIATE REPORTING REQUIREMENT.--Any separated
affiliate under this section shall file with the Commission annual reports in a form substantially equivalent to the Form 10-K required by regulations of the Securities and Exchange
Commission. (g) EFFECTIVE DATES.--(1) TRANSITION.--Any electronic publishing service being offered to the public by a Bell operating company or affiliate on the date of enactment of
the Telecommunications Act of 1996 shall have one year from such date of enactment to comply with the requirements of this section. (2) SUNSET.--The provisions of this section shall
not apply to conduct occurring after 4 years after the date of enactment of the Telecommunications Act of 1996. (h) DEFINITION OF ELECTRONIC PUBLISHING.--(1) IN GENERAL.--The term ''electronic
publishing'' means the dissemination, provision, publication, or sale to an unaffiliated entity or person, of any one or more of the following: news (including sports); entertainment
(other than interactive games); business, financial, legal, consumer, or credit materials; editorials, columns, or features; advertising; photos or images; archival or research material;
legal notices or public records; scientific, educational, instructional, technical, professional, trade, or other literary materials; or other like or similar information. (2) EXCEPTIONS.--The
term ''electronic publishing'' shall not include
Communications Act of 1934 133 the following services: (A) Information access, as that term defined by the AT&T Consent Decree. (B) The transmission of information as a common carrier.
(C) The transmission of information as part of a gateway to an information service that does not involve the generation or alteration of the content of information, including data transmission,
address translation, protocol conversion, billing management, introductory information content, and navigational systems that enable users to access electronic publishing services, which
do not affect the presentation of such electronic publishing services to users. (D) Voice storage and retrieval services, including voice messaging and electronic mail services. (E)
Data processing or transaction processing services that do not involve the generation or alteration of the content of information. (F) Electronic billing or advertising of a Bell operating
company's regulated telecommunications services. (G) Language translation or data format conversion. (H) The provision of information necessary for the management, control, or operation
of a telephone company telecommunications system. (I) The provision of directory assistance that provides names, addresses, and telephone numbers and does not include advertising. (J)
Caller identification services. (K) Repair and provisioning databases and credit card and billing validation for telephone company operations. (L) 911-E and other emergency assistance
databases. (M) Any other network service of a type that is like or similar to these network services and that does not involve the generation or alteration of the content of information.
(N) Any upgrades to these network services that do not involve the generation or alteration of the content of information. (O) Video programming or full motion video entertainment on
demand. (i) ADDITIONAL DEFINITIONS.--As used in this section--(1) The term ''affiliate'' means any entity that, directly or indirectly, owns or controls, is owned or controlled by, or
is under common ownership or control with, a Bell operating company. Such term shall not include a separated affiliate.
Communications Act of 1934 134 (2) The term ''basic telephone service'' means any wireline telephone exchange service, or wireline telephone exchange service facility, provided by a
Bell operating company in a telephone exchange area, except that such term does not include--(A) a competitive wireline telephone exchange service provided in a telephone exchange area
where another entity provides a wireline telephone exchange service that was provided on January 1, 1984, or (B) a commercial mobile service. (3) The term ''basic telephone service information''
means network and customer information of a Bell operating company and other information acquired by a Bell operating company as a result of its engaging in the provision of basic telephone
service. (4) The term ''control'' has the meaning that it has in 17 C.F.R. 240.12b-2, the regulations promulgated by the Securities and Exchange Commission pursuant to the Securities
Exchange Act of 1934 (15 U.S.C. 78a et seq.) or any successor provision to such section. (5) The term ''electronic publishing joint venture'' means a joint venture owned by a Bell operating
company or affiliate that engages in the provision of electronic publishing which is disseminated by means of such Bell operating company's or any of its affiliates' basic telephone
service. (6) The term ''entity'' means any organization, and includes corporations, partnerships, sole proprietorships, associations, and joint ventures. (7) The term ''inbound telemarketing''
means the marketing of property, goods, or services by telephone to a customer or potential customer who initiated the call. (8) The term ''own'' with respect to an entity means to have
a direct or indirect equity interest (or the equivalent thereof) of more than 10 percent of an entity, or the right to more than 10 percent of the gross revenues of an entity under a
revenue sharing or royalty agreement. (9) The term ''separated affiliate'' means a corporation under common ownership or control with a Bell operating company that does not own own or
control a Bell operating company and is not owned or controlled by a Bell operating company and that engages in the provision of electronic publishing which is disseminated by means
of such Bell operating company's or any of its affiliates' basic telephone service. (10) The term ''Bell operating company'' has the meaning provided in section 3, except that such term
includes any entity or corporation that is owned or controlled by such a company (as so defined) but does not include an electronic publishing joint venture owned by such an entity or
corporation.
Communications Act of 1934 135 SEC. 275. [47 U.S.C. 275] ALARM MONITORING SERVICES. (a) DELAYED ENTRY INTO ALARM MONITORING.--(1) PROHIBITION.--No Bell operating company or affiliate
thereof shall engage in the provision of alarm monitoring services before the date which is 5 years after the date of enactment of the Telecommunications Act of 1996.(2) EXISTING ACTIVITIES.--Paragra
ph (1) does not prohibit or limit the provision, directly or through an affiliate, of alarm monitoring services by a Bell operating company that was engaged in providing alarm monitoring
services as of November 30, 1995, directly or through an affiliate. Such Bell operating company or affiliate may not acquire any equity interest in, or obtain financial control of, any
unaffiliated alarm monitoring service entity after November 30, 1995, and until 5 years after the date of enactment of the Telecommunications Act of 1996, except that this sentence shall
not prohibit an exchange of customers for the customers of an unaffiliated alarm monitoring service entity. (b) NONDISCRIMINATION.--An incumbent local exchange carrier (as defined in
section 251(h)) engaged in the provision of alarm monitoring services shall--(1) provide nonaffiliated entities, upon reasonable request, with the network services it provides to its
own alarm monitoring operations, on nondiscriminatory terms and conditions; and (2) not subsidize its alarm
monitoring services either directly or indirectly from telephone exchange service operations. (c) EXPEDITED CONSIDERATION OF COMPLAINTS.--The Commission shall establish procedures for
the receipt and review of complaints concerning violations of subsection (b) or the regulations thereunder that result in material financial harm to a provider of alarm monitoring service.
Such procedures shall ensure that the Commission will make a final determination with respect to any such complaint within 120 days after receipt of the complaint. If the complaint contains
an appropriate showing that the alleged violation occurred, as determined by the Commission in accordance with such regulations, the Commission shall, within 60 days after receipt of
the complaint, order the incumbent local exchange carrier (as defined in section 251(h)) and its affiliates to cease engaging in such violation pending such final determination. (d)
USE OF DATA.--A local exchange carrier may not record or use in any fashion the occurrence or contents of calls received by providers of alarm monitoring services for the purposes of
marketing such services on behalf of such local exchange carrier, or any other entity. Any regulations necessary to enforce this subsection shall be issued initially within 6 months
after the date of enactment of the Telecommunications Act of 1996. (e) DEFINITION OF ALARM MONITORING SERVICE.--The term ''alarm monitoring service'' means a service that uses a device
located at a residence, place
Communications Act of 1934 136 of business, or other fixed premises--(1) to receive signals from other devices located at or about such premises regarding a possible threat at such premises
to life, safety, or property, from burglary, fire, vandalism, bodily injury, or other emergency, and (2) to transmit a signal regarding such threat by means of transmission facilities
of a local exchange carrier or one of its affiliates to a remote monitoring center to alert a person at such center of the need to inform the customer or another person or police, fire,
rescue, security, or public safety personnel of such threat, but does not include a service that uses a medical monitoring device attached to an individual for the automatic surveillance
of an ongoing medical condition. SEC. 276. [47 U.S.C. 276] PROVISION OF PAYPHONE SERVICE. (a) NONDISCRIMINATION SAFEGUARDS.--After the effective date of the rules prescribed pursuant
to subsection (b), any Bell operating company that provides payphone service--(1) shall not subsidize its payphone service directly or indirectly from its telephone exchange service
operations or its exchange access operations; and (2) shall not prefer or discriminate in favor of its payphone service. (b) REGULATIONS.--(1) CONTENTS OF REGULATIONS.--In order to promote
competition among payphone service providers and promote the widespread deployment of payphone services to the benefit of the general public, within 9 months after the date of enactment
of the Telecommunications Act of 1996, the Commission shall take all actions necessary (including any reconsideration) to prescribe regulations that--(A) establish a per call compensation
plan to ensure that all payphone service providers are fairly compensated for each and every completed intrastate and interstate call using their payphone, except that emergency calls
and telecommunications relay service calls for hearing disabled individuals shall not be subject to such compensation; (B) discontinue the intrastate and interstate carrier access charge
charge payphone service elements and payments in effect on such date of enactment, and all intrastate and interstate payphone subsidies from basic exchange and exchange access revenues,
in favor of a compensation plan as specified in subparagraph (A); (C) prescribe a set of nonstructural safeguards for Bell operating company payphone service to implement the provisions
Communications Act of 1934 137 of paragraphs (1) and (2) of subsection (a), which safeguards shall, at a minimum, include the nonstructural safeguards equal to those adopted in the Computer
Inquiry-III (CC Docket No. 90-623) proceeding; (D) provide for Bell operating company payphone service providers to have the same right that independent payphone providers have to negotiate
with the location provider on the location provider's selecting and contracting with, and, subject to the terms of any agreement with the location provider, to select and contract with,
the carriers that carry interLATA calls from their payphones, unless the Commission determines in the rulemaking pursuant to this section that it is not in the public interest; and (E)
provide for all payphone service providers to have the right to negotiate with the location provider on the location provider's selecting and contracting with, and, subject to the terms
of any agreement with the location provider, to select and contract with, the carriers that carry intraLATA calls from their payphones. (2) PUBLIC INTEREST TELEPHONES.--In the rulemaking
conducted pursuant to paragraph (1), the Commission shall determine whether public interest payphones, which are provided in the interest of public health, safety, and welfare, in locations
where there would otherwise not be a payphone, should be maintained, and if so, ensure that such public interest payphones are supported fairly and equitably. (3) EXISTING CONTRACTS.--Nothing
in this section shall affect any existing contracts between location providers and payphone service providers or interLATA or intraLATA carriers that are in force and effect as of the
date of enactment of the Telecommunications Act of 1996. (c) STATE PREEMPTION.--To the extent that any State requirements are inconsistent with the Commission's regulations, the Commission's
regulations on such matters shall preempt such State requirements. (d) DEFINITION.--As used in this section, the term ''payphone service'' means the provision of public or semi-public
pay telephones, the provision of inmate telephone service in correctional institutions, and any ancillary services. TITLE III--PROVISIONS RELATING TO RADIO PART I--GENERAL PROVISIONS
SEC. 301. [47 U.S.C. 301] LICENSE FOR RADIO COMMUNICATION OR TRANSMISSION OF ENERGY
Communications Act of 1934 138 It is the purpose of this Act, among other things, to maintain the control of the United States over all the channels of radio transmission; and to provide
for the use of such channels, but not the ownership thereof, by persons for limited periods of time, under licenses granted by Federal authority, and no such license shall be construed
to create any right, beyond the terms, conditions, and periods of the license. No person shall use or operate any apparatus for the transmission of energy or communications or signals
by radio (a) from one place in any State, Territory, or possession of the United States or in the District of Columbia to another place in the same State, Territory, possession, or District;
or (b) from any State, Territory, or possession of the United States, or from the District of Columbia to any other State, Territory, or possession of the United States; or (c) from
any place in any State, Territory, or possession of the United States, or in the District of Columbia, to any place in any foreign country or to any vessel; or (d) within any State when
the effects of such use extend beyond the borders of said State, or when interference is caused by such use or operation with the transmission of such energy, communications, or signals
from within said State to any place beyond its borders, or from any place beyond its borders to any place within said State, or with the transmission or reception of such energy, communications,
or signals from and/or to places beyond the borders of said State; or (e) upon any vessel or aircraft of the United States (except as provided in section 303(t)); or (f) upon any other
mobile stations within the jurisdiction of the United States, except under and in accordance with this Act and with a license in that behalf granted under the provisions of this Act.
SEC. 302. [47 U.S.C. 302] DEVICES WHICH INTERFERE WITH RADIO RECEPTION. (a) The Commission may, consistent with the public interest, convenience, and necessity, make reasonable regulations
(1) governing the interference potential of devices which in their operation are capable of emitting radio frequency energy by radiation, conduction, or other means in sufficient degree
to cause harmful interference to radio communications; and (2) establishing minimum performance standards for home electronic equipment and systems to reduce their susceptibility to
interference from radio frequency energy. Such regulations shall be applicable to the manufacture, import, sale, offer for sale, or shipment of such devices and home electronic equipment
and systems, and to the use of such devices. (b) No person shall manufacture, import, sell, offer for sale, or ship devices or home electronic equipment and systems, or use devices,
which fail to comply with regulations promulgated pursuant to this section. (c) The provisions of this section shall not be applicable to carriers transporting such devices or home electronic
equipment and systems without trading in them, to devices or home electronic equipment equipment and systems manufactured solely for export, to the equipment manufacturer, assembly,
or
Communications Act of 1934 139 installation of devices or home electronic and systems for its own use by a public utility engaged in providing electric service, or to devices or home
electronic equipment and systems for use by the Government of the United States or any agency thereof. Devices and home electronic equipment and systems for use by the Government of
the United States or any agency thereof shall be developed, procured, or otherwise acquired, including offshore procurement, under United States Government criteria, standards, or specifications
designed to achieve the objectives of reducing interference to radio reception and to home electronic equipment and systems, taking into account the unique needs of national defense
and security. (d)(1) Within 180 days after the date of enactment of this subsection, the Commission shall prescribe and make effective regulations denying equipment authorization (under
part 15 of title 47, Code of Federal Regulations, or any other part of that title) for any scanning receiver that is capable of--(A) receiving transmissions in the frequencies allocated
to the domestic cellular radio telecommunications service, (B) readily being altered by the user to receive transmissions in such frequencies, or (C) being equipped with decoders that
convert digital cellular transmissions to analog voice audio. (2) Beginning 1 year after the effective date of the regulations adopted pursuant to paragraph (1), no receiver having the
capabilities described in subparagraph (A), (B), or (C) of paragraph (1), as such capabilities are defined in such regulations, shall be manufactured in the United States or imported
for use in the United States. (e) The Commission may--(1) authorize the use of private organizations for testing and certifying the compliance of devices or home electronic equipment
and systems with regulations promulgated under this section; (2) accept as prima facie evidence of such compliance the certification by any such organization; and (3) establish such
qualifications qualifications and standards as it deems appropriate for such private organizations, testing, and certification. SEC. 303. [47 U.S.C. 303] GENERAL POWERS OF COMMISSION.
Except as otherwise provided in this Act, the Commission from time to time, as public convenience, interest, or necessity requires shall--(a) Classify radio stations; (b) Prescribe the
nature of the service to be rendered by each class of licensed stations and each station within any class; (c) Assign bands of frequencies to the various classes of stations, and assign
frequencies for each individual station and determine the power which each station shall use and the
Communications Act of 1934 140 time during which it may operate; (d) Determine the location of classes of stations or individual stations; (e) Regulate the kind of apparatus to be used
with respect to its external effects and the purity and sharpness of the emissions from each station and from the apparatus therein; (f) Make such regulations not inconsistent with law
as it may deem necessary to prevent interference between stations and to carry out the provisions of this Act: Provided, however, that changes in the frequencies, authorized power, or
in the times of operation of any station, shall not be made without the consent of the station licensee unless the Commission shall determine that such changes will promote public convenience
or interest or will serve public necessity, or the provisions of this Act will be more fully complied with; (g) Study new uses for radio, provide for experimental uses of frequencies,
and generally encourage the larger and more effective use of radio in the public interest;(h) Have authority to establish areas or zones to be served by any station; (i) Have authority
to make special regulations applicable to radio stations engaged in chain broadcasting; (j) Have authority to make general rules and regulations requiring stations to keep such records
of programs, transmissions of energy, communications or signals as it may deem desirable; (k) Have authority to exclude from the requirements of any regulations in whole or in part any
radio station upon railroad rolling stock, or to modify such regulations in its discretion; (l)(1) Have the authority to prescribe the qualifications of station operators, to classify
them according to the duties to be performed, to fix the forms of such licenses, and to issue them to persons who are found to be qualified by the Commission and who otherwise are legally
eligible for employment in the United States, except that such requirement relating to eligibility for employment in the United States shall not apply in the case of licenses issued
by the the Commission to (A) persons holding United States pilot certificates; or (B) persons holding foreign aircraft pilot certificates which are valid in the United States, if the
foreign government involved has entered into a reciprocal agreement under which such foreign government does not impose any similar requirement relating to eligibility for employment
upon citizens of the United States; (2) Notwithstanding paragraph (1) of this subsection, an individual to whom a radio station is licensed under the provisions of this Act may be issued
an operator's license to operate that station. (3) In addition to amateur operator licenses which the Commission may issue to aliens pursuant to paragraph (2) of this subsection, and
notwithstanding section 301 of this Act and paragraph (1) of this subsection, the Commission may issue authorizations, under such conditions and terms as it may prescribe, to permit
Communications Act of 1934 141 an alien licensed by his government as an amateur radio operator to operate his amateur radio station licensed by his government in the United States,
its possessions, and the Commonwealth of Puerto Rico provided there is in effect a multilateral or bilateral agreement, to which the United States and the alien's government are parties,
for such operation on a reciprocal basis by United States amateur radio operators. Other provisions of this Act and of the Administrative Procedure Act shall not be applicable to any
request or application for or modification, suspension or cancellation of any such authorization. (m)(1) Have authority to suspend the license of any operator upon proof sufficient to
satisfy the Commission that the licensee--(a) Has violated, or caused, aided, or abetted the violation of, any provision of any Act, treaty, or convention binding on the United States,
which the Commission is authorized to administer, or any regulation made by the Commission under any such Act, treaty, or convention; or (B) Has failed to carry out a lawful order of
the master or person lawfully in charge of the ship or aircraft on which he is employed; or (C) Has willfully damaged or permitted radio apparatus or installations to be damaged; or
(D) Has transmitted superfluous radio communications or signals or communications containing profane or obscene words, language, or meaning, or has knowingly transmitted--(1) False or
deceptive signals or communications; or (2) A call signal or letter which has not been assigned by proper authority to the station he is operating; or (E) Has willfully or maliciously
interfered with any other radio communications or signals; or (F) Has obtained or attempted to obtain, or has assisted another to obtain or attempt to obtain, an operator's license by
fraudulent means. (2) No order of suspension of any operator's license shall take effect until fifteen days' notice in writing thereof, stating the cause for the proposed suspension,
has been given to the operator licensee who may make written application to the Commission at any time within said fifteen days for hearing upon such order. The notice to the operator
licensee shall not be effective until actually received by him, and from that time he shall have fifteen days in which to mail the said application. In the event that physical conditions
prevent mailing of the application at the expiration of the fifteen-day period, the application shall then be mailed as soon as possible thereafter, accompanied by a satisfactory explanation
of the delay. Upon receipt by the Commission of such application for hearing, said order of suspension shall be held in abeyance until the conclusion of the hearing which shall be conducted
under such rules as the Commission may prescribe. Upon the conclusion of said hearing the Commission may affirm, modify, or revoke said order of suspension.
Communications Act of 1934 142 (n) Have authority to inspect all radio installations associated with stations required to be licensed by any Act, or which the Commission by rule has
authorized to operate without a license under section 307(e)(1), or which are subject to the provisions of any Act, treaty, or convention binding on the United States, to ascertain whether
in construction, installation, and operation they conform to the requirements of the rules and regulations of the Commission, the provisions of any Act, the terms of any treaty or convention
binding on the United States and the conditions of the license or other instrument of authorization under which they are constructed, installed, or operated. (o) Have authority to designate
call letters of all stations; (p) Have authority to cause to be published such call letters and such other announcements and data as in the judgment of the Commission may be required
for the efficient operation of radio stations subject the jurisdiction of the United States and for the proper enforcement of this Act; (q) Have authority to require the painting and/or
illumination of radio towers if and when in its judgment such towers constitute, or there is a reasonable possibility that they may constitute, a menace to air navigation. The permittee
or licensee, and the tower owner in any case in which the owner is not the permittee or licensee, shall maintain the painting and/or illumination of the tower as prescribed by the Commission
pursuant to this section. In the event that the tower ceases to be licensed by the Commission for the transmission of radio energy, the owner of the tower shall maintain the prescribed
painting and/or illumination of such tower until it is dismantled, and the Commission may require the owner to dismantle and remove the tower when the administrator of the Federal Aviation
Agency determines that there is a reasonable possibility that it may constitute a menace to air navigation. (r) Make such rules and regulations and prescribe such restrictions and conditions,
not inconsistent with law, as may be necessary to carry out the provisions of this Act, or any international radio or wire communications treaty or convention, or regulations annexed
thereto, including any treaty or convention insofar as it relates to the use of radio, to which the United States is or may hereafter become a party. (s) Have authority to require that
apparatus designed to receive television pictures broadcast simultaneously with sound be capable of adequately receiving all frequencies allocated by the Commission to television broadcasting
when such apparatus is shipped in interstate commerce, or is imported from any foreign country into the United States, for sale or resale to the public. (t) Notwithstanding the provisions
of section 301(e), have authority, in any case in which an aircraft registered in the United States is operated (pursuant to a lease, charter, or similar arrangement) by an aircraft
operator who is subject to regulation by the government of a foreign nation, to enter into an agreement with such government under which the Commission shall recognize and accept any
Communications Act of 1934 143 radio station licenses and radio operator licenses issued by such government with respect to such aircraft. (u) Require that apparatus designed to receive
television pictures broadcast simultaneously with sound be equipped with built-in decoder circuitry designed to display closed-captioned television transmissions when such apparatus
is manufactured in the United States or imported for use in the United States, and its television picture screen is 13 inches or greater in size. (v) Have exclusive jurisdiction to regulate
the provision of direct-to-home satellite services. As used in this subsection, the term ''direct-to-home satellite services'' means the distribution or broadcasting of programming or
services by satellite directly to the subscriber's premises without the use of ground receiving or distribution equipment, except at the subscriber's premises or in the uplink process
to the satellite. (w) Prescribe--(1) on the basis of recommendations from an advisory committee established by the Commission in accordance with section 551(b)(2) of the Telecommunications
Act of 1996, guidelines and recommended procedures for the identification and rating of video programming that contains sexual, violent, or other indecent material about which parents
should be informed before it is displayed to children: Provided, That nothing in this paragraph shall be construed to authorize any rating of video programming on the basis of its political
or religious content; and (2) with respect to any video programming that has been rated, and in consultation with the television industry, rules requiring distributors of such video
programming to transmit such rating to permit parents to block the display of video programming that they have determined is inappropriate for their children. (x) Require, in the case
of an apparatus designed to receive television signals that are shipped in interstate commerce or manufactured in the United States and that have a picture screen 13 inches or greater
in size (measured diagonally), that such apparatus be equipped with a feature designed to enable viewers to block display of all programs with a common rating, except as otherwise permitted
by regulations pursuant to section 330(c)(4). SEC. 304. [47 U.S.C. 304] WAIVER BY LICENSEE. No station license shall be granted by the Commission until the applicant therefore shall
have waived any claim to the use of any particular frequency or of the electromagnetic spectrum as against the regulatory power of the United States because of the previous use of the
same, whether by license or otherwise. SEC. 305. [47 U.S.C. 305] GOVERNMENT-OWNED STATIONS. (a) Radio stations belonging to and operated by the United States shall not
Communications Act of 1934 144 be subject to the provisions of sections 301 and 303 of this Act. All such Government stations shall use such frequencies as shall be assigned to each
or to each class by the President. All such stations, except stations on board naval and other Government vessels while at sea or beyond the limits of the continental United States,
when transmitting any radio communication or signal other than a communication or signal relating to Government business, shall conform to such rules and regulations designed to prevent
interference with other radio stations and the rights of others as the Commission may prescribe. (b) All stations owned and operated by the United States, except mobile stations of the
Army of the United States, and all other stations on land and sea, shall have special call letters designated by the Commission. (c) The provisions of sections 301 and 303 of this Act
notwithstanding, the President may, provided he determines it to be consistent with and in the interest interest of national security, authorize a foreign government, under such terms
and conditions as he may prescribe, to construct and operate at the seat of government of the United States a low-power radio station in the fixed service at or near the site of the
embassy or legation of such foreign government for transmission of its messages to points outside the United States, but only (1) where he determines that the authorization would be
consistent with the national interest of the United States and (2) where such foreign government has provided reciprocal privileges to the United States to construct and operate radio
stations within territories subject to its jurisdiction. Foreign government stations authorized pursuant to the provisions of this subsection shall conform to such rules and regulations
as the President may prescribe. The authorization of such stations, and the renewal, modification, suspension, revocation, or other termination of such authority shall be in accordance
with such procedures as as may be established by the President and shall not be subject to the other provisions of this Act or of the Administrative Procedure Act. SEC. 306. [47 U.S.C.
306] FOREIGN SHIPS. Section 301 of this Act shall not apply to any person sending radio communications or signals on a foreign ship while the same is within the jurisdiction of the United
States, but such communications or signals shall be transmitted only in accordance with such regulations designed to prevent interference as may be promulgated under the authority of
this Act. SEC. 307. [47 U.S.C. 307] ALLOCATION OF FACILITIES; TERM OF LICENSES. (a) The Commission, if public convenience, interest, or necessity will be served thereby, subject to the
limitations of this Act, shall grant to any applicant therefor a station license provided for by this Act. (b) In considering applications for licenses, and modifications and renewals
Communications Act of 1934 145 thereof, when and insofar as there is demand for the same, the Commission shall make such distribution of licenses, frequencies, hours of operation, and
of power among the several States and communities as to provide a fair, efficient, and equitable distribution of radio service to each of the same. (c) TERMS OF LICENSES.--(1) INITIAL
AND RENEWAL LICENSES.--Each license granted for the operation of a broadcasting station shall be for a term of not to exceed 8 years. Upon application therefor, a renewal of such license
may be granted from time to time for a term of not to exceed 8 years from the date of expiration of the preceding license, if the Commission finds that public interest, convenience,
and necessity would be served thereby. Consistent with the foregoing provisions of this subsection, the Commission may by rule prescribe the period or periods for which licenses shall
be granted and renewed for particular classes of stations, but the Commission may not adopt or follow follow any rule which would preclude it, in any case involving a station of a particular
class, from granting or renewing a license for a shorter period than that prescribed for stations of such class if, in its judgment, the public interest, convenience, or necessity would
be served by such action. (2) MATERIALS IN APPLICATION.--In order to expedite action on applications for renewal of broadcasting station licenses and in order to avoid needless expense
to applicants for such renewals, the Commission shall not require any such applicant to file any information which previously has been furnished to the Commission or which is not directly
material to the considerations that affect the granting or denial of such application, but the Commission may require any new or additional facts it deems necessary to make its findings.
(3) CONTINUATION PENDING DECISION.--Pending any hearing and final decision on such an application and the disposition of any petition for rehearing pursuant to section 405, the Commission
Commission shall continue such license in effect. (d) No renewal of an existing station license in the broadcast or the common carrier services shall be granted more than thirty days
prior to the expiration of the original license. (e)(1) Notwithstanding any license requirement established in this Act, if the Commission determines that such authorization serves the
public interest, convenience, and necessity, the Commission may by rule authorize the operation of radio stations without individual licenses in the following radio services: (A) the
citizens band radio service; (B) the radio control service; (C) the aviation radio service for aircraft stations operated on domestic flights when such aircraft are not otherwise required
to carry a radio station; and (D) the maritime radio service for ship stations navigated on domestic voyages when such ships are not otherwise
Communications Act of 1934 146 required to carry a radio station. (2) Any radio station operator who is authorized by the Commission to operate without an individual license shall comply
with all other provisions of this Act and with rules prescribed by the Commission under this Act. (3) For purposes of this subsection, the terms ''citizens band radio service'', ''radio
control service'', ''aircraft station'' and ''ship station'' shall have the meanings given them by the Commission by rule. SEC. 308. [47 U.S.C. 308] APPLICATIONS FOR LICENSES; CONDITIONS
IN LICENSE FOR FOREIGN COMMUNICATION. (a) The Commission may grant construction permits and station licenses, or modifications or renewals thereof, only upon written application therefor
received by it: Provided, That (1) in cases of emergency found by the Commission involving danger to life or property or due to damage to equipment, or (2) during a national emergency
proclaimed by the President or declared by the Congress and during the continuance of any war in which the United States is engaged and when such action is necessary for the national
defense or security or otherwise in furtherance of the war effort, or (3) in cases of emergency where the Commission finds, in the nonbroadcast services, that it would not be feasible
to secure renewal applications from existing licensees or otherwise to follow normal licensing procedure, the Commission may grant construction permits and station licenses, or modifications
or renewals thereof, during an emergency so found by the Commission or during the continuance of any such national emergency or war, in such manner and upon such terms and conditions
as the Commission shall by regulation prescribe, and without the filing of a formal application, but no authorization so granted shall continue in effect beyond the period of emergency
or war requiring it: Provided further, That the Commission may issue by cable, telegraph, or radio a permit for the operation of a station on a vessel of the United States at sea, effective
in lieu of a license until said vessel shall return to a port of the continental United States. (b) All applications for station licenses, or modifications or renewals thereof, shall
set forth such facts as the Commission by regulation may prescribe as to the citizenship, character, and financial, technical, and other qualifications of the applicant to operate the
station; the ownership and location of the proposed station and of the stations, if any, with which it is proposed to communicate; the frequencies and the power desired to be used; the
hours of the day or other periods of time during which it is proposed to operate the station; the purposes for which the station is to be used; and such other information as it may require.
The Commission, at any time after the filing of such original application and during the term of any such licenses, may require from an applicant or licensee further written statements
of fact to enable it to determine whether such original application should be granted or denied or such license revoked. Such application and/or such statement of fact shall be signed
by the applicant and/or licensee in any manner or
Communications Act of 1934 147 form, including by electronic means, as the Commission may prescribe by regulation. (c) The Commission in granting any license for a station intended or
used for commercial communication between the United States or any Territory or possession, continental or insular, subject to the jurisdiction of the United States, and any foreign
country, may impose any terms, conditions, or restrictions authorized to be imposed with respect to submarine-cable licenses by section 2 of an Act entitled ''An Act relating to the
landing and operation of submarine cables in the United States,'' approved May 27, 1921. (d) SUMMARY OF COMPLAINTS.--Each applicant for the renewal of a commercial or noncommercial television
license shall attach as an exhibit to the application a summary of written comments and suggestions received from the public and maintained by the licensee (in accordance with Commission
regulations) that comment on the applicant's programming, if any, and that are characterized by by the commentor as constituting violent programming. SEC. 309. [47 U.S.C. 309] ACTION
UPON APPLICATIONS; FORM OF AND CONDITIONS ATTACHED TO LICENSES. (a) Subject to the provisions of this section, the Commission shall determine, in the case of each application filed with
it to which section 308 applies, whether the public interest, convenience, and necessity will be served by the granting of such application, and, if the Commission, upon examination
of such application and upon consideration of such other matters as the Commission may officially notice, shall find that public interest, convenience, and necessity would be served
by the granting thereof, it shall grant such application. (b) Except as provided in subsection (c) of this section, no such application--(1) for an instrument of authorization in the
case of a station in the broadcasting or common carrier services, or (2) for an instrument of authorization in the case of a station in any of the following categories: (A) industrial
radio positioning stations for which frequencies are assigned on an exclusive basis, (B) aeronautical en route stations, (C) aeronautical advisory stations, (D) airdrome control stations,
(E) aeronautical fixed stations, and (F) such other stations or classes of stations, not in the broadcasting or common carrier services, as the Commission shall by rule prescribe, shall
be granted by the Commission earlier than thirty days following issuance of public notice by the Commission of the acceptance for filing of such
Communications Act of 1934 148 application or of any substantial amendment thereof. (c) Subsection (b) of this section shall not apply--(1) to any minor amendment of an application to
which such subsection is applicable, or (2) to any application for--(A) a minor change in the facilities of an authorized station, (B) consent to an involuntary assignment or transfer
under section 310(b) or to an assignment or transfer thereunder which does not involve a substantial change in ownership or control, (C) a license under section 319(c) or, pending application
for or grant of such license, any special or temporary authorization to permit interim operation to facilitate completion of authorized construction or to provide substantially the same
service as would be authorized by such license, (D) extension of time to complete construction of authorized facilities, (E) an authorization of facilities for remote pickups, studio
links and similar facilities for use in the operation of a broadcast station, (F) authorizations pursuant to section 325(c) where the programs to be transmitted are special events not
of a continuing nature, (G) a special temporary authorization for nonbroadcast operation not to exceed thirty days where no application for regular operation is contemplated to be filed
or not to exceed sixty days pending the filing of an application for such regular operation, or (H) an authorization under any of the proviso clauses of section 308(a). (d)(1) Any party
in interest may file with the Commission a petition to deny any application (whether as originally filed or as amended) to which subsection (b) of this section applies at any time prior
to the day of Commission grant thereof without hearing or the day of formal designation thereof for hearing; except that with respect to any classification of applications, the Commission
from time to time by rule may specify a shorter period (no less than thirty days following the issuance of public notice by the Commission of the acceptance for filing of such application
or of any substantial amendment thereof), which shorter period shall be reasonably related to the time when the applications would normally be reached for processing. The petitioner
shall serve a copy of such petition on the applicant. The petition shall contain specific allegations of fact sufficient to show that the petitioner is a party in interest and that a
grant of the application would be prima facie inconsistent with subsection (a) (or subsection (k) in the case of renewal of any broadcast station license). Such allegations of fact shall,
except for those of
Communications Act of 1934 149 which official notice may be taken, be supported by affidavit of a person or persons with personal knowledge thereof. The applicant shall be given the
opportunity to file a reply in which allegations of fact or denials thereof shall similarly be supported by affidavit. (2) If the Commission finds on the basis of the application, the
pleadings filed, or other matters which it may officially notice that there are no substantial and material questions of fact and that a grant of the application would be consistent
with subsection (a) (or subsection (k) in the case of renewal of any broadcast station license), it shall make the grant, deny the petition, and issue a concise statement of the reasons
for denying the petition, which statement shall dispose of all substantial issues raised by the petition. If a substantial and material question of fact is presented or if the Commission
for any reason is unable to find that grant of the application would be consistent with subsection (a) (or subsection (k) in the case of renewal of any broadcast station license), it
shall proceed as provided in subsection (e). (e) If, in the case of any application to which subsection (a) of this section applies, a substantial and material question of fact is presented
or the Commission for any reason is unable to make the finding specified in such subsection, it shall formally designate the application for hearing on the ground or reasons then obtaining
and shall forthwith notify the applicant and all other known parties in interest of such action and the ground and reasons therefor, specifying with particularity the matters and things
in issue but not including issues or requirements phrased generally. When the Commission has so designated an application for hearing, the parties in interest, if any, who are not notified
by the Commission of such action may acquire the status of a party to the proceeding thereon by filing a petition for intervention showing the basis for their interest not more than
thirty days after publication of the hearing issues or any substantial amendment thereto in the Federal Register. Any hearing subsequently held upon such application shall be a full
hearing in which the applicant and all other parties in interest shall be permitted to participate. The burden of proceeding with the introduction of evidence and the burden of proof
shall be upon the applicant, except that with respect to any issue presented by a petition to deny or a petition to enlarge the issues, such burdens shall be as determined by the Commission.
(f) When an application subject to subsection (b) has been filed, the Commission, notwithstanding the requirements of such subsection, may, if the grant of such application is otherwise
authorized by law and if it finds that there are extraordinary circumstances requiring temporary operations in the public interest and that delay in the institution of such temporary
operations would seriously prejudice the public interest, grant a temporary authorization, accompanied by a statement of its reasons therefor, to permit such temporary operations for
a period not exceeding 180 days, and upon making like findings may extend such temporary authorization for additional periods not to exceed 180 days.
Communications Act of 1934 150 When any such grant of a temporary authorization is made, the Commission shall give expeditious treatment to any timely filed petition to deny such application
and to any petition for rehearing of such grant filed under section 405. (g) The Commission is authorized to adopt reasonable classifications of applications and amendments in order
to effectuate the purposes of this section. (h) Such station licenses as the Commission may grant shall be in such general form as it may prescribe, but each license shall contain, in
addition to other provisions, a statement of the following conditions to which such license shall be subject: (1) The station license shall not vest in the licensee any right to operate
the station nor any right in the use of the frequencies designated in the license beyond the term thereof nor in any other manner than authorized therein; (2) neither the license nor
the right granted thereunder shall be assigned or otherwise transferred in violation of this Act; (3) every license issued under this Act shall be subject in terms to the right of use
or control conferred by section 706 of this Act. (i) RANDOM SELECTION.--(1) GENERAL AUTHORITY.--If--(A) there is more than one application for any initial license or construction permit
which will involve a use of the electromagnetic spectrum; and (B) the Commission has determined that the use is not described in subsection (j)(2)(A); then the Commission shall have
the authority to grant such license or permit to a qualified applicant through the use of a system of random selection. (2) No license or construction permit shall be granted to an applicant
selected pursuant to paragraph (1) unless the Commission determines the qualifications of such applicant pursuant to subsection (a) and section 308(b). When substantial and material
questions of fact exist concerning such qualifications, the Commission shall conduct a hearing in order to make such determinations. For the purposes of making such determinations, the
Commission may, by rule, and notwithstanding any other provision of law--(A) adopt procedures for the submission of all or part of the evidence in written form; (B) delegate the function
of presiding at the taking of written evidence to Commission employees other than administrative law judges; and (C) omit the determination required by subsection (a) with respect to
any application other than the one selected pursuant to paragraph (1). (3)(A) The Commission shall establish rules and procedures to ensure that, in the administration of any system
of random selection under this subsection used for granting licenses or construction permits for any media of mass communications, significant preferences will be granted to
Communications Act of 1934 151 applicants or groups of applicants, the grant to which of the license or permit would increase the diversification of ownership of the media of mass communications.
To further diversify the ownership of the media of mass communications, an additional significant preference shall be granted to any applicant controlled by a member or members of minority
group. (B) The Commission shall have authority to require each qualified applicant seeking a significant preference under subparagraph (A) to submit to the Commission such information
as may be necessary to enable the Commission to make a determination regarding whether such applicant shall be granted such preference. Such information shall be submitted in such form,
at such times, and in accordance with such procedures, as the Commission may require. (C) For purposes of this paragraph: (i) The term ''media of mass communication'' includes television,
radio, cable television, multipoint distribution service, direct broadcast satellite service, and other services, the licensed facilities of which may be substantially devoted toward
providing programming or other information services within the editorial control of the licensee. (ii) The term ''minority group'' includes Blacks, Hispanics, American Indians, Alaska
Natives, Asians, and Pacific Islanders. (4)(A) The Commission shall, after notice and opportunity for hearing, prescribe rules establishing a system of random selection for use by the
Commission under this subsection in any instance in which the Commission, in its discretion, determines that such use is appropriate for the granting of any license or permit in accordance
with paragraph (1). (B) The Commission shall have authority to amend such rules from time to time to the extent necessary too carry out the provisions of this subsection. Any such amendment
shall be made after notice and opportunity for hearing. (C) Not later than 180 days after the date of enactment of this subparagraph, the Commission shall prescribe such transfer disclosures
and antitrafficking restrictions and payment schedules as are necessary to prevent the unjust enrichment of recipients of licenses or permits as a result of the methods employed to issue
licenses under this subsection. (j) USE OF COMPETITIVE BIDDING.--(1) GENERAL AUTHORITY.--If mutually exclusive applications are accepted for filing for any initial license or construction
permit which will involve a use of the electromagnetic spectrum described in paragraph (2), then the Commission shall have the authority, subject to paragraph (10), to grant such license
or permit to a qualified applicant through the use of a system of competitive bidding that meets the requirements of this subsection. (2) USES TO WHICH BIDDING MAY APPLY.--A use of the
Communications Act of 1934 152 electromagnetic spectrum is described in this paragraph if the Commission determines that--(A) the principal use of such spectrum will involve, or is reasonably
likely to involve, the licensee receiving compensation from subscribers in return for which the licensee--(i) enables those subscribers to receive communications signals that are transmitted
utilizing frequencies on which the licensee is licensed to operate; or (ii) enables those subscribers to transmit directly communications signals utilizing frequencies on which the licensee
is licensed to operate; and (B) a system of competitive bidding will promote the objectives described in paragraph (3). (3) DESIGN OF SYSTEMS OF COMPETITIVE BIDDING.--For each class
of licenses or permits that the Commission grants through the use of a competitive bidding system, the Commission shall, by regulation, establish a competitive bidding methodology. The
Commission shall seek to design and test multiple alternative methodologies under appropriate circumstances. In identifying classes of licenses and permits to be issued by competitive
bidding, in specifying eligibility and other characteristics of such licenses and permits, and in designing the methodologies for use under this subsection, the Commission shall include
safeguards to protect the public interest in the use of the spectrum and shall seek to promote the purposes specified in section 1 of this Act and the following objectives: (A) the development
and rapid deployment of new technologies, products, and services for the benefit of the public, including those residing in rural areas, without administrative or judicial delays; (B)
promoting economic opportunity and competition and ensuring that new and innovative technologies are readily accessible to the American people by avoiding excessive concentration of
licenses and by disseminating licenses among a wide variety of applicants, including small businesses, rural telephone companies, and businesses owned by members of minority groups and
women; (C) recovery for the public of a portion of the value of the public spectrum resource made available for commercial use and avoidance of unjust enrichment through the methods
employed to award uses of that resource; and (D) efficient and intensive use of the electromagnetic spectrum. (4) CONTENTS OF REGULATIONS.--In prescribing regulations pursuant to paragraph
(3), the Commission shall--
Communications Act of 1934 153 (A) consider alternative payment schedules and methods of calculation, including lump sums or guaranteed installment payments, with or without royalty
payments, or other schedules or methods that promote the objectives described in paragraph (3)(B), and combinations of such schedules and methods; (B) include performance requirements,
such as appropriate deadlines and penalties for performance failures, to ensure prompt delivery of service to rural areas, to prevent stockpiling or warehousing of spectrum by licensees
or permittees, and to promote investment in and rapid deployment of new technologies and services; (C) consistent with the public interest, convenience, and necessity, the purposes of
this Act, and the characteristics of the proposed service, prescribe area designations and bandwidth assignments that promote (i) an equitable distribution of licenses and services among
geographic areas, (ii) economic opportunity for a wide variety of applicants, including small businesses, rural telephone companies, and businesses owned by members of minority groups
and women, and (iii) investment in and rapid deployment of new technologies and services; (D) ensure that small businesses, rural telephone companies, and businesses owned by members
of minority groups and women are given the opportunity to participate in the provision of spectrum-based services, and, for such purposes, consider the use of tax certificates, bidding
preferences, and other procedures; and (E) require such transfer disclosures and antitrafficking restrictions and payment schedules as may be necessary to prevent unjust enrichment as
a result of the methods employed to issue licenses and permits. (5) BIDDER AND LICENSEE QUALIFICATION.--No person shall be permitted to participate in a system of competitive bidding
pursuant to this subsection unless such bidder submits such information and assurances as the Commission may require to demonstrate that such bidder's application is acceptable for filing.
No license shall be granted to an applicant selected pursuant to this subsection unless the Commission determines that the applicant is qualified pursuant to subsection (a) and sections
308(b) and 310. Consistent with the objectives described in paragraph (3), the Commission shall, by regulation, prescribe expedited procedures consistent with the procedures authorized
by subsection (i)(2) for the resolution of any substantial and material issues of fact concerning qualifications. (6) RULES OF CONSTRUCTION.--Nothing in this subsection, or in the use
of competitive bidding, shall--
Communications Act of 1934 154 (A) alter spectrum allocation criteria and procedures established by the other provisions of this Act; (B) limit or otherwise affect the requirements of
subsection (h) of this section, section 301, 304, 307, 310, or 706, or any other provision of this Act (other than subsections (d)(2) and (e) of this section); (C) diminish the authority
of the Commission under the other provisions of this Act to regulate or reclaim spectrum licenses;(D) be construed to convey any rights, including any expectation of renewal of a license,
that differ from the rights that apply to other licenses within the same service that were not issued pursuant to this subsection; (E) be construed to relieve the Commission of the obligation
in the public interest to continue to use engineering solutions, negotiation, threshold qualifications, service regulations, and other means in order to avoid mutual exclusivity in application
and licensing proceedings; (F) be construed to prohibit the Commission from issuing nationwide, regional, or local licenses or permits; (G) be construed to prevent the Commission from
awarding licenses to those persons who make significant contributions to the development of a new telecommunications service or technology; or (H) be construed to relieve any applicant
for a license or permit of the obligation to pay charges imposed pursuant to section 8 of this Act. (7) CONSIDERATION OF REVENUES IN PUBLIC INTEREST DETERMINATIONS.--(A) CONSIDERATION
PROHIBITED.--In making a decision pursuant to section 303(c) to assign a band of frequencies to a use for which licenses or permits will be issued pursuant to this subsection, and in
prescribing regulations pursuant to paragraph (4)(C) of this subsection, the Commission may not base a finding of public interest, convenience, and necessity on the expectation of Federal
revenues from the use of a system of competitive bidding under this subsection. (B) CONSIDERATION LIMITED.--In prescribing regulations pursuant to paragraph (4)(A) of this subsection,
the Commission may not base a finding of public interest, convenience, and necessity solely or predominantly on the expectation of Federal revenues from the use of a system of competitive
bidding under this
Communications Act of 1934 155 subsection. (C) CONSIDERATION OF DEMAND FOR SPECTRUM NOT AFFECTED.--Nothing in this paragraph shall be construed to prevent the Commission from continuing
to consider consumer demand for spectrum-based services. (8) TREATMENT OF REVENUES.--(A) GENERAL RULE.--Except as provided in subparagraph (B), all proceeds from the use of a competitive
bidding system under this subsection shall be deposited in the Treasury in accordance with chapter 33 of title 31, United States Code. (B) RETENTION OF REVENUES.--Notwithstanding subparagraph
(A), the salaries and expenses account of the Commission shall retain as an offsetting collection such sums as may be necessary from such proceeds for the costs of developing and implementing
the program required by this subsection. Such offsetting collections shall be available for obligation subject to the terms and conditions of the receiving appropriations account, and
shall be deposited in such accounts on a quarterly basis. Any funds appropriated to the Commission for fiscal years 1994 through 1998 for the purpose of assigning licenses using random
selection under subsection (i) shall be used by the Commission to implement this subsection. Such offsetting collections are authorized to remain available until expended. (C) DEPOSIT
AND USE OF AUCTION ESCROW ACCOUNTS.--Any deposits the Commission may require for the qualification of any person to bid in a system of competitive bidding pursuant to this subsection
shall be deposited in an interest bearing account at a financial institution designated for purposes of this subsection by the Commission (after consultation with the Secretary of the
Treasury). Within 45 days following the conclusion of the competitive bidding--(i) the deposits of successful bidders shall be paid to the Treasury; (ii) the deposits of unsuccessful
bidders shall be returned to such bidders; and (iii) the interest accrued to the account shall be transferred to the Telecommunications Development Fund established pursuant to section
714 of this Act. (9) USE OF FORMER GOVERNMENT SPECTRUM.--The Commission shall, not later than 5 years after the date of enactment of this subsection, issue licenses and permits pursuant
to this subsection for the use of bands of frequencies that--
Communications Act of 1934 156 (A) in the aggregate span not less than 10 megahertz; and (B) have been reassigned from Government use pursuant to part B of the National Telecommunications
and Information Administration Organization Act. (10) AUTHORITY CONTINGENT ON AVAILABILITY OF ADDITIONAL SPECTRUM.--(A) INITIAL CONDITIONS.--The Commission's authority to issue licenses
or permits under this subsection shall not take effect unless--(i) the Secretary of Commerce has submitted to the Commission the report required by section 113(d)(1) of the National
Telecommunications and Information Administration Organization Act; (ii) such report recommends for immediate reallocation bands of frequencies that, in the aggregate, span not less
than 50 megahertz; (iii) such bands of frequencies meet the criteria
required by section 113(a) of such Act; and (iv) the Commission has completed the rulemaking required by section 332(c)(1)(D) of this Act. (B) SUBSEQUENT CONDITIONS.--The Commission's
authority to issue licenses or permits under this subsection on and after 2 years after the date of the enactment of this subsection shall cease to be effective if--(i) the Secretary
of Commerce has failed to submit the report required by section 113(a) of the National Telecommunications and Information Administration Organization Act; (ii) the President has failed
to withdraw and limit assignments of frequencies as required by paragraphs (1) and (2) of section 114(a) of such Act; (iii) the Commission has failed to issue the regulations required
by section 115(a) of such Act; (iv) the Commission has failed to complete and submit to Congress, not later than 18 months after the date of enactment of this subsection, a study of
current and future spectrum needs of State and local government public safety agencies through the year 2010, and a specific plan to ensure that adequate frequencies are made available
to public safety licensees; or (v) the Commission has failed under section 332(c)(3) to grant or deny within the time required by such
Communications Act of 1934 157 section any petition that a State has filed within 90 days after the date of enactment of this subsection; until such failure has been corrected. (11)
TERMINATION.--The authority of the Commission to grant a license or permit under this subsection shall expire September 30, 1998. (12) EVALUATION.--Not later than September 30, 1997,
the Commission shall conduct a public inquiry and submit to the Congress a report--(A) containing a statement of the revenues obtained, and a projection of the future revenues, from
the use of competitive bidding systems under this subsection; (B) describing the methodologies established by the Commission pursuant to paragraphs (3) and (4); (C) comparing the relative
advantages and disadvantages of such methodologies in terms of attaining the objectives described in such paragraphs; (D) evaluating whether and to what extent--(i) competitive bidding
significantly improved the efficiency and effectiveness of the process for granting radio spectrum licenses; (ii) competitive bidding facilitated the introduction of new spectrum-based
technologies and the entry of new companies into the telecommunications market; (iii) competitive bidding methodologies have secured prompt delivery of service to rural areas and have
adequately addressed the needs of rural spectrum users; and (iv) small businesses, rural telephone companies, and businesses owned by members of minority groups and women were able to
participate successfully in the competitive bidding process; and (E) recommending any statutory changes that are needed to improve the competitive bidding process. (13) RECOVERY OF VALUE
OF PUBLIC SPECTRUM IN CONNECTION WITH PIONEER PREFERENCES.--(A) IN GENERAL.--Notwithstanding paragraph (6)(G), the Commission shall not award licenses pursuant to a preferential treatment
accorded by the Commission to persons who make significant contributions to the development of a new telecommunications service or technology, except in accordance with the requirements
of this paragraph. (B) RECOVERY OF VALUE.--The Commission shall recover for the public a portion of the value of the public spectrum resource
Communications Act of 1934 158 made available to such person by requiring such person, as a condition for receipt of the license, to agree to pay a sum determined by--(i) identifying
the winning bids for the licenses that the Commission determines are most reasonably comparable in terms of bandwidth, scope of service area, usage restrictions, and other technical
characteristics to the license awarded to such person, and excluding licenses that the Commission determines are subject to bidding anomalies due to the award of preferential treatment;
(ii) dividing each such winning bid by the population of its service area (hereinafter referred to as the per capita bid amount); (iii) computing the average of the per capita bid amounts
for the licenses identified under clause (i); (iv) reducing such average amount by 15 percent; and (v) multiplying the amount determined under clause (iv) by the population of the service
area of the license obtained by such person. (C) INSTALLMENTS PERMITTED.--The Commission shall require such person to pay the sum required by subparagraph (B) in a lump sum or in guaranteed
installment payments, with or without royalty payments, over a period of not more than 5 years. (D) RULEMAKING ON PIONEER PREFERENCES.--Except with respect to pending applications described
in clause (iv) of this subparagraph, the Commission shall prescribe regulations specifying the procedures and criteria by which the Commission will evaluate applications for preferential
treatment in its licensing processes (by precluding the filing of mutually exclusive applications) for persons who make significant contributions to the development of a new service
or to the development of new technologies that substantially enhance an existing service. Such regulations shall--(i) specify the procedures and criteria by which the significance of
such contributions will be determined, after an opportunity for review and verification by experts in the radio sciences drawn from among persons who are not employees of the Commission
or by any applicant for such preferential treatment; (ii) include such other procedures as may be necessary to prevent unjust enrichment by ensuring that the
Communications Act of 1934 159 value of any such contribution justifies any reduction in the amounts paid for comparable licenses under this subsection; (iii) be prescribed not later
than 6 months after the date of enactment of this paragraph; (iv) not apply to applications that have been accepted for filing on or before September 1, 1994; and (v) cease to be effective
on the date of the expiration of the Commission's authority under subparagraph (F). (E) IMPLEMENTATION WITH RESPECT TO PENDING APPLICATIONS.--In applying this paragraph to any broadband
licenses in the personal communications service awarded pursuant to the preferential treatment accorded by the Federal Communications Commission in the Third Report and Order in General
Docket 90-314 (FCC 93-550, released February 3, 1994)--(i) the Commission shall not reconsider the award of preferences in such Third Report and Order, and the Commission shall not delay
the grant of licenses based on such awards more than 15 days following the date of enactment of this paragraph, and the award of such preferences and licenses shall not be subject to
administrative or judicial review; (ii) the Commission shall not alter the bandwidth or service areas designated for such licenses in such Third Report and Order; (iii) except as provided
in clause (v), the Commission shall use, as the most reasonably comparable licenses for purposes of subparagraph (B)(i), the broadband licenses in the personal communications service
for blocks A and B for the 20 largest markets (ranked by population) in which no applicant has obtained preferential treatment; (iv) for purposes of subparagraph (C), the Commission
shall permit guaranteed installment payments over a period of 5 years, subject to--(I) the payment only of interest on unpaid balances during the first 2 years, commencing not later
than 30 days after the award of the license (including any preferential treatment used in making such award) is final and no longer subject to administrative or judicial review, except
that no such payment shall be required prior to the date of completion of the auction of the comparable licenses described in clause (iii); and
Communications Act of 1934 160 (II) payment of the unpaid balance and interest thereon after the end of such 2 years in accordance with the regulations prescribed by the Commission;
and (v) the Commission shall recover with respect to broadband licenses in the personal communications service an amount under this paragraph that is equal to not less than $400,000,000,
and if such amount is less than $400,000,000, the Commission shall recover an amount equal to $400,000,000 by allocating such amount among the holders of such licenses based on the population
of the license areas held by each licensee. The Commission shall not include in any amounts required to be collected under clause (v) the interest on unpaid balances required to be collected
under clause (iv). (F) EXPIRATION.--The authority of the Commission to provide preferential treatment in licensing procedures (by precluding the filing of mutually exclusive applications)
to persons who make significant contributions to the development of a new service or to the development of new technologies that substantially enhance an existing service shall expire
on September 30, 1998. (G) EFFECTIVE DATE.--This paragraph shall be effective on the date of its enactment and apply to any licenses issued on or after August 1, 1994, by the Federal
Communications Commission pursuant to any licensing procedure that provides preferential treatment (by precluding the filing of mutually exclusive applications) to persons who make significant
contributions to the development of a new service or to the development of new technologies that substantially enhance an existing service. (k) BROADCAST STATION RENEWAL PROCEDURES.--(1)
STANDARDS FOR RENEWAL.--If the licensee of a broadcast station submits an application to the Commission for renewal of such license, the Commission shall grant the application if it
finds, with respect to that station, during the preceding term of its license--(A) the station has served the public interest, convenience, and necessity; (B) there have been no serious
violations by the licensee of this Act or the rules and regulations of the Commission; and (C) there have been no other violations by the licensee of this Act or the rules and regulations
of the Commission which, taken together, would constitute a pattern of abuse. (2) CONSEQUENCE OF FAILURE TO MEET STANDARD.--If any licensee
Communications Act of 1934 161 of a broadcast station fails to meet the requirements of this subsection, the Commission may deny the application for renewal in accordance with paragraph
(3), or grant such application on terms and conditions as are appropriate, including renewal for a term less than the maximum otherwise permitted. (3) STANDARDS FOR DENIAL.--If the Commission
determines, after notice and opportunity for a hearing as provided in subsection (e), that a licensee has failed to meet the requirements specified in paragraph (1) and that no mitigating
factors justify the imposition of lesser sanctions, the Commission shall--(A) issue an order denying the renewal application filed by such licensee under section 308; and (B) only thereafter
accept and consider such applications for a construction permit as may be filed under section 308 specifying the channel or broadcasting facilities of the former licensee. (4) COMPETITOR
CONSIDERATION PROHIBITED.--In making the determinations specified in paragraph paragraph (1) or (2), the Commission shall not consider whether the public interest, convenience, and necessity
might be served by the grant of a license to a person other than the renewal applicant. SEC. 310. [47 U.S.C. 310] LIMITATION ON HOLDING AND TRANSFER OF LICENSES. (a) The station license
required under this Act shall not be granted to or held by any foreign government or the representative thereof. (b) No broadcast or common carrier or aeronautical en route or aeronautical
fixed radio station license shall be granted to or held by--(1) any alien or the representative of any alien; (2) any corporation organized under the laws of any foreign government;
(3) any corporation of which more than one-fifth of the capital stock is owned of record or voted by aliens or their representatives or by a foreign government or representative thereof
or by any corporation organized under the laws of a foreign country; (4) any corporation directly or indirectly controlled by any other corporation of which more than one-fourth of the
capital stock is owned of record or voted by aliens, their representatives, or by a foreign government or representative thereof, or by any corporation organized under the laws of a
foreign country, if the Commission finds that the public interest will be served by the refusal or revocation of such license. (c) In addition to amateur station licenses which the Commission
may issue to aliens pursuant to this Act, the Commission may issue authorizations, under
Communications Act of 1934 162 such conditions and terms as it may prescribe, to permit an alien licensed by his government as an amateur radio operator to operate his amateur radio
station licensed by his government in the United States, its possessions, and the Commonwealth of Puerto Rico provided there is in effect a multilateral or bilateral agreement, to which
the United States and the alien's government are parties, for such operation on a reciprocal basis by United States amateur radio operators. Other provisions of this Act and of the Administrative
Procedure Act shall not be applicable to any request or application for or modification, suspension, or cancellation of any such authorization. (d) No construction permit or station
license, or any rights thereunder, shall be transferred, assigned, or disposed of in any manner, voluntarily or involuntarily, directly or indirectly, or by transfer of control of any
corporation holding such permit or license, to any person except upon application to the Commission and upon finding by the Commission that the public interest, convenience, and necessity
will be served thereby. Any such application shall be disposed of as if the proposed transferee or assignee were making application under section 308 for the permit or license in question;
but in acting thereon the Commission may not consider whether the public interest, convenience, and necessity might be served by the transfer, assignment, or disposal of the permit or
license to a person other than the proposed transferee or assignee. (e)(1) In the case of any broadcast station, and any ownership interest therein, which is excluded from the regional
concentration rules by reason of the savings provision for existing facilities provided by the First Report and Order adopted March 9, 1977 (docket No. 20548; 42 Fed. Reg. 16145), the
exclusion shall not terminate solely by reason of changes made in the technical facilities of the station to improve its service. (2) For purposes of this subsection, the term ''regional
concentration rules'' means the provisions of sections 73.35, 73.240, and 73.636 of title 47, Code of Federal Regulations (as in effect June 1, 1983), which prohibit any party from directly
or indirectly owning, operating, or controlling three broadcast stations in one or several services where any two of such stations are within 100 miles of the third (measured city-to-city),
and where there is a primary service contour overlap of any of the stations. SEC. 311. [47 U.S.C. 311] SPECIAL REQUIREMENTS WITH RESPECT TO CERTAIN APPLICATIONS IN THE BROADCASTING SERVICE.
(a) When there is filed with the Commission any application to which section 309(b)(1) applies, for an instrument of authorization for a station in the broadcasting service, the applicant--(1)
shall give notice of such filing in the principal area which is served or is to be served by the station; and (2) if the application is formally designated for hearing in
Communications Act of 1934 163 accordance with section 309, shall give notice of such hearing in such area at least ten days before commencement of such hearing. The Commission shall
by rule prescribe the form and content of the notices to be given in compliance with this subsection, and the manner and frequency with which such notices shall be given. (b) Hearings
referred to in subsection (a) may be held at such places as the Commission shall determine to be appropriate, and in making such determination in any case the Commission shall consider
whether the public interest, convenience, or necessity will be served by conducting the hearing at a place in, or in the vicinity of, the principal area to be served by the station involved.
(c)(1) If there are pending before the Commission two or more applications for a permit for construction of a broadcasting station, only one of which can be granted, it shall be unlawful,
without approval of the Commission, for the applicants or any of them to effectuate an agreement whereby one or more of such applicants withdraws his or their application or applications.
(2) The request for Commission approval in any such case shall be made in writing jointly by all the parties to the agreement. Such request shall contain or be accompanied by full information
with respect to the agreement, set forth in such detail, form, and manner as the Commission shall by rule require. (3) The Commission shall approve the agreement only if it determines
that (A) the agreement is consistent with the public interest, convenience, or necessity; and (B) no party to the agreement filed its application for the purpose of reaching or carrying
out such agreement. (4) For the purposes of this subsection an application shall be deemed to be ''pending'' before the Commission from the time such application is filed with the Commission
until an order of the Commission granting or denying it is no longer subject to rehearing by the Commission or to review by any court. (d)(1) If there are pending before the the Commission
an application for the renewal of a license granted for the operation of a broadcasting station and one or more applications for a construction permit relating to such station, only
one of which can be granted, it shall be unlawful, without approval of the Commission, for the applicants or any of them to effectuate an agreement whereby one or more of such applicants
withdraws his or their application or applications in exchange for the payment of money, or the transfer of assets or any other thing of value by the remaining applicant or applicants.
(2) The request for Commission approval in any such case shall be made in writing jointly by all the parties to the agreement. Such request shall contain or be accompanied by full information
with respect to the agreement, set forth in such detail, form, and manner as the Commission shall require. (3) The Commission shall approve the agreement only if it determines that (A)
the agreement is consistent with the public interest, convenience, or necessity; and (B) no party to the agreement filed its application for the purpose of reaching
Communications Act of 1934 164 or carrying our such agreement. (4) For purposes of this subsection, an application shall be deemed to be pending before the Commission from the time such
application is filed with the Commission until an order of the Commission granting or denying it is no longer subject to rehearing by the Commission or to review by any court. SEC. 312.
[47 U.S.C. 312] ADMINISTRATIVE SANCTIONS. (a) The Commission may revoke any station license or construction permit--(1) for false statements knowingly made either in the application
or in any statement of fact which may be required pursuant to section 308; (2) because of conditions coming to the attention of the Commission which would warrant it in refusing to grant
a license or permit on an original application; (3) for willful or repeated failure to operate substantially as set forth in the license; (4) for willful or repeated violation of, or
willful or repeated failure to observe any provision of this Act or any rule or regulation of the Commission authorized by this Act or by a treaty ratified by the United States; (5)
for violation of or failure to observe any final cease and desist order issued by the Commission under this section; (6) for violation of section 1304, 1343, or 1464 of title 18 of the
United States Code; or (7) for willful or repeated failure to allow reasonable access to or to permit purchase of reasonable amounts of time for the use of a broadcasting station by
a legally qualified candidate for Federal elective office on behalf of his candidacy. (b) Where any person (1) has failed to operate substantially as set forth in a license, (2) has
violated or failed to observe any of the provisions of this Act, or section 1304, 1343, or 1464 of title 18 of the United States Code, or (3) has violated or failed to observe any rule
or regulation of the Commission authorized by this Act or by a treaty ratified by the United States, the Commission may order such person to cease and desist from such action. (c) Before
revoking a license license or permit pursuant to subsection (a), or issuing a cease and desist order pursuant to subsection (b), the Commission shall serve upon the licensee, permittee,
or person involved an order to show cause why an order of revocation or a cease and desist order should not be issued. Any such order to show cause shall contain a statement of the matters
with respect to which the Commission is inquiring and shall call upon said licensee, permittee, or person to appear before the Commission at a time and place stated in the order, but
in no event less than thirty days after the receipt of such order, and give evidence upon
Communications Act of 1934 165 the matter specified therein; except that where safety of life or property is involved, the Commission may provide in the order for a shorter period. If
after hearing, or a waiver thereof, the Commission determines that an order of revocation or a cease and desist order should issue, it shall issue such order, which shall include a statement
of the findings of the Commission and the grounds and reasons therefor and specify the effective date of the order, and shall cause the same to be served on said licensee, permittee,
or person. (d) In any case where a hearing is conducted pursuant to the provisions of this section, both the burden of proceeding with the introduction of evidence and the burden of
proof shall be upon the Commission. (e) The provisions of section 9(b) [5 U.S.C. 558(c)(1) and (2)] of the Administrative Procedure Act which apply with respect to the institution of
any proceeding for the revocation of a license or permit shall apply also with respect to the institution, under this section, of any proceeding for the issuance of a cease and desist
order. (f) For purposes of this section: (1) The term ''willful'', when used with reference to the commission or omission of any act, means the conscious and deliberate commission or
omission of such act, irrespective of any intent to violate any provision of this Act or any rule or regulation of the Commission authorized by this Act or by a treaty ratified by the
United States. (2) The term ''repeated'', when used with reference to the commission or omission of any act, means the commission or omission of such act more than once or, if such commission
or omission is continuous, for more than one day. (g) If a broadcasting station fails to transmit broadcast signals for any consecutive 12-month period, then the station license granted
for the operation of that broadcast station expires at the end of that period, notwithstanding any provision, term, or condition of the license to the contrary. SEC. 313. [47 U.S.C.
313] APPLICATION OF ANTITRUST LAWS; REFUSAL OF LICENSES AND PERMITS IN CERTAIN CASES. (a) All laws of the United States relating to unlawful restraints and monopolies and to combinations,
contracts or agreements in restraint of trade are hereby declared to be applicable to the manufacture and sale of and to trade in radio apparatus and devices entering into or affecting
interstate or foreign commerce and to interstate or foreign radio communications. Whenever in any suit, action, or proceeding, civil or criminal, brought under the provisions of any
of said laws or in any proceedings brought to enforce or to review findings and orders of the Federal Trade Commission or other governmental agency in respect of any matters as to which
said Commission or other governmental agency is by law authorized to act, any licensee shall be found guilty of the violation of the
Communications Act of 1934 166 provisions of such laws or any of them, the court, in addition to the penalties imposed by said laws, may adjudge, order, and/or decree that the license
of such licensee shall, as of the date the decree or judgment becomes finally effective or as of such date as the said decree shall fix, be revoked and that all rights under such license
shall thereupon cease: Provided, however, That such licensee shall have the same right of appeal or review, as is provided by law in respect of other decrees and judgments of said court.
(b) The Commission is hereby directed to refuse a station license and/or the permit hereinafter required for the construction of a station to any person (or to any person directly or
indirectly controlled by such person) whose license has been revoked by a court under this section. SEC. 314. [47 U.S.C. 314] PRESERVATION OF COMPETITION IN COMMERCE. After the effective
date of this Act no person engaged directly, or indirectly through any person directly or indirectly controlling or controlled by, or under direct or indirect common control with, such
person, or through an agent, or otherwise, in the business of transmitting and/or receiving for hire energy, communications, or signals by radio in accordance with the terms of the license
issued under this Act, shall by purchase, lease, construction, or otherwise, directly or indirectly, acquire, own, control, or operate any cable or wire telegraph or telephone line or
system between any place in any State, Territory, or possession of the United States or in the District of Columbia, and any place in any foreign country, or shall acquire, own, or control
any part of the stock or other capital share or any interest in the physical property and/or other assets of any such cable, wire, telegraph, or telephone line or system, if in either
case the purpose is and/or the effect thereof may be to substantially lessen competition or to restrain commerce between any place in any State, Territory, or possession of the United
States, or in the District of Columbia, and any place in any foreign country, or unlawfully to create monopoly in any line of commerce; nor shall any person engaged directly, or indirectly
through any person directly or indirectly controlling or controlled by, or under direct or indirect common control with, such person, or through an agent, or otherwise, in the business
of transmitting and/or receiving for hire messages by any cable, wire, telegraph, or telephone line or system (a) between any place in any State, Territory, or possession of the United
States, or in the District of Columbia, and any place in any other State, Territory, or possession of the United States; or (b) between any place in any State, Territory, or possession
of the United States, or in the District of Columbia, and any place in any foreign country, by purchase, lease, construction, or otherwise, directly or indirectly acquire, own, control,
or operate any station or the apparatus therein, or any system for transmitting and/or receiving radio communications or signals between any place in any State, Territory, or possession
of the United States, or in
Communications Act of 1934 167 the District of Columbia, and any place in any foreign country, or shall acquire, own, or control any part of the stock or other capital share of any interest
in the physical property and/or other assets of any such radio station, apparatus, or system, if in either case, the purpose is and/or the effect thereof may be to substantially lessen
competition or to restrain commerce between any place in any State, Territory, or possession of the United States, or in the District of Columbia, and any place in any foreign country,
or unlawfully to create monopoly in any line of commerce. SEC. 315. [47 U.S.C. 315] FACILITIES FOR CANDIDATES FOR PUBLIC OFFICE. (a) If any licensee shall permit any person who is a
legally qualified candidate for any public office to use a broadcasting station, he shall afford equal opportunities to all other such candidates for that office in the use of such broadcasting
station: Provided, That such licensee shall have no power of censorship over the material broadcast under the provision of this section. No obligation is hereby imposed under this subsection
upon
any licensee to allow the use of its station by any such candidate. Appearance by a legally qualified candidate on any--(1) bona fide newscast, (2) bona fide news interview, (3) bona
fide news documentary (if the appearance of the candidate is incidental to the presentation of the subject or subjects covered by the news documentary), or (4) on-the-spot coverage of
bona fide news events (including but not limited to political conventions and activities incidental thereto), shall not be deemed to be use of a broadcasting station within the meaning
of this subsection. Nothing in the foregoing sentence shall be construed as relieving broadcasters, in connection with the presentation of newscasts, news interviews, news documentaries,
and on-the-spot coverage of news events, from the obligation imposed upon them under this Act to operate in the public interest and to afford reasonable opportunity for the discussion
of conflicting views on issues of public importance. (b) The charges made for the use of any broadcasting station by any person who is a legally qualified candidate for any public office
in connection with his campaign for nomination for election, or election, to such office shall not exceed--(1) during the forty-five days preceding the date of a primary or primary runoff
election and during the sixty days preceding the date of a general or special election in which such person is a candidate, the lowest unit charge of the station for the same class and
amount of time for the same period; and (2) at any other time, the charges made for comparable use of such
Communications Act of 1934 168 station by other users thereof. (c) For purposes of this section--(1) the term ''broadcasting station'' includes a community antenna television system;
and (2) the term ''licensee'' and ''station licensee'' when used with respect to a community antenna television system mean the operator of such system. (d) The Commission shall prescribe
appropriate rules and regulations to carry out the provisions of this section. SEC. 316. [47 U.S.C. 316] MODIFICATION BY COMMISSION OF CONSTRUCTION PERMITS OR LICENSES. (a)(1) Any station
license or construction permit may be modified by the Commission either for a limited time or for the duration of the term thereof, if in the judgment of the Commission such action will
promote the public interest, convenience, and necessity, or the provisions of this Act or of any treaty ratified by the United States will be more fully complied with. No such order
of modification shall become final until the holder of the license or permit shall have been notified in writing of the proposed action and the grounds and reasons therefor, and shall
be given reasonable opportunity, of at least thirty days, to protest such proposed order of modification; except that, where safety of life or property is involved, the Commission may
by order provide, for a shorter period of notice. (2) Any other licensee or permittee who believes its license or permit would be modified by the proposed action may also protest the
proposed action before its effective date. (3) A protest filed pursuant to this subsection shall be subject to the requirements of section 309 for petitions to deny. (b) In any case
where a hearing is conducted pursuant to the provisions of this section, both the burden of proceeding with the introduction of evidence and the burden of proof shall be upon the Commission;
except that, with respect to any issue that addresses the question of whether the proposed action would modify the license or permit of a person described in subsection (a)(2), such
burdens shall be as determined by the Commission. SEC. 317. [47 U.S.C. 317] ANNOUNCEMENT WITH RESPECT TO CERTAIN MATTER BROADCAST. (a)(1) All matter broadcast by any radio station for
which any money, service or other valuable consideration is directly or indirectly paid, or promised to or charged or accepted by, the station so broadcasting, from any person, shall,
at the time the same is so broadcast, be announced as paid for or furnished, as the case may be, by such person: Provided, That ''service or other valuable consideration'' shall not
include any service or property furnished without charge
Communications Act of 1934 169 or at a nominal charge for use on, or in connection with, a broadcast unless it is so furnished in consideration for an identification in a broadcast of
any person, product, service, trademark, or brand name beyond an identification which is reasonably related to the use of such service or property on the broadcast. (2) Nothing in this
section shall preclude the Commission from requiring that an appropriate announcement shall be made at the time of the broadcast in the case of any political program or any program involving
the discussion of any controversial issue for which any films, records, transcriptions, talent, scripts, or other material or service of any kind have been furnished, without charge
or at a nominal charge, directly or indirectly, as an inducement to the broadcast of such program. (b) In any case where a report has been made to a radio station, as required by section
507 of this Act, of circumstances which would have required an announcement under this section had the consideration been received by such radio station, an appropriate announcement
shall be made by such radio station. (c) The licensee of each radio station shall exercise reasonable diligence to obtain from its employees, and from other persons with whom it deals
directly in connection with any program or program matter for broadcast, information to enable such licensee to make the announcement required by this section. (d) The Commission may
waive the requirement of an announcement as provided in this section in any case or class of cases with respect to which it determines that the public interest, convenience, or necessity
does not require the broadcasting of such announcement. (e) The Commission shall prescribe appropriate rules and regulations to carry out the provisions of this section. SEC. 318. [47
U.S.C. 318] OPERATION OF TRANSMITTING APPARATUS. The actual operation of all transmitting apparatus in any radio station for which a station license is required by this Act shall be
carried on only by a person holding an operator's license issued hereunder, and no person shall operate any such apparatus in such station except under and in accordance with an operator's
license issued to him by the Commission: Provided, however, That the Commission if it shall find that the public interest, convenience, or necessity will be served thereby may waive
or modify the foregoing provisions of this section for the operation of any station except (1) stations for which licensed operators are required by international agreement, (2) stations
for which licensed operators are required for safety purposes, and (3) stations operated as common carriers on frequencies below thirty thousand kilocycles: Provided further, That the
Commission shall have power to make special regulations governing the granting of licenses for the use of automatic radio devices and for the operation of such devices.
Communications Act of 1934 170 SEC. 319. [47 U.S.C. 319] CONSTRUCTION PERMITS. (a) No license shall be issued under the authority of this Act for the operation of any station unless
a permit for its construction has been granted by the Commission. The application for a construction permit shall set forth such facts as the Commission by regulation may prescribe as
to the citizenship, character, and the financial, technical, and other ability of the applicant to construct and operate the station, the ownership and location of the proposed station
and of the station or stations with which it is proposed to communicate, the frequencies desired to be used, the hours of the day or other periods of time during which it is proposed
to operate the station, the purpose for which the station is to be used, the type of transmitting apparatus to be used, the power to be used, the date upon which the station is expected
to be completed and in operation, and such other information as the Commission may require. Such application shall be signed by the applicant in any manner or form, including by electronic
means, as the Commission may prescribe by regulation. (b) Such permit for construction shall show specifically the earliest and latest dates between which the actual operation of such
station is expected to begin, and shall provide that said permit will be automatically forfeited if the station is not ready for operation within the time specified or within such further
time as the Commission may allow, unless prevented by causes not under the control of the grantee. (c) Upon the completion of any station for the construction or continued construction
of which a permit has been granted, and upon it being made to appear to the Commission that all the terms, conditions, and obligations set forth in the application and permit have been
fully met, and that no cause or circumstance arising or first coming to the knowledge of the Commission since the granting of the permit would, in the judgment of the Commission, make
the operation of such station against the public interest, the Commission shall issue a license to the lawful holder of said permit for the operation of said station. Said license shall
conform generally to the terms of said permit. The provisions of section 309 (a), (b), (c), (d), (e), (f), and (g) shall not apply with respect any station license the issuance of which
is provided for and governed by the provisions of this subsection. (d) A permit for construction shall not be required for Government stations, amateur stations, or mobile stations.
A permit for construction shall not be required for public coast stations, privately owned fixed microwave stations, or stations licensed to common carriers, unless the Commission determines
that the public interest, convenience, and necessity would be served by requiring such permits for any such stations. With respect to any broadcasting station, the Commission shall not
have any authority to waive the requirement of a permit for construction, except that the Commission may by regulation determine that a
Communications Act of 1934 171 permit shall not be required for minor changes in the facilities of authorized broadcast stations. With respect to any other station or class of stations,
the Commission shall not waive the requirement for a construction permit unless the Commission determines that the public interest, convenience, and necessity would be served by such
a waiver. SEC. 320. [47 U.S.C. 320] DESIGNATION OF STATIONS LIABLE TO INTERFERE WITH DISTRESS SIGNALS. The Commission is authorized to designate from time to time radio stations the
communications or signals of which, in its opinion, are liable to interfere with the transmission or reception of distress signals of ships. Such stations are required to keep a licensed
radio operator listening in on the frequencies designated for signals of distress and radio communications relating thereto during the entire period the transmitter of such station is
in operation. SEC. 321. [47 U.S.C. 321] DISTRESS SIGNALS AND COMMUNICATIONS. (a) The transmitting set in a radio station on shipboard may be adjusted in such a manner as to produce a
maximum of radiation, irrespective of the amount of interference which may thus be caused, when such station is sending radio communications or signals of distress and radio communications
relating thereto. (b) All radio stations, including Government stations and stations on board foreign vessels when within the territorial waters of the United States, shall give absolute
priority to radio communications or signals relating to ships in distress; shall cease all sending on frequencies which will interfere with hearing a radio communication or signal of
distress, and, except when engaged in answering or aiding the ship in distress, shall refrain from sending any radio communications or signals until there is assurance that no interference
will be caused with the radio communications or signals relating thereto, and shall assist the vessel in distress, so far as possible, by complying with its instructions. SEC. 322. [47
U.S.C. 322] INTERCOMMUNICATION IN MOBILE SERVICE. Every land station open to general public service between the coast and vessels or aircraft at sea shall, within the scope of its normal
operations, be bound to exchange radio communications or signals with any ship or aircraft station at sea; and each station on shipboard or aircraft at sea shall, within the scope of
its normal operations, be bound to exchange radio communications or signals with any other station on shipboard or aircraft at sea or with any land station open to general public service
between the coast and vessels or aircraft at sea: Provided, That such exchange of radio communication shall be without distinction as to radio systems or instruments adopted by each
station.
Communications Act of 1934 172 SEC. 323. [47 U.S.C. 323] INTERFERENCE BETWEEN GOVERNMENT AND COMMERCIAL STATIONS. (a) At all places where Government and private or commercial radio stations
on land operate in such close proximity that interference with the work of Government stations cannot be avoided when they are operating simultaneously, such private or commercial stations
as do interfere with the transmission or reception of radio communications or signals by the Government stations concerned shall not use their transmitters during the first fifteen minutes
of each hour, local standard time. (b) The Government stations for which the above-mentioned division of time is established shall transmit radio communications or signals only during
the first fifteen minutes of each hour, local standard time, except in case of signals or radio communications relating to vessels in distress and vessel requests for information as
to course, location, or compass direction. SEC. 324. [47 U.S.C. 324] USE OF MINIMUM POWER. In all circumstances, except in case of radio communications or signals relating to vessels
in distress, all radio stations, including those owned and operated by the United States, shall use the minimum amount of power necessary to carry out the communication desired. SEC.
325. [47 U.S.C. 325] FALSE DISTRESS SIGNALS; REBROADCASTING; STUDIOS OF FOREIGN STATIONS. (a) No person within the jursidiction of the United States shall knowingly utter or transmit,
or cause to be uttered or transmitted, any false or fraudulent signals of distress, or communication relating thereto, nor shall any broadcasting station rebroadcast the program or any
part thereof of another broadcasting station without the express authority of the originating station. (b)(1) Following the date that is one year after the date of enactment of the Cable
Television Consumer Protection and Competition Act of 1992, no cable system or other multichannel video programming distributor shall retransmit the signal of a broadcasting station,
or any any part thereof, except--(A) with the express authority of the originating station; or (B) pursuant to section 614, in the case of a station electing, in accordance with this
subsection, to assert the right to carriage under such section. (2) The provisions of this subsection shall not apply to--(A) retransmission of the signal of a noncommercial broadcasting
station;(B) retransmission directly to a home satellite antenna of the signal of a broadcasting station that is not owned or operated by, or affiliated with, a broadcasting network,
if such signal was retransmitted by a satellite
Communications Act of 1934 173 carrier on May 1, 1991; (C) retransmission of the signal of a broadcasting station that is owned or operated by, or affiliated with, a broadcasting network
directly to a home satellite antenna, if the household receiving the signal is an unserved household; or (D) retransmission by a cable operator or other multichannel video programming
distributor of the signal of a superstation if such signal was obtained from a satellite carrier and the originating station was a superstation on May 1, 1991. For purposes of this paragraph,
the terms ''satellite carrier'', ''superstation'', and ''unserved household'' have the meanings given those terms, respectively, in section 119(d) of title 17, United States Code, as
in effect on the date of enactment of the Cable Television Consumer Protection and Competition Act of 1992. (3)(A) Within 45 days after the date of enactment of the Cable Television
Consumer Protection and Competition Act of 1992, the Commission shall commence a rulemaking proceeding to establish regulations to govern the exercise by television broadcast stations
of the right to grant retransmission consent under this subsection and of the right to signal carriage under section 614, and such other regulations as are necessary to administer the
limitations contained in paragraph (2). The Commission shall consider in such proceeding the impact that the grant of retransmission consent by television stations may have on the rates
for the basic service tier and shall ensure that the regulations prescribed under this subsection do not conflict with the Commission's obligation under section 623(b)(1) to ensure that
the rates for the basic service tier are reasonable. Such rulemaking proceeding shall be completed within 180 days after the date of enactment of the Cable Television Consumer Protection
and Competition Act of 1992. (B) The regulations required by subparagraph (A) shall require that television stations, within one year after the date of enactment of the Cable Television
Consumer Protection and Competition Act of 1992 and every three years thereafter, make an election between the right to grant retransmission consent under this subsection and the right
to signal carriage under section 614. If there is more than one cable system which services the same geographic area, a station's election shall apply to all such cable systems. (4)
If an originating television station elects under paragraph (3)(B) to exercise its right to grant retransmission consent under this subsection with respect to a cable system, the provisions
of section 614 shall not apply to the carriage of the signal of such station by such cable system. (5) The exercise by a television broadcast station of the right to grant retransmission
consent under this subsection shall not interfere with or supersede the rights under section 614 or 615 of any station electing to assert the right to signal carriage under that section.
(6) Nothing in this section shall be construed as modifying the compulsory
Communications Act of 1934 174 copyright license established in section 111 of title 17, United States Code, or as affecting existing or future video programming licensing agreements
between broadcasting stations and video programmers. (c) No person shall be permitted to locate, use, or maintain a radio broadcast studio or other place or apparatus from which or whereby
sound waves are converted into electrical energy, or mechanical or physical reproduction of sound waves produced, and caused to be transmitted or delivered to a radio station in a foreign
country for the purpose of being broadcast from any radio station there having a power output of sufficient intensity and/or being so located geographically that its emissions may be
received consistently in the United States, without first obtaining a permit from the Commission upon proper application therefor. (d) Such application shall contain such information
as the Commission may by regulation prescribe, and the granting or refusal thereof shall be subject to the requirements of section 309 hereof with respect to applications for station
licenses or renewal or modification thereof, and the license or permission so granted shall be revocable for false statements in the application so required or when the Commission, after
hearings, shall find its continuation no longer in the public interest. SEC. 326. [47 U.S.C. 326] CENSORSHIP; INDECENT LANGUAGE. Nothing in this Act shall be understood or construed
to give the Commission the power of censorship over the radio communications or signals transmitted by any radio station, and no regulation or condition shall be promulgated or fixed
by the Commission which shall interfere with the right of free speech by means of radio communication. SEC. 327. [47 U.S.C. 327] USE OF NAVAL STATIONS FOR COMMERCIAL MESSAGES. The Secretary
of the Navy is hereby authorized, unless restrained by international agreement, under the terms and conditions and at rates prescribed by him, which rates shall be just and reasonable,
and which, upon complaint, shall be subject to review and revision by the Commission, to use all radio stations and apparatus, wherever located, owned by the United States and under
the control of the Navy Department, (a) for the reception and transmission of press messages offered by any newspaper published in the United States, its Territories or possessions,
or published by citizens of the United States in foreign countries, or by any press association of the United States, and (b) for the reception and transmission of private commercial
messages between ships, between ship and shore, between localities in Alaska and between Alaska and the continental United States: Provided, That the rates fixed for the reception and
transmission of all such
Communications Act of 1934 175 messages, other than press messages between the Pacific coast of the United States, Hawaii, Alaska, Guam, American Samoa, and the Orient, and between the
United States and the Virgin Islands, shall not be less than the rates charged by privately owned and operated stations for like messages and service: Provided further, That the right
to use such stations for any of the purposes named in this section shall terminate and cease as between any countries or localities or between any locality and privately operated ships
whenever privately owned and operated stations are capable of meeting the normal communication requirements between such countries or localities or between any locality and privately
operated ships, and the Commission shall have notified the Secretary of the Navy thereof. [Section 328 was repealed by Public Law 103-414, section 304(a)(10), 108 Stat. 4296-7.] SEC.
329. [47 U.S.C. 329] ADMINISTRATION OF RADIO LAWS IN TERRITORIES AND POSSESSIONS. The Commission is authorized to designate any officer or employee of any other department of the Government
on duty in any Territory or possession of the United States to render therein such service in connection with the administration of this Act as the Commission may prescribe and also
to designate any officer or employee of any other department of the Government to render such services at any place within the United States in connection with the administration of
title III of this Act as may be necessary: Provided, That such designation shall be approved by the head of the department in which such person is employed. SEC. 330. [47 U.S.C. 330]
PROHIBITION AGAINST SHIPMENT OF CERTAIN TELEVISION RECEIVERS. (a) No person shall ship in interstate commerce, or import from any foreign country into the United States, for sale or
resale to the public, apparatus described in paragraph (s) of section 303 unless it complies with rules prescribed by the Commission pursuant to the authority granted by that paragraph:
Provided, That this section shall not apply to carriers transporting such apparatus without trading in it. (b) No person shall ship in interstate commerce, manufacture, assemble, or
import from any foreign country into the United States, any apparatus described in section 303(u) of this Act except in accordance with rules prescribed by the Commission pursuant to
the authority granted by that section. Such rules shall provide performance and display standards for such built-in decoder circuitry. Such rules shall further require that all such
apparatus be able to receive and display closed captioning which have been transmitted by way of line 21 of the vertical blanking interval and which conform to the signal and display
specifications set forth in the Public Broadcasting System engineering report
Communications Act of 1934 176 numbered E-7709-C dated May 1980, as amended by the Telecaption II Decoder Module Performance Specification published by the National Captioning Institute,
November 1985. As new video technology is developed, the Commission shall take such action as the Commission determines appropriate to ensure that closedcaptioning service continues
to be available to consumers. This subsection shall not apply to carriers transporting such apparatus without trading it. (c)(1) Except as provided in paragraph (2), no person shall
ship in interstate commerce or manufacture in the United States any apparatus described in section 303(x) of this Act except in accordance with rules prescribed by the Commission pursuant
to the authority granted by that section. (2) This subsection shall not apply to carriers transporting apparatus referred to in paragraph (1) without trading in it. (3) The rules prescribed
by the Commission under this subsection shall provide for the oversight by the Commission of the adoption of standards by industry for blocking technology. Such rules shall require that
all such apparatus be able to receive the rating signals which have been transmitted by way of line 21 of the vertical blanking interval and which conform to the signal and blocking
specifications established by industry under the supervision of the Commission. (4) As new video technology is developed, the Commission shall take such action as the Commission determines
appropriate to ensure that blocking service continues to be available to consumers. If the Commission determines that an alternative blocking technology exists that--(A) enables parents
to block programming based on identifying programs without ratings, (B) is available to consumers at a cost which is comparable to the cost of technology that allows parents to block
programming based on common ratings, and (C) will allow parents to block a broad range of programs on a multichannel system as effectively and as easily as technology that allows parents
to block programming based on common ratings, the Commission shall amend the rules prescribed pursuant to section 303(x) to require that the apparatus described in such section be equipped
with either the blocking technology described in such section or the alternative blocking technology described in this paragraph. (d) For the purposes of this section, and sections 303(s),
303(u), and 303(x)--(1) The term ''interstate commerce'' means (A) commerce between any State, the District of Columbia, the Commonwealth of Puerto Rico, or any possession of the United
States and any place outside thereof which is within the United States, (B) commerce between points in the same State, the District of Columbia, the Commonwealth of Puerto Rico, or possession
of the United States but through any place outside thereof, or (C)
Communications Act of 1934 177 commerce wholly within the District of Columbia or any possession of the United States. (2) The term ''United States'' means the several States, the District
of Columbia, the Commonwealth of Puerto Rico, and the possessions of the United States, but does not include the Canal Zone. SEC. 331. [47 U.S.C. 331] VERY HIGH FREQUENCY STATIONS AND
AM RADIO STATIONS. (a) VERY HIGH FREQUENCY STATIONS.--It shall be the policy of the Federal Communications Commission to allocate channels for very high frequency commercial television
broadcasting in a manner which ensures that not less than one such channel shall be allocated to each State, if technically feasible. In any case in which licensee of a very high frequency
commercial television broadcast station notifies the Commission to the effect that such licensee will agree to the reallocation of its channel to a community within a State in which
there is allocated no very high frequency commercial television broadcast channel at the time time such notification, the Commission shall, not withstanding any other provision of law,
order such reallocation and issue a license to such licensee for that purpose pursuant to such notification for a term of not to exceed 5 years as provided in section 307(d) of the Communications
Act of 1934. (b) AM RADIO STATIONS.--It shall be the policy of the Commission, in any case in which the licensee of an existing AM daytime-only station located in a community with a
population of
more than 100,000 persons that lacks a local fulltime aural station licensed to that community and that is located within a Class I station primary service area notifies the Commission
that such licensee seeks to provide full-time service, to ensure that such a licensee is able to place a principal community contour signal over its entire community of license 24 hours
a day, if technically feasible. The Commission shall report to the appropriate committees of Congress within 30 days after the date of enactment of this Act on how it intends to meet
this policy goal. SEC. 332. [47 U.S.C. 332] MOBILE SERVICES. (a) In taking actions to manage the spectrum to be made available for use by the private mobile service, the Commission shall
consider, consitent with section 1 of this Act, whether such actions will_ (1) promote the safety of life and property; (2) improve the efficiency of spectrum use and reduce the regulatory
burden upon spectrum users, based upon sound engineering principles, user operational requirements, and marketplace demands; (3) encourage competition and provide services to the largest
feasible number of users; or (4) increase interservice sharing opportunities between private
Communications Act of 1934 178 mobile services and other services. (b)(1) The Commission, in coordinating the assignment of frequencies to stations in the private mobile services and
in the fixed services (as defined by the Commission by rule), shall have authority to utilize assistance furnished by advisory coordinating committees consisting of individuals who are
not officers or employees of the Federal Government. (2) The authority of the Commission established in this subsection shall not be subject to or affected by the provisions of part
III of title 5, United States Code, or section 3679(b) of the Revised Statutes (31 U.S.C. 665(b)). (3) Any person who provides assistance to the Commission under this subsection shall
not be considered, by reason of having provided such assistance, a Federal employee. (4) Any advisory coordinating committee which furnishes assistance to the Commission under this subsection
shall not be subject to the provisions of the Federal Advisory Committee Act. (c) REGULATORY TREATMENT OF MOBILE SERVICES.--(1) COMMON CARRIER TREATMENT OF COMMERCIAL MOBILE SERVICES.--(A)
A person engaged in the provision of a service that is a commercial mobile service shall, insofar as such person is so engaged, be treated as a common carrier for purposes of this Act,
except for such provisions of title II as the Commission may specify by regulation as inapplicable to that service or person. In prescribing or amending any such regulation, the Commission
may not specify any provision of section 201, 202, or 208, and may specify any other provision only if the Commission determines that--(i) enforcement of such provision is not necessary
in order to ensure that the charges, practices, classifications, or regulations for or in connection with that service are just and reasonable and are not unjustly or unreasonably discriminatory;
(ii) enforcement of such provision is not necessary for the protection of consumers; and (iii) specifying such provision is consistent with the public interest. (B) Upon reasonable request
of any person providing commercial mobile service, the Commission shall order a common carrier to establish physical connections with such service pursuant to the provisions of section
201 of this Act. Except to the extent that the Commission is required to respond to such a request, this subparagraph shall not be construed as a limitation or expansion of the Commission's
authority to order interconnection pursuant to this Act. (C) The Commission shall review competitive market conditions with respect to commercial mobile services and shall include in
its annual
Communications Act of 1934 179 report an analysis of those conditions. Such analysis shall include an identification of the number of competitors in various commercial mobile services,
an analysis of whether or not there is effective competition, an analysis of whether any of such competitors have a dominant share of the market for such services, and a statement of
whether additional providers or classes of providers in those services would be likely to enhance competition. As a part of making a determination with respect to the public interest
under subparagraph (A)(iii), the Commission shall consider whether the proposed regulation (or amendment thereof) will promote competitive market conditions, including the extent to
which such regulation (or amendment) will enhance competition among providers of commercial mobile services. If the Commission determines that such regulation (or amendment) will promote
competition among providers of commercial mobile services, such determination may be the basis for a Commission finding that such regulation (or amendment) is in the public interest.(D)
The Commission shall, not later than 180 days after the date of enactment of this subparagraph, complete a rulemaking required to implement this paragraph with respect to the licensing
of personal communications services, including making any determinations required by subparagraph (C). (2) NON-COMMON CARRIER TREATMENT OF PRIVATE MOBILE SERVICES.--A person engaged
in the provision of a service that is a private mobile service shall not, insofar as such person is so engaged, be treated as a common carrier for any purpose under this Act. A common
carrier (other than a person that was treated as a provider of a private land mobile service prior to the enactment of the Omnibus Budget Reconciliation Act of 1993) shall not provide
any dispatch service on any frequency allocated for common carrier service, except to the extent such dispatch service is provided on stations licensed in the domestic public land mobile
radio service before January 1, 1982. The Commission may by regulation terminate, in whole or in part, the prohibition contained in the preceding sentence if the Commission determines
that such termination will serve the public interest. (3) STATE PREEMPTION.--(A) Notwithstanding sections 2(b) and 221(b), no State or local government shall have any authority to regulate
the entry of or the rates charged by any commercial mobile service or any private mobile service, except that this paragraph shall not prohibit a State from regulating the other terms
and conditions of commercial mobile services. Nothing in this subparagraph shall exempt providers of commercial mobile services (where such services are a substitute for land line telephone
exchange service for a substantial portion of the
Communications Act of 1934 180 communications within such State) from requirements imposed by a State commission on all providers of telecommunications services necessary to ensure the
universal availability of telecommunications service at affordable rates. Notwithstanding the first sentence of this subparagraph, a State may petition the Commission for authority to
regulate the rates for any commercial mobile service and the Commission shall grant such petition if such State demonstrates that--(i) market conditions with respect to such services
fail to protect subscribers adequately from unjust and unreasonable rates or rates that are unjustly or unreasonably discriminatory; or (ii) such market conditions exist and such service
is a replacement for land line telephone exchange service for a substantial portion of the telephone land line exchange service within such State. The Commission shall provide reasonable
opportunity for public comment in response to such petition, and shall, within 9 months after the date of its submission, grant or deny such petition. If the Commission grants such petition,
the Commission shall authorize the State to exercise under State law such authority over rates, for such periods of time, as the Commission deems necessary to ensure that such rates
are just and reasonable and not unjustly or unreasonably discriminatory. (B) If a State has in effect on June 1, 1993, any regulation concerning the rates for any commercial mobile service
offered in such State on such date, such State may, no later than 1 year after the date of enactment of the Omnibus Budget Reconciliation Act of 1993, petition the Commission requesting
that the State be authorized to continue exercising authority over such rates. If a State files such a petition, the State's existing regulation shall, notwithstanding subparagraph (A),
remain in effect until the Commission completes all action (including any reconsideration) on such petition. The Commission shall review such petition in accordance with the procedures
established in such subparagraph, shall complete all action (including any reconsideration) within 12 months after such petition is filed, and shall grant such petition if the State
satisfies the showing required under subparagraph (A)(i) or (A)(ii). If the Commission grants such petition, the Commission shall authorize the State to exercise under State law such
authority over rates, for such period of time, as the Commission deems necessary to ensure that such rates are just and reasonable and not unjustly or unreasonably discriminatory. After
a reasonable period of time, as determined by the Commission, has elapsed from the issuance of an order under subparagraph (A) or this subparagraph, any interested party may petition
the Commission for an order that the exercise of authority by a State pursuant to such subparagraph is no longer
Communications Act of 1934 181 necessary to ensure that the rates for commercial mobile services are just and reasonable and not unjustly or unreasonably discriminatory. The Commission
shall provide reasonable opportunity for public comment in response to such petition, and shall, within 9 months after the date of its submission, grant or deny such petition in whole
or in part. (4) REGULATORY TREATMENT OF COMMUNICATIONS SATELLITE CORPORATION.--Nothing in this subsection shall be construed to alter or affect the regulatory treatment required by title
IV of the Communications Satellite Act of 1962 of the corporation authorized by title III of such Act. (5) SPACE SEGMENT CAPACITY.--Nothing in this section shall prohibit the Commission
from continuing to determine whether the provision of space segment capacity by satellite systems to providers of commercial mobile services shall be treated as common carriage. (6)
FOREIGN OWNERSHIP.--The Commission, upon a petition for waiver filed within 6 months after the date of enactment of the Omnibus Budget Reconciliation Act of 1993, may waive the application
of section 310(b) to any foreign ownership that lawfully existed before May 24, 1993, of any provider of a private land mobile service that will be treated as a common carrier as a result
of the enactment of the Omnibus Budget Reconciliation Act of 1993, but only upon the following conditions: (A) The extent of foreign ownership interest shall not be increased above the
extent which existed on May 24, 1993. (B) Such waiver shall not permit the subsequent transfer of ownership to any other person in violation of section 310(b). (7) PRESERVATION OF LOCAL
ZONING AUTHORITY.--(A) GENERAL AUTHORITY.--Except as provided in this paragraph, nothing in this Act shall limit or affect the authority of a State or local government or instrumentality
thereof over decisions regarding the placement, construction, and modification of personal wireless service facilities. (B) LIMITATIONS.--(i) The regulation of the placement, construction,
and modification of personal wireless service facilities by any State or local government or instrumentality thereof--(I) shall not unreasonably discriminate among providers of functionally
equivalent services; and (II) shall not prohibit or have the effect of prohibiting the provision of personal wireless services. (ii) A State or local government or instrumentality thereof
shall act on any request for authorization to place,
Communications Act of 1934 182 construct, or modify personal wireless service facilities within a reasonable period of time after the request is duly filed with such government or instrumentality,
taking into account the nature and scope of such request. (iii) Any decision by a State or local government or instrumentality thereof to deny a request to place, construct, or modify
personal wireless service facilities shall be in writing and supported by substantial evidence contained in a written record. (iv) No State or local government or instrumentality thereof
may regulate the placement, construction, and modification of personal wireless service facilities on the basis of the environmental effects of radio frequency emissions to the extent
that such facilities comply with the Commission's regulations concerning such emissions. (v) Any person adversely affected by any final action or failure to act by a State or local government
or any instrumentality thereof that is inconsistent with this subparagraph may, within 30 days after such action or failure to act, commence an action in any court of competent jurisdiction.
The court shall hear and decide such action on an expedited basis. Any person adversely affected by an act or failure to act by a State or local government or any instrumentality thereof
that is inconsistent with clause (iv) may petition the Commission for relief. (C) DEFINITIONS.--For purposes of this paragraph--(i) the term ''personal wireless services'' means commercial
mobile services, unlicensed wireless services, and common carrier wireless exchange access services; (ii) the term ''personal wireless service facilities'' means facilities for the provision
of personal wireless services; and (iii) the term ''unlicensed wireless service'' means the offering of telecommunications services using duly authorized devices which do not require
individual licenses, but does not mean the provision of direct-to-home satellite services (as defined in section 303(v)). (8) MOBILE SERVICES ACCESS.--A person engaged in the provision
of commercial mobile services, insofar as such person is so engaged, shall not be required to provide equal access to common carriers for the provision of telephone toll services. If
the Commission determines that subscribers to such services are denied access to the provider of telephone
Communications Act of 1934 183 toll services of the subscribers' choice, and that such denial is contrary to the public interest, convenience, and necessity, then the Commission shall
prescribe regulations to afford subscribers unblocked access to the provider of telephone toll services of the subscribers' choice through the use of a carrier identification code assigned
to such provider or other mechanism. The requirements for unblocking shall not apply to mobile satellite services unless the Commission finds it to be in the public interest to apply
such requirements to such services. (d) DEFINITIONS.--For purposes of this section--(1) the term ''commercial mobile service'' means any mobile service (as defined in section 3) that
is provided for profit and makes interconnected service available (A) to the public or (B) to such classes of eligible users as to be effectively available to a substantial portion of
the public, as specified by regulation by the Commission; (2) the term ''interconnected service'' means service that is interconnected with the public switched network (as such terms
are defined by regulation by the Commission) or service for which a request for interconnection is pending pursuant to subsection (c)(1)(B); and (3) the term ''private mobile service''
means any mobile service (as defined in section 3) that is not a commercial mobile service or the functional equivalent of a commercial mobile service, as specified by regulation by
the Commission. SEC. 333. [47 U.C.S. 333] WILLFUL OR MALICIOUS INTERFERENCE. No person shall willfully or maliciously interfere with or cause interference to any radio communications
of any station licensed or authorized by or under this Act or operated by the United States Government. SEC. 334. [47 U.C.S. 334] LIMITATION ON REVISION OF EQUAL EMPLOYMENT OPPORTUNITY
REGULATIONS. (a) LIMITATION.--Except as specifically provided in this section, the Commission shall not revise--(1) the regulations concerning equal employment opportunity as in effect
on September 1, 1992 (47 C.F.R. 73.2080) as such regulations apply to television broadcast station licensees and permittees; or (2) the forms used by such licensees and permittees to
report pertinent employment data to the Commission. (b) MIDTERM REVIEW.--The Commission shall revise the regulations described in subsection (a) to require a midterm review of television
broadcast station licensees' employment practices and to require the Commission to inform such licensees of necessary improvements in recruitment practices identified as a consequence
of such review.
Communications Act of 1934 184 (c) AUTHORITY TO MAKE TECHNICAL REVISIONS.--The Commission may revise the regulations described in subsection (a) to make nonsubstantive technical or clerical
revisions in such regulations as necessary to reflect changes in technology, terminology, or Commission organization. SEC. 335. [47 U.C.S. 335] DIRECT BROADCAST SATELLITE SERVICE OBLIGATIONS.
(a) PROCEEDING REQUIRED TO REVIEW DBS RESPONSIBILITIES.--The Commission shall, within 180 days after the date of enactment of this section, initiate a rulemaking proceeding to impose,
on providers of direct broadcast satellite service, public interest or other requirements for providing video programming. Any regulations prescribed pursuant to such rulemaking shall,
at a minimum, apply the access to broadcast time requirement of section 312(a)(7) and the use of facilities requirements of section 315 to providers of direct broadcast satellite service
providing video programming. Such proceeding also shall examine the opportunities that the establishment of direct broadcast satellite service provides for the principle of localism
under this Act, and the methods by which such principle may be served through technological and other developments in, or regulation of, such service. (b) CARRIAGE OBLIGATIONS FOR NONCOMMERCIAL,
EDUCATIONAL, AND INFORMATIONAL PROGRAMMING.--(1) CHANNEL CAPACITY REQUIRED.--The Commission shall require, as a condition of any provision, initial authorization, or authorization renewal
for a provider of direct broadcast satellite service providing video programming, that the provider of such service reserve a portion of its channel capacity, equal to not less than
4 percent nor more than 7 percent, exclusively for noncommercial programming of an educational or informational nature. (2) USE OF UNUSED CHANNEL CAPACITY.--A provider of such service
may utilize for any purpose any unused channel capacity required to be reserved under this subsection pending the actual use of such channel capacity for noncommercial programming of
an educational or informational nature. (3) PRICES, TERMS, AND CONDITIONS; EDITORIAL CONTROL.--A provider of direct broadcast satellite service shall meet the requirements of this subsection
by making channel capacity available to national educational programming suppliers, upon reasonable prices, terms, and conditions, as determined by the Commission under paragraph (4).
The provider of direct broadcast satellite service shall not exercise any editorial control over any video programming provided pursuant to this subsection. (4) LIMITATIONS.--In determining
reasonable prices under paragraph (3)--
Communications Act of 1934 185 (A) the Commission shall take into account the nonprofit character of the programming provider and any Federal funds used to support such programming;
(B) the Commission shall not permit such prices to exceed, for any channel made available under this subsection, 50 percent of the total direct costs of making such channel available;
and (C) in the calculation of total direct costs, the Commission shall exclude--(i) marketing costs, general administrative costs, and similar overhead costs of the provider of direct
broadcast satellite service; and (ii) the revenue that such provider might have obtained by making such channel available to a commercial provider of video programming. (5) DEFINITIONS.--For
purposes of this subsection--(A) The term ''provider of direct broadcast satellite service'' means--(i) a licensee for a Ku-band satellite system under part 100 of title 47 of the Code
of Federal Regulations; or (ii) any distributor who controls a minimum number of channels (as specified by Commission regulation) using a Ku-band fixed service satellite system for the
provision of video programming directly to the home and licensed under part 25 of title 47 of the Code of Federal Regulations. (B) The term ''national educational programming supplier''
includes any qualified noncommercial educational television station, other public telecommunications entities, and public or private educational institutions. SEC. 336. [47 U.S.C. 336]
BROADCAST SPECTRUM FLEXIBILITY. (a) COMMISSION ACTION.--If the Commission determines to issue additional licenses for advanced television services, the Commission--(1) should limit the
initial eligibility for such licenses to persons that, as of the date of such issuance, are licensed to operate a television broadcast station or hold a permit to construct such a station
(or both); and (2) shall adopt regulations that allow the holders of such licenses to offer such ancillary or supplementary services on designated frequencies as may be consistent with
the public interest, convenience, and necessity. (b) CONTENTS OF REGULATIONS.--In prescribing the regulations required by subsection (a), the Commission shall--(1) only permit such licensee
or permittee to offer ancillary or supplementary services if the use of a designated frequency for such
Communications Act of 1934 186 services is consistent with the technology or method designated by the Commission for the provision of advanced television services; (2) limit the broadcasting
of ancillary or supplementary services on designated frequencies so as to avoid derogation of any advanced television services, including high definition television broadcasts, that
the Commission may require using such frequencies; (3) apply to any other ancillary or supplementary service such of the Commission's regulations as are applicable to the offering of
analogous services by any other person, except that no ancillary or supplementary service shall have any rights to carriage under section 614 or 615 or be deemed a multichannel video
programming distributor for purposes of section 628; (4) adopt such technical and other requirements as may be necessary or appropriate to assure the quality of the signal used to provide
advanced television services, and may adopt regulations that stipulate the minimum number of hours per day that such signal must be transmitted; and (5) prescribe such other regulations
as may be necessary for the protection of the public interest, convenience, and necessity. (c) RECOVERY OF LICENSE.--If the Commission grants a license for advanced television services
to a person that, as of the date of such issuance, is licensed to operate a television broadcast station or holds a permit to construct such a station (or both), the Commission shall,
as a condition of such license, require that either the additional license or the original license held by the licensee be surrendered to the Commission for reallocation or reassignment
(or both) pursuant to Commission regulation. (d) PUBLIC INTEREST REQUIREMENT.--Nothing in this section shall be construed as relieving a television broadcasting station from its obligation
to serve the public interest, convenience, and necessity. In the Commission's review of any application for renewal of a broadcast license for a television station that provides ancillary
or supplementary services, the television licensee shall establish that all of its program services on the existing or advanced television spectrum are in the public interest. Any violation
of the Commission rules applicable to ancillary or supplementary services shall reflect upon the licensee's qualifications for renewal of its license. (e) FEES.--(1) SERVICES TO WHICH
FEES APPLY.--If the regulations prescribed pursuant to subsection (a) permit a licensee to offer ancillary or supplementary services on a designated frequency--(A) for which the payment
of a subscription fee is required in order to receive such services, or (B) for which the licensee directly or indirectly receives
Communications Act of 1934 187 compensation from a third party in return for transmitting material furnished by such third party (other than commercial advertisements used to support
broadcasting for which a subscription fee is not required), the Commission shall establish a program to assess and collect from the licensee for such designated frequency an annual fee
or other schedule or method of payment that promotes the objectives described in subparagraphs (A) and (B) of paragraph (2). (2) COLLECTION OF FEES.--The program required by paragraph
(1) shall--(A) be designed (i) to recover for the public a portion of the value of the public spectrum resource made available for such commercial use, and (ii) to avoid unjust enrichment
through the method employed to permit such uses of that resource; (B) recover for the public an amount that, to the extent feasible, equals but does not exceed (over the term of the
license) the amount that would have been recovered had such services been licensed pursuant to the provisions of section 309(j) of this Act and the Commission's regulations thereunder;
and (C) be adjusted by the Commission from time to time in order to continue to comply with the requirements of this paragraph. (3) TREATMENT OF REVENUES.--(A) GENERAL RULE.--Except
as provided in subparagraph (B), all proceeds obtained pursuant to the regulations required by this subsection shall be deposited in the Treasury in accordance with chapter 33 of title
31, United States Code. (B) RETENTION OF REVENUES.--Notwithstanding subparagraph (A), the salaries and expenses account of the Commission shall retain as an offsetting collection such
sums as may be necessary from such proceeds for the costs of developing and implementing the program required by this section and regulating and supervising advanced television services.
Such offsetting collections shall be available for obligation subject to the terms and conditions of the receiving appropriations account, and shall be deposited in such accounts on
a quarterly basis. basis. (4) REPORT.--Within 5 years after the date of enactment of the Telecommunications Act of 1996, the Commission shall report to the Congress on the implementation
of the program required by this subsection, and shall annually thereafter advise the Congress on the amounts collected pursuant to such program. (f) EVALUATION.--Within 10 years after
the date the Commission first
Communications Act of 1934 188 issues additional licenses for advanced television services, the Commission shall conduct an evaluation of the advanced television services program. Such
evaluation shall include--(1) an assessment of the willingness of consumers to purchase the television receivers necessary to receive broadcasts of advanced television services; (2)
an assessment of alternative uses, including public safety use, of the frequencies used for such broadcasts; and (3) the extent to which the Commission has been or will be able to reduce
the amount of spectrum assigned to licensees. (g) DEFINITIONS.--As used in this section: (1) ADVANCED TELEVISION SERVICES.--The term ''advanced television services'' means television
services provided using digital or other advanced technology as further defined in the opinion, report, and order of the Commission entitled ''Advanced Television Systems and Their Impact
Upon the Existing Television Broadcast Service'', MM Docket 87-268, adopted September 17, 1992, and successor proceedings. (2) DESIGNATED FREQUENCIES.--The term ''designated frequency''
means each of the frequencies designated by the Commission for licenses for advanced television services. (3) HIGH DEFINITION TELEVISION.--The term ''high definition television'' refers
to systems that offer approximately twice the vertical and horizontal resolution of receivers generally available on the date of enactment of the Telecommunications Act of 1996, as further
defined in the proceedings described in paragraph (1) of this subsection. PART II--RADIO EQUIPMENT AND RADIO
OPERATORS ON BOARD SHIP SEC. 351. [47 U.S.C. 351] SHIP RADIO STATIONS AND OPERATIONS. (a) Except as provided in section 352 hereof it shall be unlawful--(1) For any ship of the United
States, other than a cargo ship of less than three hundred gross tons, to be navigated in the open sea outside of a harbor or port, or for any ship of the United States or any foreign
country, other than a cargo ship of less than three hundred gross tons, to leave or attempt to leave any harbor or port of the United States for a voyage in the open sea, unless such
ship is equipped with an efficient radio station in operating condition, as specified by subparagraphs (A) and (B) of this paragraph, in charge of and operated by one or more radio officers
or operators, adequately installed and protected so as to insure proper operation, and so as not to endanger the ship and radio station as
Communications Act of 1934 189 hereinafter provided, and, in the case of a ship of the United States, unless there is on board a valid station license issued in accordance with this
Act. (A) Passenger ships irrespective of size and cargo ships of one thousand six hundred gross tons and upward shall be equipped with a radiotelegraph station complying with the provisions
of this part; (B) Cargo ships of three hundred gross tons and upward but less than one thousand six hundred gross tons, unless equipped with a radiotelegraph station complying with the
provisions of this part, shall be equipped with a radiotelephone station complying with the provisions of this part. (2) For any ship of the United States of one thousand six hundred
gross tons and upward to be navigated in the open sea outside of a harbor or port, or for any such ship of the United States or any foreign country to leave or attempt to leave any harbor
or port of the United States for a voyage in the open sea, unless such ship is equipped with efficient radio direction finding apparatus approved by the Commission, properly adjusted
in operating condition as hereinafter provided. (b) A ship which is not subject to the provisions of this part at the time of its departure on a voyage shall not become subject to such
provisions on account of any deviation from its intended voyage due to stress of weather or any other cause over which neither the master, the owner, nor the charterer (if any) has control.
SEC. 352. [47 U.S.C. 352] EXCEPTIONS. (a) The provisions of this part shall not apply to--(1) A ship of war; (2) A ship of the United States belonging to and operated by the Government,
except a ship of the Maritime Administration of the Department of Transportation, the Inland and Coastwise Waterways Service, or the Panama Canal Company;6 (3) A foreign ship belonging
to a country which is a party to any Safety Convention in force between the United States and that country which ship carries a valid certificate exempting said ship from the radio provisions
of that Convention, or which ship conforms to the radio requirements of such Convention or Regulations and has on board a valid certificate to that effect, or which ship is not subject
to the radio provisions of any such Convention; (4) Yachts of less than six hundred gross tons not subject to the radio provisions of the Safety Convention; (5) Vessels in tow; (6) A
ship navigating solely on any bays, sounds, rivers, or protected waters within the jurisdiction of the United States, or to a ship leaving or attempting to leave any harbor or port of
the United States for a voyage solely on any bays, sounds, rivers, or protected waters within the jurisdiction of the United
Communications Act of 1934 190 States; (7) A ship navigating solely on the Great Lakes of North America and the River Saint Lawrence as far east as a straight line drawn from Cap des
Rosiers to West Point, Anticosti Island, and, on the north side of Anticosti Island, the sixtythird meridian, or to a ship leaving or attempting to leave any harbor or port of the United
States for a voyage solely on such waters and within such area; (8) A ship which is navigated during the course of a voyage both on the Great Lakes of North America and in the open sea,
during the period while such ship is being navigated within the Great Lakes of North America and their connecting and tributary waters as far east as the lower exit of the Saint Lambert
lock at Montreal in the Province of Quebec, Canada. (b) Except for nuclear ships, the Commission may, if it considers that the route or the conditions of the voyage or other circumstances
are such as to render a radio station unreasonable or unnecessary for the purposes of this part, exempt from the provisions of this part any ship or class of ships which falls within
any of the following descriptions: (1) Passenger ships which in the course of their voyage do not go more than twenty nautical miles from the nearest land or, alternatively, do not go
more than two hundred nautical miles between two consecutive ports; (2) Cargo ships which in the course of their voyage do not go more than one hundred and fifty nautical miles from
the nearest land; (3) Passenger vessels of less than one hundred gross tons not subject to the radio provisions of the Safety Convention; (4) Sailing ships. (c) If, because of unforeseeable
failure of equipment, a ship is unable to comply with the equipment requirements of this part without undue delay of the ship, the mileage limitations set forth in paragraphs (1) and
(2) of subsection (b) shall not apply: Provided, That exemption of the ship is found to be reasonable or necessary in accordance with subsection (b) to permit the ship to proceed to
a port where the equipment deficiency may be remedied. (d) Except for nuclear ships, and except for ships of five thousand gross tons and upward which are subject to the Safety Convention,
the Commission may exempt from the requirements, for radio direction finding apparatus, of this part and of the Safety Convention, any ship which falls within the descriptions set forth
in paragraphs (1), (2), (3), and (4) of subsection (b) of this section, if it considers that the route on conditions of the voyage or other circumstances are such as to render such apparatus
unreasonable or unnecessary. SEC. 353. [47 U.S.C. 353] RADIO OFFICERS, WATCHES, AUTO ALARM-RADIOTELEGRAPH EQUIPPED SHIPS. (a) Each cargo ship which in accordance with this part is equipped
with a radiotelegraph station and which is not equipped with a radiotelegraph auto alarm, and each passenger ship required by this part to be equipped with a radiotelegraph
Communications Act of 1934 191 station, shall, for safety purposes, carry at least two radio officers. (b) A cargo ship which in accordance with this part is equipped with a radiotelegraph
station, which is equipped with a radiotelegraph auto alarm, shall, for safety purposes, carry at least one radio officer who shall have had at least six months' previous service in
the aggregate as a radio officer in a station on board a ship or ships of the United States. (c) Each ship of the United States which in accordance with this part is equipped with a
radiotelegraph station shall, while being navigated in the open sea outside of a harbor or port, keep a continuous watch by means of radio officers whenever the station is not being
used for authorized traffic: Provided, That, in lieu thereof, on a cargo ship equipped with a radiotelegraph auto alarm in proper operating condition, a watch of at least eight hours
per day, in the aggregate, shall be maintained by means of a radio officer. (d) The Commission shall, when it finds it necessary for safety purposes, have authority to prescribe the
particular hours of watch on a ship of the United States which in accordance with this part is equipped with a radiotelegraph station. (e) On all ships of United States equipped with
a radiotelegraph auto alarm, said apparatus shall be in operation at all times while the ship is being navigated in the open sea outside of a harbor or port when the radio officer is
not on watch. SEC. 354. [47 U.S.C. 353a] OPERATORS, WATCHES--RADIOTELEPHONE EQUIPPED SHIPS. (a) Each cargo ship which in accordance with this part is equipped with a radiotelephone station
shall, for safety purposes, carry at least one operator who may be the master, an officer, or a member of the crew. (b) Each cargo ship of the United States which in accordance with
this part is equipped with a radiotelephone station shall, while being navigated in the open sea outside of a harbor or port, maintain continuous watch whenever the station is not being
used for authorized traffic. SEC. 355. [47 U.S.C. 354] TECHNICAL REQUIREMENTS--RADIOTELEGRAPH EQUIPPED SHIPS. The radiotelegraph station and the radio direction finding apparatus required
by section 351 of this part shall comply with the following requirements: (a) The radiotelegraph station shall include a main installation and a reserve installation, electrically separate
and electrically independent of each other: Provided, That, in installations on cargo ships of three hundred gross tons and upward but less than one thousand six hundred gross tons,
and in installations on cargo ships of one thousand six hundred gross tons and upward installed prior to November 19, 1952, if the main transmitter complies with all the requirements
for the reserve transmitter, the latter may be omitted. (b) The radiotelegraph station shall be so located that no harmful
Communications Act of 1934 192 interference from extraneous mechanical or other noise will be caused to the proper reception of radio signals, and shall be placed in the upper part of
the ship in a position of the greatest possible safety and as high as practicable above the deepest load waterline. The location of the radiotelegraph operating room or rooms shall be
approved by the Commandant of the Coast Guard. The radiotelegraph installation shall be installed in such a position that it will be protected against the harmful effects of water or
extremes of temperature, and shall be readily accessible both for immediate use in case of distress and for repair. (c) The radiotelegraph operating room shall be of sufficient size
and of adequate ventilation to enable the main and reserve radiotelegraph installations to be operated efficiently, and shall not be used for any purpose which will interfere with the
operation of the radiotelegraph station. The sleeping accommodation of at least one radio officer shall be situated as near as practicable to the radiotelegraph operating room. In ships
the keels of which are laid on or after May 26, 1965, this sleeping accommodation shall not be within the radiotelegraph operating room. (d) The main and reserve installations shall
be capable of transmitting and receiving on the frequencies, and using the classes of emission, designated by the Commission pursuant to law for the purposes of distress and safety of
navigation. (e) The main and reserve installations shall, when connected to the main antenna, have a minimum normal range of two hundred nautical miles and one hundred nautical miles,
respectively; that is, they must be capable of transmitting and receiving clearly perceptible signals from ship to ship by day and under normal conditions and circumstances over the
specified ranges. (f) Sufficient electrical energy shall be available at all times to operate the main installation over the normal range required by subsection (e) of this section as
well as for the purpose of of charging any batteries forming part of the radiotelegraph station.(g) The reserve installation shall include a source of electrical energy independent of
the propelling power of the ship and of any other electrical system and shall be capable of being put into operation rapidly and of working for at least six continuous hours. The reserve
source of energy and its switchboard shall be as high as practicable in the ship and readily accessible to the radio officer. (h) There shall be provided between the bridge of the ship
and the radiotelegraph operating room, and between the bridge and the location of the radio direction finding apparatus, when such apparatus is not located on the bridge, an efficient
two-way system for calling and voice communication which shall be independent of any other communication system in the ship. (i) The radio direction finding apparatus shall be efficient
and capable of receiving signals with the minimum of receiver noise and of taking bearings from which the true bearing and direction may be determined. It shall be capable of receiving
signals on the radio-telegraph frequencies assigned by the radio regulations annexed to the International Telecommunication Convention in force
Communications Act of 1934 193 for the purpose of distress, direction finding, and maritime radio beacons, and, in installations made after May 26, 1965, such other frequencies as the
Commission may for safety purposes designate. SEC. 356. [47 U.S.C. 354a] TECHNICAL REQUIREMENTS--RADIOTELEPHONE EQUIPPED SHIPS. Cargo ships of three hundred gross tons and upward but
less than one thousand six hundred gross tons may, in lieu of the radiotelegraph station prescribed by section 355, be equipped with a radiotelegraph station complying with the following
requirements: (a) The radiotelephone station shall be in the upper part of the ship, so located that it is sheltered to the greatest possible extent from noise which might impair the
correct receiption of messages and signals, and, unless such station is situated on the bridge, there shall be efficient communication with the bridge. (b) The radiotelephone installation
shall be capable of transmitting and receiving on the frequencies, and using the classes of emission, designated by the Commission pursuant to law for purposes of distress and safety
of navigation. (c) The radiotelephone installation shall have a minimum normal range of one hundred and fifty nautical miles; that is, it shall be capable of transmitting and receiving
clearly perceptible signals from ship to ship by day and under normal conditions and circumstances over this range. (d) There shall be available at all times a main source of electrical
energy sufficient to operate the installation over the normal range required by subsection (c) of this section. If batteries are provided they shall have sufficient capacity to operate
the transmitter and receiver for at least six continuous hours under normal working conditions. In installations made on or after November 19, 1952, a reserve source of electrical energy
shall be provided in the upper part of the ship unless the main source of energy is so situated. SEC. 357. [47 U.S.C. 355] SURVIVAL CRAFT. Every ship required to be provided with survival
craft radio by treaty to which the United States is a party, by statute, or by regulation made in conformity with a treaty, convention, or statute, shall be fitted with efficient radio
equipment appropriate to such requirement under such rules and regulations as the Commission may find necessary for safety of life. For purposes of this section, ''radio equipment''
shall include portable as well as nonportable apparatus. SEC. 358. [47 U.S.C. 356] APPROVAL OF INSTALLATIONS. Insofar as is necessary to carry out the purposes and requirements of this
part, the Commission shall have authority, for any ship subject to this part--(1) To approve the details as to the location and manner of installations of the equipment required by this
part of equipment
Communications Act of 1934 194 necessitated by reason of the purposes and requirements of this part. (2) To approve installations, apparatus, and spare parts necessary to comply with
the purposes and requirements of this part. (3) To prescribe such additional equipment as may be determined to be necessary to supplement that specified herein, for the proper functioning
of the radio installation installed in accordance with this part or for the proper conduct of radio communication in time of emergency or distress. SEC. 359. [47 U.S.C. 357] TRANSMISSION
OF INFORMATION. (a) The master of every ship of the United States, equipped with radio transmitting apparatus, which meets with dangerous ice, a dangerous derelict, a tropical storm,
or any other direct danger to navigation, or encounters subfreezing air temperatures associated with gale force winds causing severe ice accretion on superstructures, or winds of force
10 or above on the Beaufort scale for which no storm warning has been received, shall cause to be transmitted all pertinent information relating thereto to ships in the vicinity and
to the appropriate authorities on land, in accordance with rules and regulations issued by the Commission. When they consider it necessary, such authorities of the United States shall
promptly bring the information received by them to the knowledge of those concerned, including interested foreign authorities. (b) No charge shall be made by any ship or station in the
mobile service of the United States for the transmission, receipt, or relay of the information designated in subsection (a) originating on a ship of the United States or of a foreign
country. (c) The transmission by any ship of the United States, made in compliance with subsection (a), to any station which imposes a charge for the reception, relay, or forwarding
of the required information, shall be free of cost to the ship concerned and any communication charges incurred by the ship for transmission, relay, or forwarding of the information
may be certified to the Commission for reimbursement out of moneys appropriated to the Commission for that purpose. (d) No charge shall be made by any ship or station in the mobile service
of the United States for the transmission of distress messages and replies thereto in connection with situations involving the safety of life and property at sea. (e) Notwithstanding
any other provision of law, any station or carrier may render free service in connection with situations involving the safety of life and property, including hydrographic reports, weather
reports, reports regarding aids to navigation and medical assistance to injured or sick persons on ships and aircraft at sea. All free service permitted by this subsection shall be subject
to such rules and regulations as the Commission may prescribe, which rules may limit such free service to the extent which the Commission finds desirable in the public interest. SEC.
360. [47 U.S.C. 358] AUTHORITY OF MASTER.
Communications Act of 1934 195 The radio installation, the operators, the regulation of their watches, the transmission and receipt of messages, and the radio service of the ship except
as they may be regulated by law or international agreement, or by rules and regulations made in pursuance thereof, shall in the case of a ship of the United States be under the supreme
control of the master. SEC. 361. [47 U.S.C. 359] CERTIFICATES. (a) Each vessel of the United States to which the Safety Convention applies shall comply with the radio and communication
provisions of said Convention at all times while the vessel is in use, in addition to all other requirements of law, and shall have on board an appropriate certificate as prescribed
by the Safety Convention. (b) Appropriate certificates concerning the radio particulars provided for in said Convention shall be issued upon proper request to any vessel which is subject
to the radio provisions of the Safety Convention and is found by the Commission to comply therewith. Cargo ship safety radio telegraphy certificates, cargo ship safety radiotelephony
certificates, and exemption certificates with respect to radio particulars shall be issued by the Commission. Other certificates concerning the radio particulars provided for in the
said Convention shall be issued by the Commandant of the Coast Guard or whatever other agency is authorized by law to do so upon request of the Commission made after proper inspection
or determination of the facts. If the holder of a certificate violates the radio provisions of the Safety Convention or the provisions of this Act, or the rules, regulations, or conditions
prescribed by the Commission, and if the effective administration of the Safety Convention or of this part so requires, the Commission, after hearing in accordance with law, is authorized
to modify or cancel a certificate which it has issued, or to request the modification or cancellation of a certificate which has been issued by another agency upon the Commission's request.
Upon Upon receipt of such request for modification or cancellation, the Commandant of the Coast Guard, or whatever agency is authorized by law to do so, shall modify or cancel the certificate
in accordance therewith. SEC. 362. [47 U.S.C. 360] INSPECTION. (a) In addition to any other provisions required to be included in a radio station license, the station license of each
ship of the United States subject to this title shall include particulars with reference to the items specifically required by this title. (b) Every ship of the United States that is
subject to this part shall have the equipment and apparatus prescribed therein inspected at least once each year by the Commission or an entity designated by the Commission. If, after
such inspection, the Commission is satisfied that all relevant provisions of this Act and the station license have been complied with, the fact shall be so certified on the
Communications Act of 1934 196 station license by the Commission. The Commission shall make such additional inspections at frequent intervals as the Commission determines may be necessary
to ensure compliance with the requirements of this Act. The Commission may, upon a finding that the public interest could be served thereby--(1) waive the annual inspection required
under this section for a period of up to 90 days for the sole purpose of enabling a vessel to complete its voyage and proceed to a port in the United States where an inspection can be
held; or (2) waive the annual inspection required under this section for a vessel that is in compliance with the radio provisions of the Safety Convention and that is operating solely
in waters beyond the jurisdiction of the United States: Provided, That such inspection shall be performed within 30 days of such vessel's return to the United States. SEC. 363. [47 U.S.C.
361] CONTROL BY COMMISSION. Nothing in this title shall be interpreted as lessening in any degree the control of the Commission over all matters connected with the radio equipment and
its operation on shipboard and its decision and determination in regard to the radio requirements, installations, or exemptions from prescribed radio requirements shall be final, subject
only to review in accordance with law. SEC. 364. [47 U.S.C. 362] FORFEITURES. The following forfeitures shall apply to this part, in addition to the penalties and forfeitures provided
by title V of this Act: (a) Any ship that leaves or attempts to leave any harbor or port of the United States in violation of the provisions of this part, or the rules and regulations
of the Commission made in pursuance thereof, or any ship of the United States that is navigated outside of any harbor or port in violation of any of the provisions of this part, or the
rules and regulations of the Commission made in pursuance thereof, shall forfeit to the United States the sum of $5,000, recoverable by way of suit or libel. Each such departure or attempted
departure, and in the case of a ship of the United States each day during which such navigation occurs shall constitute a separate offense. (b) Every willful failure on the part of the
master of a ship of the United States to enforce or to comply with the provisions of this Act or the rules and regulations of the Commission as to equipment, operators, watches, or radio
service shall cause him to forfeit to the United States the sum of $1,000. SEC. 365. [47 U.S.C. 363] AUTOMATED SHIP DISTRESS AND SAFETY SYSTEMS. Notwithstanding any provision of this
Act or any other provision of law or regulation, a ship documented under the laws of the United States operating in
Communications Act of 1934 197 accordance with the Global Maritime Distress and Safety System provisions of the Safety of Life at Sea Convention shall not be required to be equipped
with a radio telegraphy station operated by one or more radio officers or operators. This section shall take effect for each vessel upon a determination by the United States Coast Guard
that such vessel has the equipment required to implement the Global Maritime Distress and Safety System installed and operating in good working condition. PART III--RADIO INSTALLATIONS
ON VESSELS CARRYING PASSENGERS FOR HIRE SEC. 381. [47 U.S.C. 381] VESSELS TRANSPORTING MORE THAN SIX PASSENGERS FOR HIRE REQUIRED TO BE EQUIPPED WITH RADIO TELEPHONE. Except as provided
in section 382, it shall be unlawful for any vessel of the United States, transporting more than six passengers for hire, to be navigated in the open sea or any tidewater within the
jurisdiction of the United States adjacent or contiguous to the open sea, unless such vessel is equipped with an efficient radiotelephone installation in operating condition. SEC. 382.
[47 U.S.C. 382] VESSELS EXCEPTED FROM RADIO TELEPHONE REQUIREMENT. The provisions of this part shall not apply to--(1) vessels which are equipped with a radio installation in accordance
with the provisions of part II of title III of this Act, or in accordance with the radio requirements of the Safety Convention; and (2) vessels of the United States belonging to and
operated by the Government, and (3) vessels navigating on the Great Lakes. SEC. 383. [47 U.S.C. 383] EXEMPTIONS BY COMMISSION. The Commission shall exempt from the provisions of this
part any vessel, or class of vessels, in the case of which the route or conditions of the voyage, or other conditions or circumstances, are such as to render a radio installation unreasonable,
unnecessary, or ineffective, for the purposes of this Act. SEC. 384. [47 U.S.C. 384] AUTHORITY OF COMMISSION; OPERATIONS, INSTALLATIONS, AND ADDITIONAL EQUIPMENT. The Commission shall
have authority with respect to any vessel subject to this part--
Communications Act of 1934 198 (1) to specify operating and technical conditions and characteristics including frequencies, emissions, power, communication capability and range, of installations
required by reason of this part; (2) to approve the details as to the location and manner of installation of the equipment required by this part or of equipment necessitated by reason
of the purposes and requirements of this part; (3) to approve installations, apparatus and spare parts necessary to comply with the purposes and requirements of this part; (4) to prescribe
such additional equipment as may be determined to be necessary to supplement that specified herein for the proper functioning of the radio installation installed in accordance with this
part or for the proper conduct of radio communication in time of emergency or distress. SEC. 385. [47 U.S.C. 385] INSPECTIONS. The Commission or an entity designated by the Commission
shall make such inspections as may be necessary to insure compliance with the requirements of this part. In accordance with such other provisions of law as apply to Government contracts,
the Commission may enter into contracts with any person for the purpose of carrying out such inspections and certifying compliance with those requirements, and may, as part of any such
contract, allow any such person to accept reimbursement from the license holder for travel and expense costs of any employee conducting an inspection or certification. SEC. 386. [47
U.S.C. 386] FORFEITURES. The following forfeitures shall apply to this part in addition to penalties and forfeitures provided by title V of this Act: (a) Any vessel of the United States
that is navigated in violation of the provisions of this part or of the rules and regulations of the Commission made in pursuance thereof shall forfeit to the United States the sum of
$5,000 recoverable by way of suit or libel. Each day during which such navigation occurs shall constitte a separate offense. (b) Every willful failure on the part of the master of a
vessel of the United States to enforce or to comply with the provisions of this part or the rules and regulations of the Commission made in pursuance thereof shall cause him to forfeit
to the United States the sum of $1,000. PART IV--ASSISTANCE FOR PUBLIC TELECOMMUNICATIONS FACILITIES; TELECOMMUNICATIONS DEMONSTRATIONS; CORPORATION FOR PUBLIC BROADCASTING Subpart A--Assistance
for Public Telecommunications
Facilities
Communications Act of 1934 199 SEC. 390. [47 U.S.C. 390] DECLARATION OF PURPOSE. The purpose of this subpart is to assist, through matching grants, in the planning and construction of
public telecommunications facilities in order to achieve the following objectives: (1) extend delivery of public telecommunications services to as many citizens of the United States
as possible by the most efficient and economical means, including the use of broadcast and nonbroadcast technologies; (2) increase public telecommunications services and facilities available
to, operated by, and owned by minorities and women; and (3) strengthen the capability of existing public television and radio stations to provide public telecommunications services to
the public. SEC. 391. [47 U.S.C. 391] AUTHORIZATION OF APPROPRIATIONS. There are authorized to be appropriated $42,000,000 for each of the fiscal years 1992, 1993, and 1994, to be used
by the Secretary of Commerce to assist in the planning and construction of public telecommunications facilities as provided in this subpart. Sums appropriated under this subpart for
any fiscal year shall remain available until expended for payment of grants for projects for which applications approved by the Secretary pursuant to this subpart have been submitted
within such fiscal year. Sums appropriated under this subpart may be used by the Secretary to cover the cost of administering the provisions of this subpart. SEC. 392. [47 U.S.C. 392]
GRANTS FOR CONSTRUCTION AND PLANNING. (a) For each project for the construction of public telecommunications facilities there shall be submitted to the Secretary an application for a
grant containing such information with respect to such project as the Secretary may require, including the total cost of such project, the amount of the grant requested for such project,
and a 5-year plan outlining the applicant's projected facilities requirements and the projected costs of such facilities requirements. Each applicant shall also provide assurances satisfactory
to the Secretary that--(1) the applicant is (A) a public broadcast station; (B) a noncommercial telecommunications entity; (C) a system of public telecommunications entities; (D) a nonprofit
foundation, corporation, institution, or association organized primarily for educational or cultural purposes; or (E) a State or local government (or any agency thereof), or a political
or special purpose subdivision of a State; (2) the operation of such public telecommunication facilities will be under the control of the applicant; (3) necessary funds to construct,
operate, and maintain such public telecommunications facilities will be available when needed; (4) such public telecommunications facilities will be used primarily
Communications Act of 1934 200 for the provision of public telecommunications services and that the use of such public telecommunications facilities for purposes other than the provision
of public telecommunications services will not interfere with the provision of such public telecommunications services as required in this part;6 (5) the applicant has participated in
comprehensive planning for such public telecommunications facilities in the area which the applicant proposes to serve, and such planning has included an evaluation of alternate technologies
and coordination with State educational television and radio agencies, as appropriate; and (6) the applicant will make the most efficient use of the grant. (b) Upon approving any application
under this section with respect to any project for the construction of public telecommunications facilities, the Secretary shall make a grant to the applicant in an amount determined
by the Secretary, except that such amounts shall not exceed 75 percent of the amount determined by the Secretary to be the reasonable and necessary cost of such project. (c) The Secretary
may provide such funds as the Secretary deems necessary for the planning of any project for which construction funds may be obtained under this section. An applicant for a planning grant
shall provide such information with respect to such project as the Secretary may require and shall provide assurances satisfactory to the Secretary that the applicant meets the eligible
requirements of subsection (a) to receive construction assistance. (d) Any studies conducted by or for any grant recipient under this section shall be provided to the Secretary, if such
studies are conducted through the use of funds received under this section. (e) The Secretary shall establish such rules and regulations as may be necessary to carry out this subpart,
including rules and regulations relating to the order of priority in approving applications for construction projects and relating to determining the amount of each grant for such projects.
(f) In establishing criteria for grants pursuant to section 393 and in establishing procedures relating to the order of priority established in subsection (e) in approving applications
for grants, the Secretary shall give special consideration to applications which would increase minority and women's ownership of, operation of, and participation in public telecommunications
entities. The Secretary shall take affirmative steps to inform minorities and women of the availability of funds under this subpart, and the localities where new public telecommunications
facilities are needed, and to provide such other assistance and information as may be appropriate. (g) If, within 10 years after completion of any project for construcion of public telecommunications
facilities with respect to which a grant has been made under this section--(1) the applicant or other owner of such facilities ceases to be an
Communications Act of 1934 201 agency, institution, foundation, corporation, association, or other entity described in subsection (a)(1); or (2) such facilities cease to be used primarily
for the provision of public telecommunications services (or the use of such public telecommunications facilities for purposes other than the provision of public telecommunications services
interferes with the provision of such public telecommunications services as required in this part); the United States shall be entitled to recover from the applicant or other owner of
such facilities the amount bearing the same ratio to the value of such facilities at the time the applicant ceases to be such an entity or at the time of such determination (as determined
by agreement of the parties or by action brought in the United States district court for the district in which such facilities are situated), as the amount of the Federal participation
bore to the cost of construction of such facilities. (h) Each recipient of assistance under this subpart shall keep such records as may be reasonably necessary to enable the Secretary
to carry out the functions of the Secretary under this subpart, including a complete and itemized inventory of all public telecommunications facilities under the control of such recipient,
and records which fully disclose the amount and the disposition by such recipient of the proceeds of such assistance, the total cost of the project in connection with which such assistance
is given or used, the amount and nature of that portion of the cost of the project supplied by other sources, and such other records as will facilitate an effective audit. (i) The Secretary
and the Comptroller General of the United States, or any of their duly authorized representatives, shall have access for the purpose of audit and examination to any books, documents,
papers, and records of any recipient of assistance under this subpart that are pertinent to assistance received under this subpart. SEC. 393. [47 U.S.C. 393] CRITERIA FOR APPROVAL AND
EXPENDITURES BY SECRETARY OF COMMERCE. (a) The Secretary, in consultation with the Corporation, public telecommunications entities, and as appropriate with others, shall estblish criteria
for making construction and planning grants. Such criteria shall be consistent with the objectives and provisions set forth in this subpart, and shall be made available to interested
parties upon request. (b) The Secretary shall base determinations of whether to approve applications for grants under this subpart, and the amount of such grants, on criteria developed
pursuant to subsection (a) and designed to achieve--(1) the provision of new telecommunications facilities to extend service to areas currently not receiving public telecommunications
services;
Communications Act of 1934 202 (2) the expansion of the service areas of existing public telecommunications entities; (3) the development of public telecommunications facilities owned
by, operated by, and available to minorities and women; and (4) the improvement of the capabilities of existing public broadcast stations to provide public telecommunications services,
including services to underserved audiences such as deaf and hearing impaired individuals and blind and visually impaired individuals. (c) Of the sums appropriated pursuant to section
391 for any fiscal year, a substantial amount shall be available for the expansion and development of noncommercial radio broadcast station facilities. SEC. 393A. [47 U.S.C. 393A] LONG-RANGE
PLANNING FOR FACILITIES. (a) The Secretary, in consultation with the Corporation, public telecommunications entities, and as appropriate with other parties, shall develop a long-range
plan to accomplish the objectives set forth in section 390. Such plan shall include a detailed detailed 5-year projection of the broadcast and nonbroadcast public telecommunications
facilities required to meet such objectives, and the expenditures necessary to provide such facilities. Subpart B--National Endowment for Children's Educational Television SEC. 394.
[47 U.S.C. 394] ESTABLISHMENT OF NATIONAL ENDOWMENT. (a) It is the purpose of this section to enhance the education of children through the creation and production of television programming
specifically directed toward the development of fundamental intellectual skills. (b)(1) There is established, under the direction of the Secretary, a National Endowment for Children's
Educational Television. In administering the National Endowment, the Secretary is authorized to--(A) contract with the Corporation for the production of educational television programming
for children; and (B) make grants directly to persons proposing to create and produce educational television programming for children. The Secretary shall consult with the Advisory Council
on on Children's Educational Television in the making of the grants or the awarding of contracts for the purpose of making the grants. (2) Contracts and grants under this section shall
be made on the condition that the programming shall--(A) during the first two years after its production, be made available only to public television licensees and permittees and noncommercial
Communications Act of 1934 203 television licensees and permittees; and (B) thereafter be made available to any commercial television licensee or permittee or cable television system
operator, at a charge established by the Secretary that will assure the maximum practicable distribution of such programming, so long as such licensee, permittee, or operator does not
interrupt the programming with commercial advertisements. The Secretary may, consistent with the purpose and provisions of this section, permit the programming to be distributed to persons
using other media, establish conditions relating to such distribution, and apply those conditions to any contract or grant made under this section. The Secretary may waive the requirements
of subparagraph (A) if the Secretary finds that neither public television licensees and permittees nor noncommercial television licensees and permittees will have an opportunity to air
such programming in the first two years after its production. (c)(1) The Secretary, with the the advice of the Advisory Council on Children's Educational Television, shall establish
criteria for making contracts and grants under this section. Such criteria shall be consistent with the purpose and provisions of this section and shall be made available to interested
parties upon request. Such criteria shall include--(A) criteria to maximize the amount of programming that is produced with the funds made available by the Endowment; (B) criteria to
minimize the costs of--(i) selection of grantees, (ii) administering the contracts and grants, and (iii) the administrative costs of the programming production; and (C) criteria to otherwise
maximize the proportion of funds made available by the Endowment that are expended for the cost of programming production. (2) Applications for grants under this section shall be submitted
to the Secretary in such form and containing such information as the Secretary shall require by regulation. (d) Upon approving any application for a grant under subsection (b)(1)(B),
the Secretary shall make a grant to the applicant in an amount determined by the Secretary, except that such amounts shall not exceed 75 percent of the amount determined by the Secretary
to be the reasonable and necessary cost of the project for which the grant is made. (e)(1) The Secretary shall establish an Advisory Council on Children's Educational Television. The
Secretary shall appoint ten individuals as members of the Council and designate one of such members to serve as Chairman. (2) Members of the Council shall have terms of two years, and
no member
Communications Act of 1934 204 shall serve for more than three consecutive terms. The members shall have expertise in the fields of education, psychology, child development, or television
programming, or related disciplines. Officers and employees of the United States shall not be appointed as members. (3) While away from their homes or regular places of business in the
performance of duties for the Council, the members of the Council shall serve without compensation but shall be allowed travel expenses, including per diem in lieu of subsistence, in
accordance with section 5703 of title 5, United States Code. (4) The Council shall meet at the call of the Chairman and shall advise the Secretary concerning the making of contracts
and grants under this section. (f)(1) Each recipient of a grant under this section shall keep such records as may be reasonably necessary to enable the Secretary to carry out the Secretary's
functions under this section, including records which fully disclose the amount and the disposition by such recipient of the proceeds of such grant, the total cost of the project, the
amount and nature of that portion of the cost of the project supplied by other sources, and such other records as will facilitate an effective audit. (2) The Secretary and the Comptroller
General of the United States, or any of their duly authorized representatives, shall have access for the purposes of audit and examination to any books, documents, papers, and records
of the recipient that are pertinent to a grant received under this section. (g) The Secretary is authorized to make such rules and regulations as may be necessary to carry out this section,
including those relating to the order of priority in approving applications for projects under this section or to determining the amounts of contracts and grants for such projects. (h)
There are authorized to be appropriated $2,000,000 for fiscal year 1991, $4,000,000 for fiscal year 1992, $5,000,000 for fiscal year 1993, and $6,000,000 for fiscal year 1994 to be used
used by the Secretary to carry out the provisions of this section. Sums appropriated under this subsection for any fiscal year shall remain available for contracts and grants for projects
for which applications approved under this section have been submitted wtihin one year after the last day of such fiscal year. (i) For purposes of this section--(1) the term ''educational
television programming for children'' means any television program which is directed to an audience of children who are 16 years of age or younger and which is designed for the intellectual
development of those children, except that such term does not include any television program which is directed to a general audience but which might also be viewed by a significant number
of children; and (2) the term ''person'' means an individual, partnership, association, joint stock company, trust, corporation, or State or local governmental entity.
Communications Act of 1934 205 Subpart C--Telecommunications Demonstrations SEC. 395. [47 U.S.C. 395] ASSISTANCE FOR DEMONSTRATION PROJECTS. (a) It is the purpose of this subpart to
promote the development of nonbroadcast telecommunications facilities and services for the transmission, distribution, and delivery of health, education, and public or social service
information. The Secretary is authorized, upon receipt of an application in such form and containing such information as he may by regulation require, to make grants to, and enter into
contracts with, public and private nonprofit agencies, organizations, and institutions for the purpose of carrying out telecommunications demonstrations. (b) The Secretary may approve
an application submitted under subsection (a) if he determines that--(1) the project for which application is made will demonstrate innovative methods or techniques of utilizing nonbroadcast
telecommunications equipment or facilities to satisfy the purpose of this subpart;(2) demonstrations and related activities assisted under this subpart will remain under the administration
and control of the applicant; (3) the applicant has the managerial and technical capability to carry out the project for which the application is made; and (4) the facilities and equipment
acquired or developed pursuant to the application will be used substantially for the transmission, distribution, and delivery of health, education, or public or social service information.
(c) Upon approving any application under this subpart with respect to any project, the Secretary shall make a grant to or enter into a contract with the applicant in an amount determined
by the Secretary not to exceed the reasonable and necessary cost of such project. The Secretary shall pay such amount from the sums available therefor, in advance or by way of reimbursement,
and in such installments consistent with established practice, as he may determine. (d) Funds made available pursuant to this subpart shall not be available for the construction, remodeling,
or repair of structures to house the facilities or equipment acquired or developed with such funds, except that such funds may be used for minor remodeling which is necessary for and
incidental to the installation of such facilities or equipment. (e) For purposes of this section, the term ''nonbroadcast telecommunications facilities'' includes, but is not limited
to, cable television systems, communications satellite systems and related terminal equipment, and other modes of transmitting, emitting, or receiving images and sounds or intelligence
by means of wire, radio, optical, electromagnetic or other means. (f) The funding of any demonstration pursuant to this subpart shall
Communications Act of 1934 206 continue for not more than 3 years from the date of the original grant or contract. (g) The Secretary shall require that the recipient of a grant or contract
under this subpart submit a summary and evaluation of the results of the demonstration at least annually for each year in which funds are received pursuant to this section. (h)(1) Each
recipient of assistance under this subpart shall keep such records as may be reasonably necessary to enable the Secretary to carry out the Secretary's functions under this subpart, including
records which fully disclose the amount and the disposition by such recipient of the proceeds of such assistance, the total cost of the project or undertaking in connection with which
such assistance is given or used, the amount and nature of that portion of the cost of the project or undertaking supplied by other sources, and such other records as will facilitate
an effective audit. (2) The Secretary and the Comptroller General of the United States, or or any of their duly authorized representatives, shall have access for the purposes of audit
and examination to any books, documents, papers, and records of the recipient that are pertinent to assistance received under this subpart. (i) The Secretary is authorized to make such
rules and regulations as may be necessary to carry out this subpart, including regulations relating to the order of priority in approving applications for projects under this subpart
or to determining the amounts of grants for such projects. (j) The Commission is authorized to provide such assistance in carrying out the provisions of this subpart as may be requested
by the Secretary. The Secretary shall provide for close coordination with the Commission in the administration of the Secretary's functions under this subpart which are of interest to
or affect the functions of the Commission. The Secretary shall provide for close coordination with the Corporation in the administration of the Secretary's functions udner this subpart
which are of interest to or affect the functions of the Corporation. (k) There are authorized to be appropriated $1,000,000 for each of the fiscal years 1979, 1980, and 1981, to be used
by the Secretary to carry out the provisions of this subpart. Sums appropriated under this subsection for any fiscal year shall remain available for payment of grants or contracts for
projects for which applications approved under this subpart have been submitted within one year after the last day of such fiscal year. Subpart D--Corporation for Public Broadcasting
SEC. 396. [47 U.S.C. 396] DECLARATION OF POLICY. (a) The Congress hereby finds and declares that--(1) it is in the public interest to encourage the growth and development of public radio
and television broadcasting, including the use of such media for instructional, educational, and cultural purposes;
Communications Act of 1934 207 (2) it is in the public interest to encourage the growth and development of nonbroadcast telecommunications technologies for the delivery of public telecommunications
services; (3) expansion and development of public telecommunications and of diversity of its programming depend on freedom, imagination, and initiative on both local and national levels;
(4) the encouragement and support of public telecommunications, while matters of importance for private and local development, are also of appropriate and important concern to the Federal
Government; (5) it furthers the general welfare to encourage public telecommunications services which will be responsive to the interests of people both in particular localities and
throughout the United States, which will constitute an expression of diversity and excellence, and which will constitute a source of alternative telecommunications services for all the
citizens of the Nation; (6) it is in the public interest to encourage the development of programming that involves creative risks and that addresses the needs of unserved and underserved
audiences, particularly children and minorities; (7) it is necessary and appropriate for the Federal Government to complement, assist, and support a national policy that will most effectively
make public telecommunications services available to all citizens of the United States; (8) public television and radio stations and public telecommunications services constitute valuable
local community resources for utilizing electronic media to address national concerns and solve local problems through community programs and outreach programs; (9) it is in the public
interest for the Federal Government to ensure that all citizens of the United States have access to public telecommunications services through all appropriate available telecommunications
distribution technologies; and (10) a private corporation should be created to facilitate the development of public telecommunications and to afford maximum protection from extraneous
interference and control. Corporation Established (b) There is authorized to be established a nonprofit corporation, to be known as the ''Corporation for Public Broadcasting'', which
will not be an agency or establishment of the United States Government. The Corporation shall be subject to the provisions of this section, and, to the extent consistent with this section,
to the District of Columbia Nonprofit Corporation Act. [center small caps]Board of Directors (c)(1)6The Corporation for Public Broadcasting shall have a Board of Directors (hereinafter
in this section referred to as the ''Board''), consisting of 9
Communications Act of 1934 208 members appointed by the President, by and with the advice and consent of the Senate. No more than 5 members of the Board appointed by the President may
be members of the same political party. (2) The 9 members of the Board appointed by the President (A) shall be selected from among citizens of the United States (not regular full-time
employees of the United States) who are eminent in such fields as education, cultural and civic affairs, or the arts, including radio and television; and (B) shall be selected so as
to provide as nearly as practicable a broad representation of various regions of the Nation, various professions and occupations, and various kinds of talent and experience appropriate
to the functions and responsibilities of the Corporation. (3) Of the members of the Board appointed by the President under paragraph (1), one member shall be selected from among individuals
who represent the licensees and permittees of public television stations, and one member shall be be selected from among individuals who represent the licensees and permittees of public
radio stations. (4) The members of the initial Board of Directors shall serve as incorporators and shall take whatever actions are necessary to establish the Corporation under the District
of Columbia Nonprofit Corporation Act. (5) The term of office of each member of the Board appointed by the President shall be 6 years, except as provided in section 5(c) of the Public
Telecommunications Act of 1992. Any member whose term has expired may serve until such member's successor has taken office, or until the end of the calendar year in which such member's
term has expired, whichever is earlier. Any member appointed to fill a vacancy occurring prior to the expiration of the term for which such member's predecessor was appointed shall be
appointed for the remainder of such term. No member of the Board shall be eligible to serve in excess of 2 consecutive full terms. (6) Any vacancy in the Board shall not affect its power,
but shall be filled in the manner consistent with this Act. (7) Members of the Board shall attend not less than 50 percent of all duly convened meetings of the Board in any calendar
year. A member who fails to meet the requirement of the preceding sentence shall forfeit membership and the President shall appoint a new member to fill such vacancy not later then 30
days after such vacancy is determined by the Chairman of the Board. Election of Chairman and Vice Chairman; Compensation (d)(1) Members of the Board shall annually elect one of their
members to be Chairman and elect one or more of their members as a Vice Chairman or Vice Chairmen. (2) The members of the Board shall not, by reason of such membership, be deemed to
be officers or employees of the United States. They shall, while attending meetings of the Board or while engaged in duties related to such meetings or other activities of the Board
pursuant to this subpart, be entitled to
Communications Act of 1934 209 receive compensation at the rate of $150 per day, including traveltime. No Board member shall receive compensation of more than $10,000 in any fiscal year.
While away from their homes or regular places of business, Board members shall be allowed travel and actual, reasonable, and necessary expenses. Officers and Employees (e)(1) The Corporation
shall have a President, and such other officers as may be named and appointed by the Board for terms and at rates of compensation fixed by the Board. No officer or employee of the Corporation
may be compensated by the Corporation at an annual rate of pay which exceeds the rate of basic pay in effect from time to time for level I of the Executive Schedule under section 5312
of title 5, United States Code. No individual other than a citizen of the United States may be an officer of the Corporation. No officer
of the Corporation, other than the Chairman or a Vice Chairman, may receive any salary or other compensation (except for compensation for services on boards of directors of other organizations
that do not receive funds from the Corporation, on committees of such boards, and in similar activities for such organizations) from any sources other than the Corporation for services
rendered during the period of his or her employment by the Corporation. Service by any officer on boards of directors of other organizations, on committees of such boards, and in similar
activities for such organizations shall be subject to annual advance approval by the Board and subject to the provisions of the Corporation's Statement of Ethical Conduct. All officers
shall serve at the pleasure of the Board. (2) Except as provided in the second sentence of subsection (c)(1) of this section, no political test or qualification shall be used in selecting,
appointing, promoting, or taking other personnel actions with respect to officers, agents, and employees of the Corporation. Nonprofit and Nonpolitical Nature of the Corporation (f)(1)
The Corporation shall have no power to issue any shares of stock, or to declare or pay any dividends. (2) No part of the income or assets of the Corporation shall inure to the benefit
of any director, officer, employee, or any other individual except as salary or reasonable compensation for services. (3) The Corporation may not contribute to or otherwise support any
political party or candidate for elective public office. Purposes and Activities of Corporation (g)(1) In order to achieve the objectives and to carry out the purposes of this subpart,
as set out in subsection (a), the Corporation is authorized to--(A) facilitate the full development of public telecommunications in which programs of high quality, diversity, creativity,
excellence, and innovation, which are obtained from diverse sources, will be made available to public telecommunications entities, with strict adherence to objectivity and balance in
all programs or series of programs of a controversial nature;
Communications Act of 1934 210 (B) assist in the establishment and development of one or more interconnection systems to be used for the distribution of public telecommunications services
so that all public telecommunications entities may disseminate such services at times chosen by the entities; (C) assist in the establishment and development of one or more systems of
public telecommunications entities throughout the United States; and (D) carry out its purposes and functions and engage in its activities in ways that will most effectively assure the
maximum freedom of the public telecommunications entities and systems from interference with, or control of, program content or other activities. (2) In order to carry out the purposes
set forth in subsection (a), the Corporation is authorized to--(A) obtain grants from and make contracts with individuals and with private, State, and Federal agencies, organizations,
and institutions; (B) contract with or make grants to public telecommunications entities, national, regional, and other systems of public telecommunications entities, and independent
producers and production entities, for the production or acquisition of public telecommunications services to be made available for use by public telecommunications entities, except
that--(i) to the extent practicable, proposals for the provision of assistance by the Corporation in the production or acquisition of programs or series of programs shall be evaluated
on the basis of comparative merit by panels of outside experts, representing diverse interests and perspectives, appointed by the Corporation; and (ii) nothing in this subparagraph shall
be construed to prohibit the exercise by the Corporation of its prudent business judgement with respect to any grant to assist in the production or acquisition of any program or series
of programs recommended by any such panel; (C) make payments to existing and new public telecommunications entities to aid in financing the production or acquisition of public telecommunications
services by such entities, particularly innovative approaches to such services, and other costs of operation of such entities; (D) establish and maintain, or contribute to, a library
and archives of noncommercial educational and cultural radio and television programs and related materials and develop public awareness of, and disseminate information about, public
telecommunications services by various means, including the publication of a journal; (E) arrange, by grant to or contract with appropriate public or private agencies, organizations,
or institutions, for interconnection facilities suitable for distribution and transmission of public telecommunications
Communications Act of 1934 211 services to public telecommunications entities; (F) hire or accept the voluntary services of consultants, experts, advisory boards, and panels to aid the
Corporation in carrying out the purposes of this subpart; (G) conduct (directly or through grants or contracts) research, demonstrations, or training in matters related to public television
or radio broadcasting and the use of nonbroadcast communications technologies for the dissemination of noncommercial educational and cultural television or radio programs; (H) make grants
or contracts for the use of nonbroadcast telecommunications technologies for the dissemination to the public of public telecommunications services; and (I) take such other actions as
may be necessary to accomplish the purposes set forth in subsection (a). Nothing contained in this paragraph shall be construed to commit the Federal Government to provide any sums for
the payment of any obligation of the Corporation which exceeds amounts provided in advance in appropriation Acts. (3) To carry out the foregoing purposes and engage in the foregoing
activities, the Corporation shall have the usual powers conferred upon a nonprofit corporation by the District of Columbia Nonprofit Corporation Act (D.C. Code, sec. 29-1001 et seq.),
except that the Corporation is prohibited from--(A) owning or operating any television or radio broadcast station, system, or network, community antenna television system, interconnection
system or facility, program production facility, or any public telecommunications entity, system, or network; and (B) producing programs, scheduling programs for dissemination, or disseminating
programs to the public. (4) All meetings of the Board of Directors of the Corporation, including any committee of the Board, shall be open to the public under such terms, conditions,
and exceptions as are set forth in subsection (k)(4). (5) The Corporation, in consultation with interested parties, shall create a 5-year plan for the development of public telecommunications
services. Such plan shall be updated annually by the Corporation. Interconnection Service (h)(1) Nothing in this Act, or in any other provision of law, shall be construed to prevent
United States communications common carriers from rendering free or reduced rate communications interconnection services for public television or radio services, subject to such rules
and regulations as the Commission may prescribe. (2) Subject to such terms and conditions as may be established by public telecommunications entities receiving space satellite interconnection
facilities or services purchased or arranged for, in whole or in part, with funds authorized
Communications Act of 1934 212 under this part, other public telecommunications entities shall have reasonable access to such facilities or services for the distribution of educational
and cultural programs to public telecommunications entities. Any remaining capacity shall be made available to other persons for the transmission of noncommercial educational and cultural
programs and program information relating to such programs, to public telecommunications entities, at a charge or charges comparable to the charge or charges, if any, imposed upon a
public telecommunciations entity for the distribution of noncommercial educational and cultural programs to public telecommunications entities. No such person shall be denied such access
whenever sufficient capacity is available. Report to Congress (i)(1) The Corporation shall submit an annual report for the preceding fiscal year ending September 30 to the President
for transmittal to the Congress on or before the 15th day of May of each year. The report shall include--(A) a comprehensive and detailed report of the Corporation's operations, activities,
financial condition, and accomplishments under this subpart and such recommendations as the Corporation deems appropriate; (B) a comprehensive and detailed inventory of funds distributed
by Federal agencies to public telecommunications entities during the preceding fiscal year; (C) a listing of each organization that receives a grant from the Corporation to produce programming,
the name of the producer of any programming produced under each such grant, the title or description of any program so produced, and the amount of each such grant; (D) the summary of
the annual report provided to the Secretary pursuant to section 398(b)(4). (2) The officers and directors of the Corporation shall be available to testify before appropriate committees
of the Congress with respect to such report, the report of any audit made by the Comptroller General pursuant to subsection (1), or any other matter which such committees may determine.
Right to Repeal, Alter, or Amend (j) The right to repeal, alter, or amend this section at any time is expressly reserved. Financing; Open Meetings and Financial Records (k)(1)(A) There
is hereby established in the Treasury a fund which shall be known as the Public Broadcasting Fund (hereinafter in this subsection referred to as the ''Fund''), to be administered by
the Secretary of the Treasury. (B) There is authorized to be appropriated to the Fund, for each of the fiscal years 1978, 1979 and 1980, an amount equal to 40 percent of the total amount
of non-Federal financial support received by public broadcasting entities during the fiscal year second preceding each such fiscal year, except that the amount so appropriated shall
not exceed $121,000,000 for fiscal year 1978,
Communications Act of 1934 213 $140,000,000 for fiscal year 1979, and $160,000,000 for fiscal year 1980. (C) There is authorized to be appropriated to the Fund, for each of the fiscal
years 1981, 1982, 1983, 1984, 1985, 1986, 1987, 1988, 1989, 1990, 1991, 1992, and 1993, an amount equal to 40 percent of the total amount of non-Federal financial support received by
public broadcasting entities during the fiscal year second preceding each such fiscal year, except that the amount so appropriated shall not exceed $265,000,000 for fiscal year 1992,
$285,000,000 for fiscal year 1993, $310,000,000 for fiscal year 1994, $375,000,000 for fiscal year 1995, and $425,000,000 for fiscal year 1996. (D) Funds appropriated under this subsection
shall remain available until expended. (E) In recognition of the importance of educational programs and services, and the expansion of public radio services, to unserved and underserved
audiences, the Corporation, after consultation with the system of public telecommunications entities, shall prepare and submit to the Congress an annual report for each of the fiscal
years 1994, 1995, and 1996 on the Corporation's activities and expenditures relating to those programs and services. (2)(A) The funds authorized to be appropriated by this subsection
shall be used by the Corporation, in a prudent and financially responsible manner, solely for its grants, contracts, and administrative costs, except that the Corporation may not use
any funds appropriated under this subpart for purposes of conducting any reception, or providing any other entertainment, for any officer or employee of the Federal Government or any
State or local government. The Corporation shall determine the amount of non-Federal financial support received by public broadcasting entities during each of the fiscal years referred
to in paragraph (1) for the purpose of determining the amount of each authorization, and shall certify such amount to the Secretary of the Treasury, except that the Corporation may include
in its certification non-Federal financial support received by a public broadcasting entity during its most recent fiscal year ending before September 30 of the year for which certification
is made. Upon receipt of such certification, the Secretary of the Treasury shall make available to the Corporation, from such funds as may be appropriated to the Fund, the amount authorized
for each of the fiscal years pursuant to the provisions of this subsection. (B) Funds appropriated and made available under this subsection shall be disbursed by the Secretary of the
Treasury on a fiscal year basis. (3)(A)(i) The Corporation shall establish an annual budget for use in allocating amounts from the Fund. Of the amounts appropriated into the Fund available
for allocation for any fiscal year--(I) $10,200,000 shall be available for the administrative expenses of the Corporation for fiscal year 1989, and for each succeeding fiscal year the
amount which shall be available for such administrative expenses shall be the sum of the amount made available to the Corporation under this
Communications Act of 1934 214 subclause for such expenses in the preceding fiscal year plus the greater of 4 percent of such amount or a percentage of such amount equal to the percentage
change in the Consumer Price Index, except that none of the amounts allocated under subclauses (II), (III), and (IV) and clause (v) shall be used for any administrative expenses of the
Corporation and not more than 5 percent of all the amounts appropriated into the Fund available for allocation for any fiscal year shall be available for such administrative expenses;
(II) 6 percent of such amounts shall be available for expenses incurred by the Corporation for capital costs relating to telecommunications satellites, the payment of programming royalties
and other fees, the costs of interconnection facilities and operations (as provided in clause (iv)(I)), and grants which the Corporation may make for assistance to stations that broadcast
programs in languages other than English or for assistance in the provision of affordable training programs for employees at public broadcast stations, and if the available funding level
permits, for projects and activities that will enhance public broadcasting; (III) 75 percent of the remainder (after allocations are made under subclause (I) and subclause (II)) shall
be allocated in accordance with clause (ii); (IV) 25 percent of such remainder shall be allocated in accordance with clause (iii). (ii) Of the amounts allocated under clause (i)(III)
for any fiscal year--(I) 75 percent of such amounts shall be available for distribution among the licensees and permittees of public television stations pursuant to paragraph (6)(B);
and (II) 25 percent of such amounts shall be available for distribution under subparagraph (B)(i), and in accordance with any plan implemented under paragraph (6)(A), for national public
television programming. (iii) Of the amounts allocated under clause (i)(IV) for any fiscal year--(I) 70 percent of such amounts shall be available for distribution among the licensees
and and permittees of public radio stations pursuant to paragraph (6)(B); (II) 7 percent of such amounts shall be available for distribution under subparagraph (B)(i) for public radio
programming; and (III) 23 percent of such amounts shall be available for distribution among the licensees and permittees of public radio stations pursuant to paragraph (6)(B), solely
to be used for acquiring or producing programming that is to be distributed nationally and is designed to serve the needs of a national audience. (iv)(I) From the amount provided pursuant
to clause (i)(II), the Corporation shall defray an amount equal to 50 percent of the total costs of
Communications Act of 1934 215 interconnection facilities and operations to facilitate the availability of public television and radio programs among public broadcasts stations. (II)
Of the amounts received as the result of any contract, lease agreement, or any other arrangement under which the Corporation directly or indirectly makes available interconnection facilities,
50 percent of such amounts shall be distributed to the licensees and permittees of public television stations and public radio stations. The Corporation shall not have any authority
to establish any requirements, guidelines, or limitations with respect to the use of such amounts by such licensees and permittees. (v) Of the interest on the amounts appropriated into
the Fund which is available for allocation for any fiscal year--(I) 75 percent shall be available for distribution for the purposes referred to in clause (ii)(II); and (II) 25 percent
shall be available for distribution for the purposes referred to in clause (ii)(II) and (III). (B)(i) The Corporation shall utilize the funds allocated pursuant to subparagraph (A)(ii)(II)
and subparagraph (A)(iii)(II) to make grants for production of public television or radio programs by independent producers and production entities and public telecommunications entities,
producers of national children's educational programming, and producers of programs addressing the needs and interest of minorities, and for acquisition of such programs by public telecommunications
entities. The Corporation may make grants to public telecommunications entities and producers for the production of programs in languages other than English. Of the funds utilized pursuant
to this clause, a substantial amount shall be distributed to independent producers and production entities, producers of national children's educational programming, and producers of
programming addressing the needs and interests of minorities for the production of programs. (ii) All funds available for distribution under clause (i) shall be distributed to entities
outside the Corporation and shall not be used for the general administrative costs of the Corporation, the salaries or related expenses of Corporation personnel and members of the Board,
or for expenses of consultants and advisers to the Corporation. (iii)(I) For fiscal year 1990 and succeeding fiscal years, the Corporation shall, in carrying out its obligations under
clause (i) with respect to public television programming, provide adequate funds for an independent production service.(II) Such independent production service shall be separate from
the Corporation and shall be incorporated under the laws of the District of Columbia for the purpose of contracting with the Corporation for the expenditure of funds for the production
of public television programs by independent producers and independent production entities.
Communications Act of 1934 216 (III) The Corporation shall work with organizations or associations of independent producers or independent production entities to develop a plan and budget
for the operation of such service that is acceptable to the Corporation. (IV) The Corporation shall ensure that the funds provided to such independent production service shall be used
exclusively in pursuit of the Corporation's obligation to expand the diversity and innovativeness of programming available to public broadcasting. (V) The Corporation shall report annually
to Congress regarding the activities and expenditures of the independent production service, including carriage and viewing information for programs produced or acquired with funds provided
pursuant to subclause (I). At the end of fiscal years 1992, 1993, 1994, and 1995, the Corporation shall submit a report to Congress evaluating the performance of the independent production
service in light of its mission to expand the diversity and innovativeness of programming available to public broadcasting. (VI) The Corporation shall not contract to provide funds to
any such independent production service, unless that service agrees to comply with public inspection requirements established by the Corporation within 3 months after the date of enactment
of this subclause. Under such requirements the service shall maintain at its offices a public file, updated regularly, containing information relating to the service's award of funds
for the production of programming. The information shall be available for public inspection and copying for at least 3 years and shall be of the same kind as the information required
to be maintained by the Corporation under subsection (l)(4)(B). (4) Funds may not be distributed pursuant to this subsection to the Public Broadcasting Service or National Public Radio
(or any successor organization), or to the licensee or permittee of any public broadcast station, unless the governing body of any such organization, any committee of such governing
governing body, or any advisory body of any such organization, holds open meetings preceded by reasonable notice to the public. All persons shall be permitted to attend any meeting of
the board, or of any such committee or body, and no person shall be required, as a condition to attendance at any such meeting, to register such person's name or to provide any other
information. Nothing contained in this paragraph shall be construed to prevent any such board, committee, or body from holding closed sessions to consider matters relating to individual
employees, proprietary information, litigation and other matters requiring the confidential advice of counsel, commercial or financial information obtained from a person on a privileged
or confidential basis, or the purchase of property or services whenever the premature exposure of such purchase would compromise the business interests of any such organization. If any
such meeting is closed pursuant to the provisions of this paragraph, the organization involved shall thereafter (within a reasonable period of time) make available to the public a written
statement containing an explanation of the reasons for closing the meeting.
Communications Act of 1934 217 (5) Funds may not be distributed pursuant to this subsection to any public telecommunications entity that does not maintain for public examination copies
of the annual financial and audit reports, or other information regarding finances, submitted to the Corporation pursuant to subsection (1)(3)(B). (6)(A) The Corporation shall conduct
a study and prepare a plan in consultation with public television licensees (or designated representatives of those licensees) and the Public Broadcasting Service, on how funds available
to the Corporation under paragraph (3)(A)(ii)(II) can be best allocated to meet the objectives of this Act with regard to national public television programming. The plan, which shall
be based on the conclusions resulting from the study, shall be submitted by the Corporation to the Congress not later than January 31, 1990. Unless directed otherwise by an Act of Congress,
the Corporation shall implement the plan during the first fiscal year beginning after the fiscal year in which the plan is submitted to Congress. (B) The Corporation shall make a basic
grant from the portion reserved for television stations under paragraph (3)(A)(ii)(I) to each licensee and permittee of a public television station that is on the air. The Corporation
shall assist radio stations to maintain and improve their service where public radio is the only broadcast service available. The balance of the portion reserved for television stations
and the total portion reserved for radio stations under paragraph (3)(A)(iii)(I) shall be distributed to licensees and permittees of such stations in accordance with eligibility criteria
(which the Corporation shall review periodically in consultation with public radio and television licensees or permittees, or their designated representatives) that promote the public
interest in public broadcasting, and on the basis of a formula designed to--(i) provide for the financial needs and requirements of stations in relation to the communities and audiences
such stations undertake to serve; (ii) maintain existing, and stimulate new, sources of non-Federal financial support for stations by providing incentives for increases in such support;
and (iii) assure that each eligible licensee and permittee of a public radio station receives a basic grant. (7) The funds distributed pursuant to paragraph (3)(A)(ii)(I) and (iii)(I)
may be used at the discretion of the recipient for purposes related primarily to the production or acquisition of programming. (8)(A) Funds may not be distributed pursuant to this subpart
to any public broadcast station (other than any station which is owned and operated by a state, a political or special purpose subdivision of a state or a public agency) unless such
station establishes a community advisory board. Any such station shall undertake good faith efforts to assure that (i) its advisory board meets at regular intervals; (ii) the members
of its advisory board regularly attend the meetings of the advisory board; and (iii) the composition of of its advisory board are reasonably representative
Communications Act of 1934 218 of the diverse needs and interests of the communities served by such station. (B) The board shall be permitted to review the programming goals established
by the station, the service provided by the station, and the significant policy decisions rendered by the station. The board may also be delegated any other responsibilities, as determined
by the governing body of the station. The board shall advise the governing body of the station with respect to whether the programming and other policies of such station are meeting
the specialized educational and cultural needs of the communities served by the station, and may make such recommendations as it considers appropriate to meet such needs. (C) The role
of the board shall be solely advisory in nature, except to the extent other responsibilities are delegated to the board by the governing body of the station. In no case shall the board
have any authority to exercise any control over the daily management or operation of the station. (D) In the case of any public broadcast station (other than any station which is owned
and operated by a state, a political or special purpose subdivision of a State, or a public agency) in existence on the effective date of this paragraph, such station shall comply with
the requirements of this paragraph with respect to the establishment of a community advisory board not later than 180 days after such effective date. (E) The provision of subparagraph
(A) prohibiting the distribution of funds to any public broadcast station (other than any station which is owned and operated by a State, a political or special purpose subdivision of
a State, or a public agency) unless such station establishes a community advisory board shall be the exclusive remedy for the enforcement of the provisions of this paragraph. (9) Funds
may not be distributed pursuant to this subsection to the Public Broadcasting Service or National Public Radio (or any successor organization) unless assurances are provided to the Corporation
that no officer or employee of the Public Broadcasting Service or National Public Radio (or any successor organization), as the case may be, will be compensated at an annual rate of
pay which exceeds the rate of basic pay in effect from time to time for level I of the Executive Schedule under section 5312 of title 5, United States Code, and unless further assurances
are provided to the Corporation that no officer or employee of such an entity will be loaned money by that entity on an interest-free basis. (10)(A) There is hereby established in the
Treasury a fund which shall be known as the Public Broadcasting Satellite Interconnection Fund (hereinafter in this subsection referred to as the ''Satellite Interconnection Fund''),
to be administered by the Secretary of the Treasury. (B) There is authorized to be appropriated to the Satellite Interconnection Fund, for fiscal year 1991, the amount of $200,000,000.
If such amount is not appropriated in full for fiscal year 1991, the portion of such amount not yet appropriated is authorized to be approriated for fiscal years 1992 and 1993. Funds
appropriated to the Satellite Interconnection Fund shall remain available until
Communications Act of 1934 219 expended. (C) The Secretary of the Treasury shall make available and disburse to
the Corporation, at the beginning of fiscal year 1991 and of each succeeding fiscal year thereafter, such funds as have been appropriated to the Satellite Interconnection Fund for the
fiscal year in which such disbursement is to be made. (D) Notwithstanding any other provision of this subsection except paragraphs (4), (5), (8), and (9), all funds appropriated to the
Satellite Interconnection Fund and interest thereon--(i) shall be distributed by the Corporation to the licensees and permittees of noncommercial educational television broadcast stations
providing public telecommunications services or the national entity they designate for satellite interconnection purposes and to those public telecommunications entities participating
in the public radio satellite interconnection system or the national entity they designate for satellite interconnection purposes, exclusively for the capital costs of the replacement,
refurbishment, or upgrading of their national satellite interconnection systems and associated maintenance of such systems; and (ii) shall not be used for the administrative costs of
the Corporation, the salaries or related expenses of Corporation personnel and members of the Board, or for expenses of consultants and advisers to the Corporation. (11)(A) Funds may
not be distributed pursuant to this subsection for any fiscal year to the licensee or permittee of any public broadcast station if such licensee or permittee--(i) fails to certify to
the Corporation that such licensee or permittee complies with the Commission's regulations concerning equal employment opportunity as published under section 73.2080 of title 47, Code
of Federal Regulations, or any successor regulations thereto; or (ii) fails to submit to the Corporation the report required by subparagraph (B) for the preceding calendar year. (B)
A licensee or permittee of any public broadcast station with more than five full-time employees to file annually with the Corporation a statistical report, consistent with reports required
by Commission regulation, identifying by race and sex the number of employees in each of the following full-time and part-time job categories: (i) Officials and managers. (ii) Professionals.
(iii) Technicians. (iv) Semiskilled operatives. (v) Skilled craft persons. (vi) Clerical and office personnel. (vii) Unskilled operatives. (viii) Service workers.
Communications Act of 1934 220 (C) In addition, such report shall state the number of job openings occurring during the course of the year. Where the job openings were filled in accordance
with the regulations described in subparagraph (A)(i), the report shall so certify, and where the job openings were not filled in accordance with such regulations, the report shall contain
a statement providing reasons therefor. The statistical report shall be available to the public at the central office and at every location where more than five full-time employees are
regularly assigned to work. Records and Audit (l)(1)(A) The accounts of the Corporation shall be audited annually in accordance with generally accepted auditing standards by independent
certified public accountants or independent licensed public accountants certified or licensed by a regulatory authority of a State or other political subdivision of the United States,
except that such requirements shall not preclude shared auditing arrangements between any any public telecommunications entity and its licensee where such licensee is a public or private
institution. The audits shall be conducted at the place or places where the accounts of the Corporation are normally kept. All books, accounts, financial records, reports, files, and
all other papers, things, or property belonging to or in use by the Corporation and necessary to facilitate the audits shall be made available to the person or persons conducting the
audits; and full facilities for verifying transactions with the balances or securities held by depositories, fiscal agents and custodians shall be afforded to such person or persons.(B)
The report of each such independent audit shall be included in the annual report required by subsection (i) of this section. The audit report shall set forth the scope of the audit and
include such statements as are necessary to present fairly the Corporation's assets and liabilities, surplus or deficit, with an analysis of the changes therein during the year, supplemented
in reasonable detail by a statement of the Corporation's income and expenses during the year, and a statement of the sources and application of funds, together with the independent author's
opinion of those statements. (2)(A) The financial transactions of the Corporation for any fiscal year during which Federal funds are available to finance any portion of its operations
may be audited by the General Accounting Office in accordance with the principles and procedures applicable to commercial corporate transactions and under such rules and regulations
as may be prescribed by the Comptroller General of the United States. Any such audit shall be conducted at the place or places where accounts of the Corporation are normally kept. The
representative of the General Accounting Office shall have access to all books, accounts, records, reports, files, and all other papers, things, or property belonging to or in use by
the Corporation pertaining to its financial transactions and necessary to facilitate the audit, and they shall be afforded full facilities for verifying transactions with the balances
or securities held by depositories, fiscal agents, and custodians. All such books, accounts, records, reports, files, papers
Communications Act of 1934 221 and property of the Corporation shall remain in possession and custody of the Corporation. (B) A report of each such audit shall be made by the Comptroller
General to the Congress. The report to the Congress shall contain such comments and information as the Comptroller General may deem necessary to inform Congress of the financial operations
and condition of the Corporation, together with such recommendations with respect thereto as he may deem advisable. The report shall also show specifically any program, expenditure,
or other financial transaction or undertaking observed in the course of the audit, which, in the opinion of the Comptroller General, has been carried on or made without authority of
law. A copy of each report shall be furnished to the President, to the Secretary, and to the Corporation at the time submitted to the Congress. (3)(A) Not later than 1 year after the
effective date of this paragraph, the Corporation, in consultation with the Comptroller General, and as appropriate with others, shall develop accounting principles which shall be used
uniformly by all public telecommunications entities receiving funds under this subpart, taking into account organizational differences among various categories of such entites. Such
principles shall be designed to account fully for all funds received and expended for public telecommunications purposes by such entities. (B) Each public telecommunications entity receiving
funds under this subpart shall be required--(i) to keep its books, records, and accounts in such form as may be required by the Corporation; (ii)(I) to undergo a biennial audit by independent
certified public accountants or independent licensed public accountants certified or licensed by a regulatory authority of a State, which audit shall be in accordance with auditing standards
developed by the Corporation, in consultation with the Comptroller General; or (II) to submit a financial statement in lieu of the audit required by subclause (I) if the Corporation
Corporation determines that the cost burden of such audit on such entity is excessive in light of the financial condition of such entity; and (iii) to furnish biennuially to the Corporation
a copy of the audit report required pursuant to the clause (ii), as well as such other information regarding finances (including an annual financial report) as the Corporation may require.
(C) Any recipient of assistance by grant or contract under this section, other than a fixed price contract awarded pursuant to competitive bidding procedures, shall keep such records
as may be reasonably necessary to disclose fully the amount and the disposition by such recipient of such assistance, that total cost of the project or undertaking in connection with
which such assistance is given or used, and the amount and nature of that portion of the cost of the projects
Communications Act of 1934 222 or undertaking supplied by other sources, and such other records as will facilitate an effective audit. (D) The Corporation or any of its duly authorized
representatives shall have access to any books, documents, papers, and records of any recipient of assistance for the purpose of auditing and examining all funds received or expended
for public telecommunications purposes by the recipient. The Comptroller General of the United States or any of his duly authorized representatives also shall have access to such books,
documents, papers, and records for the purpose of auditing and examining all funds received or expended for public telecommunications purposes during any fiscal year for which Federal
funds are available to the Corporation. (4)(A) The Corporation shall maintain the information described in subparagraphs (B), (C), and (D) at its offices for public inspection and copying
for at least 3 years, according to such reasonable guidelines as the Corporation may issue. This This public file shall be updated regularly. This paragraph shall be effective upon its
enactment and shall apply to all grants awarded after January 1, 1993. (B) Subsequent to any award of funds by the Corporation for the production or acquisition of national broadcasting
programming pursuant to subsection (k)(3)(A) (ii)(II) or (iii)(II), the Corporation shall make available for public inspection the following: (i) Grant and solicitation guidelines for
proposals for such programming. (ii) The reasons for selecting the proposal for which the award was made. (iii) Information on each program for which the award was made, including the
names of the awardee and producer (and if the awardee or producer is a corporation or partnership, the principals of such corporation or partnership), the monetary amount of the award,
and the title and description of the program (and of each program in a series of programs). (iv) A report based on the final audit findings resulting from any audit of the award by the
Corporation or the Comptroller General. (v) Reports which the Corporation shall require to be provided by the awardee relating to national public broadcasting programming funded, produced,
or acquired by the awardee with such funds. Such reports shall include, where applicable, the information described in clauses (i), (ii), and (iii), but shall exclude proprietary, confidential,
or privileged information. (C) The Corporation shall make available for public inspection the final report required by the Corporation on an annual basis from each recipient of funds
under subsection (k)(3)(A)(iii)(III), excluding proprietary, confidential, or privileged information. (D) The Corporation shall make available for public inspection an annual list of
national programs distributed by public broadcasting entities that receive
Communications Act of 1934 223 funds under subsection (k)(3)(A) (ii)(III) or (iii)(II) and are engaged primarily in the national distribution of public television or radio programs.
Such list shall include the names of the programs (or program series), producers, and providers of funding. (m)(1) Prior to July 1, 1989, and every three years thereafter, the Corporation
shall compile an assessment of the needs of minority and diverse audiences, the plans of public broadcasting entities and public telecommunications entities to address such needs, the
ways radio and television can be used to help these underrepresented groups, and projections concerning minority employment by public broadcasting entities and public telecommunications
entities. Such assessment shall address the needs of racial and ethnic minorities, new immigrant populations, people for whom English is a second language, and adults who lack basic
reading skills. (2) Commencing July 1, 1989, the Corporation shall prepare an annual report on the provision by public broadcasting entities and public telecommunications entities of
service to the audiences described in paragraph (1). Such report shall address programming (including that which is produced by minority producers), training, minority employment, and
efforts by the Corporation to increase the number of minority public radio and television stations eligible for financial support from the Corporation. Such report shall include a summary
of the statistical reports received by the Corporation pursuant to subsection (k)(11), and a comparison of the information contained in those reports with the information submitted by
the Corporation in the previous year's annual report. (3) As soon as they have been prepared, each assessment and annual report required under paragraphs (1) and (2) shall be submitted
to Congress. Subpart E--General SEC. 397. [47 U.S.C. 397] DEFINITIONS. For the purposes of this part--(1) The term ''construction'' (as applied to public telecommunications facilities)
means acquisition (including acquisition by lease), installation, and modernization of public telecommunications facilities and planning and preparatory steps incidental to any such
acquisition, installation, or modernization. (2) The term ''Corporation'' means the Corporation for Public Broadcasting authorized to be established in subpart D. (3) The term ''interconnection''
means the use of microwave equipment, boosters, translators, repeaters, communication space satellites, or other apparatus or equipment for the transmission and distribution of television
or radio programs to public telecommunications entities. (4) The term ''interconnection system'' means any system of interconnection facilities used for the distribution of programs
to public telecommunications
Communications Act of 1934 224 entities.(5) The term ''meeting'' means the deliberations of at least the number of members of a governing or advisory body, or any committee thereof,
required to take action on behalf of such body or committee where such deliberations determine or result in the joint conduct or disposition of the governing or advisory body's business,
or the committee's business, as the case may be, but only to the extent that such deliberations relate to public broadcasting. (6) The terms ''noncommercial educational broadcast station''
and ''public broadcast station'' mean a television or radio broadcast station which--(A) under the rules and regulations of the Commission in effect on the effective date of this paragraph,
is eligible to be licensed by the Commission as a noncommercial educational radio or television broadcast station and which is owned and operated by a public agency or nonprofit private
foundation, corporation, or association; or (B) is owned and operated by a municipality and which transmits only noncommercial programs for education purposes. (7) The term ''noncommercial
telecommunications entity'' means any enterprise which--(A) is owned and operated by a State, a political or special purpose subdivision of a State, a public agency, or a nonprofit private
foundation, corporation, or association; and (B) has been organized primarily for the purpose of disseminating audio or video noncommercial educational and cultural programs to the public
by means other than a primary television or radio broadcast station, including, but not limited to, coaxial cable, optical fiber, broadcast translators, cassettes, discs, microwave,
or laser transmission through the atmosphere. (8) The term ''nonprofit'' (as applied to any foundation, corporation, or association) means a foundation, corporation, or association,
no part of the net earnings of which inures, or may lawfully inure, to the benefit of any private shareholder or individual. (9) The term ''non-Federal financial support'' means the
the total value of cash and the fair market value of property and services (including, to the extent provided in the second sentence of this paragraph, the personal services of volunteers)
received--(A) as gifts, grants, bequests, donations, or other contributions for the construction or operation of noncommercial educational broadcast stations, or for the production,
acquisition, distribution, or dissemination of educational television or radio programs, and related activities, from any source other than (i) the United States or any agency or instrumentality
of the United States; or (ii) any public broadcasting entity; or (B) as gifts, grants, donations, contributions, or payments from any
Communications Act of 1934 225 State, or any educational institution, for the construction or operation of noncommercial educational broadcast stations or for the production, acquisition,
distribution, or dissemination of educational television or radio programs, or payments in exchange for services or materials with respect to the provision of educational or instructional
television or radio programs. Such term includes the fair market value of personal services of volunteers, as computed using the valuation standards established by the Corporation and
approved by the Comptroller General pursuant to section 396(g)(5), but only with respect to such services provided to public telecommunications entities after such standards are approved
by the Comptroller General and only, with respect to such an entity in a fiscal year, to the extent that the value of the services does not exceed 5 percent of the total non-Federal
financial support of the entity in such fiscal year. (10) The term ''preoperational expenses'' means all nonconstruction costs incurred by new telecommunications entities before the
date on which they begin providing service to the public, and all nonconstruction costs associated with expansion of existing entities before the date on which such expanded capacity
is activated, except that such expenses shall not include any portion of the salaries of any personnel employed by an operating public telecommunications entity. (11) The term ''Public
broadcasting entity'' means the Corporation, any licensee or permittee of a public broadcast station, or any nonprofit institution engaged primarily in the production, acquisition, distribution,
or dissemination of educational and cultural television or radio programs. (12) The term ''public telecommunications entity'' means any enterprise which--(A) is a public broadcast station
or a noncommercial telecommunications entity; and (B) disseminates public telecommunications services to the public. (13) The term ''public telecommunications facilities'' means apparatus
necessary for production, interconnection, captioning, broadcast, or other distribution of programming, including, but not limited to, studio equipment, cameras, microphones, audio and
video storage or reproduction equipment, or both, signal processors and switchers, towers, antennas, transmitters, translators, microwave equipment, mobile equipment, satellite communications
equipment, instructional television fixed service equipment, subsidiary communications authorization transmitting and receiving equipment, cable television equipment, video and audio
cassettes and discs, optical fiber communications equipment, and other means of transmitting, emitting, storing, and receiving images and sounds, or intelligence, except that such term
does not include the buildings to house such apparatus (other than small equipment shelters which are part of satellite earth stations, translators, microwave interconnection facilities,
and similar facilities).
Communications Act of 1934 226 (14) The term ''public telecommunications services'' means noncommercial educational and cultural radio and television programs, and related noncommercial
instructional or informational material that may be transmitted by means of electronic communications. (15) The term ''Secretary'' means the Secretary of Commerce when such term is used
in subpart A and subpart B, and the Secretary of Health and Human Services when such term is used in subpart C, subpart D, and this subpart. (16) The term ''State'' includes the District
of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Northern Mariana Islands, and the Trust Territory of the Pacific Islands. (17) The term ''system
of public telecommunications entities'' means any combination of public telecommunications entities acting cooperatively to produce, acquire, or distribute programs, or to undertake
related activities. SEC. 398. [47 U.S.C. 398] FEDERAL INTERFERENCE OR CONTROL PROHIBITED; EQUAL EMPLOYMENT OPPORTUNITY. (a) Nothing contained in this part shall be deemed (1) to amend
any other provision of, or requirement under, this Act; or (2) except to the extent authorized in subsection (b), to authorize any department, agency, officer, or employee of the United
States to exercise any direction, supervision, or control over public telecommunications, or over the Corporation or any of its grantees or contractors, or over the charter or bylaws
of the Corporation, or over the curriculum, program of instruction, or personnel of any educational institution, school system, or public telecommunications entity. (b)(1) Equal opportunity
in employment shall be afforded to all persons by the Public Broadcasting Service and National Public Radio (or any successor organization) and by all public telecommunications entities
receiving funds pursuant to subpart C (hereinafter in this subsection referred to as ''recipients''), in accordance with the equal employment opportunity regulations of the Commission,
and no person shall be subjected to discrimination in employment by any recipient on the grounds of race, color, religion, national origin, or sex. (2)(A) The Secretary is authorized
and directed to enforce this subsection and to prescribe such rules and regulations as may be necessary to carry out the functions of the Secretary under this subsection. (B) The Secretary
shall provide for close coordination with the Commission in the administration of the responsibilities of the Secretary under this subsection which are of interest to or affect the functions
of the Commission so that, to the maximum extent possible consistent with the enforcement responsibilities of each, the reporting requirements of public telecommunications entities shall
be uniformly based upon consistent definitions and categories of information. (3)(A) The Corporation shall incorporate into each grant agreement or
Communications Act of 1934 227 contract with any recipient entered into on or after the effective date of the rules and regulations prescribed by the Secretary pursuant to paragraph
(2)(A), a statement indicating that, as a material part of the terms and conditions of the grant agreement or contract, the recipient will comply with the provisions of paragraph (1)
and the rules and regulations prescribed pursuant to paragraph (2)(A). Any person which desires to be a recipient (within the meaning of paragraph (1)) of funds under subpart C shall,
before receiving any such funds, provide to the Corporation any information which the Corporation may require to satisfy itself that such person is affording equal opportunity in employment
in accordance with the requirements of this subsection. Determinations made by the Corporation in accordance with the preceding sentence shall be based upon guidelines relating to equal
opportunity in employment which shall be established by rule by the Secretary. (B) If the Corporation is not satisfied that any such person is affording equal opportunity in employment
in accordance with the requirements of this subsection, the Corporation shall notify the Secretary, and the Secretary shall review the matter and make a final determination regarding
whether such person is affording equal opportunity in employment. In any case in which the Secretary conducts a review under the preceding sentence the Corporation shall make funds available
to the person involved pursuant to the grant application of such person (if the Corporation would have approved such application but for the finding of the Corporation under this paragraph)
pending a final determination of the Secretary upon completion of such review. The Corporation shall monitor the equal employment opportunity practices of each recipient throughout the
duration of the grant or contract. (C) The provisions of subparagraph (A) and subparagraph (B) shall take effect on the effective date of the rules and regulations prescribed by the
Secretary pursuant to paragraph (2)(A). (4) Based upon its responsibilities under paragraph (3), the Corporation shall provide an annual report for the preceding fiscal year ending September
30 to the Secretary on or before the 15th day of February of each year. The report shall contain information in the form required by the Secretary. The Corporation shall submit a summary
of such report to the President and the Congress as part of the report required in section 396(i). The Corporation shall provide other information in the form which the Secretary may
require in order to carry out the functions of the Secretary under this subsection. (5) Whenever the Secretary makes a final determination, pursuant to the rules and regulations which
the Secretary shall prescribe, that a recipient is not in compliance with paragraph (1), the Secretary shall within 10 days after such determination, notify the recipient in writing
of such determination and request the recipient to secure compliance. Unless the recipient within 120 days after receipt of such written notice--
Communications Act of 1934 228 (A) demonstrates to the Secretary that the violation has been corrected; or (B) enters into a compliance agreement approved by the Secretary; the Secretary
shall direct the Corporation to reduce or suspend any further payments of funds under this part to the recipient and the Corporation shall comply with such directive. Resumption of payments
shall take place only when the Secretary certifies to the Corporation that the recipient has entered into a compliance agreement approved by the Secretary. A recipient whose funds have
been reduced or suspended under this paragraph may apply at any time to the Secretary for such certification. (c) Nothing in this section shall be construed to authorize any department,
agency, officer, or employee of the United States to exercise any direction, supervision, or control over the content or distribution of public telecommunications programs and services,
or over the curriculum or program of instruction of any educational institution or school system. SEC. 399. [47 U.S.C. 399] SUPPORT OF POLITICAL CANDIDATES PROHIBITED. No noncommercial
educational broadcasting station may support or oppose any candidate for political office. SEC. 399A. [47 U.S.C. 399a] USE OF BUSINESS OR INSTITUTIONAL LOGOGRAMS. (a) For purposes of
this section, the term ''business or institutional logogram'' means any aural or visual letters or words, or any symbol or sign, which is used for the exclusive purpose of identifying
any corporation, company, or other organization, and which is not used for the purpose of promoting the products, services, or facilities of such corporation, company, or other organization.
(b) Each public television station and each public radio station shall be authorized to broadcast announcements which include the use of any business or institutional logogram and which
include a reference to the location of the corporation, company, or other organization involved, except that such announcements may not interrupt regular programming. (c) The provisions
of this section shall not be construed to limit the authority of the Commission to prescribe regulations relating to the manner in which logograms may be used to identify corporations,
companies, or other organizations. SEC. 399B. [47 U.S.C. 399b] OFFERING OF CERTAIN SERVICES, FACILITIES, OR PRODUCTS BY PUBLIC BROADCAST STATIONS. (a) For purposes of this section, the
term ''advertisement'' means any message or other programming material which is broadcast or otherwise
Communications Act of 1934 229 transmitted in exchange for any remuneration, and which is intended--(1) to promote any service, facility, or product offered by any person who is engaged
in such offering for profit; (2) to express the views of any person with respect to any matter of public importance or interest; or (3) to support or oppose any candidate for political
office. (b)(1) Except as provided in paragraph (2), each public broadcast station shall be authorized to engage in the offering of services, facilities, or products in exchange for remuneration.
(2) No public broadcast station may make its facilities available to any person for the broadcasting of any advertisement. (c) Any public broadcast station which engages in any offering
specified in subsection (b)(1) may not use any funds distributed by the Corporation under section 396(k) to defray any costs associated with such offering. Any such offering by a public
broadcast station shall not interfere with the provision of public telecommunications services by such station. (d) Each public broadcast station which engages in the activity specified
in subsection (b)(1) shall, in consultation with the Corporation, develop an accounting system which is designed to identify any amounts received as remuneration for, or costs related
to, such activities under this section, and to account for such amounts separately from any other amounts received by such station from any source. TITLE IV--PROCEDURAL AND ADMINISTRATIVE
PROVISIONS SEC. 401. [47 U.S.C. 401] JURISDICTION TO ENFORCE ACT AND ORDERS OF COMMISSION. (a) The district courts of the United States shall have jurisdiction, upon application of the
Attorney General of the United States at the request of the Commission, alleging a failure to comply with or a violation of any of the provisions of this Act by any person, to issue
a writ or writs of mandamus commanding such person to comply with the provisions of this Act. (b) If any person fails or neglects to obey any order of the Commission other than for the
payment of money, while the same is in effect, the Commission or any party injured thereby, or the United States, by its Attorney General, may apply to the appropriate district court
of the United States for the enforcement of such order. If, after hearing, that court determines that the order was regularly made and duly served, and that the person is in disobedience
of the same, the court shall enforce obedience to such order by a writ of injunction or other proper process, mandatory or otherwise, to restrain such person or the officers, agents,
or
Communications Act of 1934 230 representatives of such person, from further disobedience of such order, or to enjoin upon it or them obedience to the same. (c) Upon the request of the
Commission it shall be the duty of any district attorney of the United States to whom the Commission may apply to institute in the proper court and to prosecute under the direction of
the Attorney General of the United States all necessary proceedings for the enforcement of the provisions of this Act and for the punishment of all violations thereof, and the costs
and expenses of such prosecutions shall be paid out of the appropriations for the expenses of the courts of the United States. SEC. 402. [47 U.S.C. 402] PROCEEDINGS TO ENJOIN, SET ASIDE,
ANNUL, OR SUSPEND ORDERS OF THE COMMISSION. (a) Any proceeding to enjoin, set aside, annul, or suspend any order of the Commission under this Act (except those appealable under subsection
(b) of this section) shall be brought as provided by and in the manner prescribed in chapter 158 of title 28, United States Code. (b) Appeals may be taken from decisions and orders of
the Commission to the United States Court of Appeals for the District of Columbia in any of the following cases: (1) By any applicant for a construction permit or station license, whose
application is denied by the Commission. (2) By any applicant for the renewal or modification of any such instrument of authorization whose application is denied by the Commission. (3)
By any party to an application for authority to transfer, assign, or dispose of any such instrument of authorization, or any rights thereunder, whose application is denied by the Commission.
(4) By any applicant for the permit required by section 325 of this act whose application has been denied by the Commission, or by any permittee under said section whose permit has been
revoked by the Commission. (5) By the holder of any construction permit or station license which has been modified or revoked by the Commission. (6) By any other person who is aggrieved
or or whose interests are adversely affected by any order of the Commission granting or denying any application described in paragraphs (1), (2), (3), (4), and (9) hereof. (7) By any
person upon whom an order to cease and desist has been served under section 312 of this Act. (8) By any radio operator whose license has been suspended by the Commission. (9) By any
applicant for authority to provide interLATA services under section 271 of this Act whose application is denied by the Commission. (c) Such appeal shall be taken by filing a notice of
appeal with the court within thirty days from the date upon which public notice is given of the decision
Communications Act of 1934 231 or order complained of. Such notice of appeal shall contain a concise statement of the nature of the preceedings as to which the appeal is taken; a concise
statement of the reasons on which the appellant intends to rely, separately stated and numbered; and proof of service of a true copy of said notice and statement upon the Commission.
Upon filing of such notice, the court shall have jurisdiction of the proceedings and of the questions determined therein and shall have power, by order, directed to the Commission or
any other party to the appeal, to grant such temporary relief as it may deem just and proper. Orders granting temporary relief may be either affirmative or negative in their scope and
application so as to permit either the maintenance of the status quo in the matter in which the appeal is taken or the restoration of a position or status terminated or adversely affected
by the order appealed from and shall, unless otherwise ordered by the court, be effective pending pending hearing and determination of said appeal and compliance by the Commission with
the final judgment of the court rendered in said appeal. (d) Upon the filing of any such notice of appeal the appellant shall, not later than five days after the filing of such notice,
notify each person shown by the records of the Commission to be interested in said appeal of the filing and pendency of the same. The Commission shall file with the court the record
upon which the order complained of was entered, as provided in section 2112 of Title 28, United States Code. (e) Within thirty days after the filing of any such appeal any interested
person may intervene and participate in the proceedings had upon said appeal by filing with the court a notice of intention to intervene and a verified statement showing the nature of
the interest of such party, together with proof of service of true copies of said notice and statement, both upon appellant and upon the Commission. Any person who would be aggrieved
or whose interest would be adversely affected by a reversal or modification of the order of the Commission complained of shall be considered an interested party. (f) The record and briefs
upon which any such appeal shall be heard and determined by the court shall contain such information and material, and shall be prepared within such time and in such manner as the court
may by rule prescribe. (g) The court shall hear and determine the appeal upon the record before it in the manner prescribed by section 706 of title 5. (h) In the event that the court
shall render a decision and enter an order reversing the order of the Commission, it shall remand the case to the Commission to carry out the judgment of the court and it shall be the
duty of the Commission, in the absence of the proceedings to review such judgment, to forthwith give effect thereto, and unless otherwise ordered by the court, to do so upon the basis
of the proceedings already had and the record upon which said appeal was heard and determined. (i) The court may, in in its discretion, enter judgment for costs in favor of or against
an appellant, or other interested parties intervening in said appeal, but not
Communications Act of 1934 232 against the Commission, depending upon the nature of the issues involved upon said appeal and the outcome thereof. (j) The court's judgment shall be final,
subject, however, to review by the Supreme Court of the United States upon writ of certiorari on petition therefor under section 1254 of title 28 of the United States Code, by the appellant,
by the Commission, or by any interested party intervening in the appeal, or by certification by the court pursuant to the provisions of that section. SEC. 403. [47 U.S.C. 403] INQUIRY
BY COMMISSION ON ITS OWN MOTION. The Commission shall have full authority and power at any time to institute an inquiry, on its own motion, in any case and as to any matter or thing
concerning which complaint is authorized to be made, to or before the Commission by any provision of this Act, or concerning which any question may arise under any of the provisions
of this Act, or relating to the enforcement of any of the provisions of this Act. The Commission Commission shall have the same powers and authority to proceed with any inquiry instituted
on its own motion as though it had been appealed to by complaint or petition under any of the provisions of this Act, including the power to make and enforce any order or orders in the
case, or relating to the matter or thing concerning which the inquiry is had, excepting orders for the payment of money. SEC. 404. [47 U.S.C. 404] REPORTS OF INVESTIGATIONS. Whenever
an investigation shall be made by the Commission it shall be its duty to make a report in writing in respect thereto, which shall state the conclusions of the Commission, together with
its decision, order, or requirements in the premises; and in case damages are awarded such report shall include the findings of fact on which the award is made. SEC. 405. [47 U.S.C.
405] RECONSIDERATIONS. (a) After an order, decision, report, or action has been made or taken in any proceeding by the Commission, or by any designated authority within the Commission
pursuant to a delegation under section 5(c)(1), any party thereto, or any other person aggrieved or whose interests are adversely affected thereby, may petition for reconsideration only
to the authority making or taking the order, decision, report, or action; and it shall be lawful for such authority, whether it be the Commission or other authority designated under
section 5(c)(1), in its discretion, to grant such a reconsideration if sufficient reason therefor be made to appear. A petition for reconsideration must be filed within thirty days from
the date upon which public notice is given of the order, decision, report, or action complained of. No such application shall excuse any person from complying with or obeying any order,
decision, report, or action of the Commission, or operate in
Communications Act of 1934 233 any manner to stay or postpone the enforcement thereof, without the special order of the Commission. The filing of a petition for reconsideration shall
not be a condition precedent to judicial review of any such order, decision, report, or action, except where the party seeking such review (1) was not a party to the proceedings resulting
in such order, decision, report, or action, or (2) relies on questions of fact or law upon which the Commission, or designated authority within the Commission, has been afforded no opportunity
to pass. The Commission, or designated authority within the Commission, shall enter an order, with a concise statement of the reasons therefor, denying a petition for reconsideration
or granting such petition, in whole or in part, and ordering such further proceedings as may be appropriate: Provided, That in any case where such petition relates to an instrument of
authorization granted without a hearing, the Commission, or designated authority within the the Commission, shall take such action within ninety days of the filing of such petition.
Reconsiderations shall be governed by such general rules as the Commission may establish, except that no evidence other than newly discovered evidence, evidence which has become available
only since the original taking of evidence, or evidence which the Commission or designated authority within the Commission believes should have been taken in the original proceeding
shall be taken on any reconsideration. The time within which a petition for review must be filed in a proceeding to which section 402(a) applies, or within which an appeal must be taken
under section 402(b) in any case, shall be computed from the date upon which the Commission gives public notice of the order, decision, report, or action complained of. (b)(1) Within
90 days after receiving a petition for reconsideration of an order concluding a hearing under section 204(a) or concluding an investigation under section 208(b), the Commission shall
issue an order granting or denying such petition. (2) Any order issued under paragraph (1) shall be a final order and may be appealed under section 402(a). SEC. 406. [47 U.S.C. 406]
MANDAMUS TO COMPEL FURNISHING OF FACILITIES. The district courts of the United States shall have jurisdiction upon the relation of any person alleging any violation, by a carrier subject
to this Act, of any of the provisions of this Act which prevent the relator from receiving service in interstate or foreign communication by wire or radio, or in interstate or foreign
transmission of energy by radio, from said carrier at the same charges, or upon terms or conditions as favorable as those given by said carrier for like communication or transmission
under similar conditions to any other person, to issue a writ or writs of mandamus against said carrier commanding such carrier to furnish facilities for such communication or transmission
to the party applying for the writ: Provided, That if any question of fact as to the proper compensation to
Communications Act of 1934 234 the carrier for the service to be enforced by the writ is raised by the pleadings, the writ of peremptory mandamus may issue, notwithstanding such question
of fact is undetermined, upon such terms as to security, payment of money into the court, or otherwise, as the court may think proper pending the detemination of the question of fact:
Provided further, That the remedy hereby given by writ of mandamus shall be cumulative and shall not be held to exclude or interfere with other remedies provided by this Act. SEC. 407.
[47 U.S.C. 407] PETITION FOR ENFORCEMENT OF ORDER FOR PAYMENT OF MONEY. If a carrier does not comply with an order for the payment of money within the time limit in such order, the complainant,
or any person for whose benefit such order was made, may file in the district court of the United States for the district in which he resides or in which is located the principal operating
office of the carrier, or through which the line of the carrier runs, or in any State court of general jurisdiction having jurisdiction of the parties, a petition setting forth briefly
the causes for which he claims damages, and the order of the Commission in the premises. Such suit in the district court of the United States shall proceed in all respects like other
civil suits for damages, except that on the trial of such suits the findings and order of the Commission shall be prima facie evidence of the facts therein stated, except that the petitioner
shall not be liable for costs in the district court nor for costs at any subsequent stage of the proceedings unless they accrue upon his appeal. If the petitioner shall finally prevail,
he shall be allowed a reasonable attorney's fee, to be taxed and collected as a part of the costs of the suit. SEC. 408. [47 U.S.C. 408] ORDERS NOT FOR PAYMENT OF MONEY--WHEN EFFECTIVE.
Except as otherwise provided in this Act, all orders of the Commission, other than orders for the payment of money, shall take effect thirty calendar days from the date upon which public
notice of the order is given, unless the Commission designates a different effective date. All such orders shall continue in force for the period of time specified in the order or until
the Commission or a court of competent jurisdiction issues a superseding order. SEC. 409. [47 U.S.C. 409] GENERAL PROVISIONS RELATING TO PROCEEDINGS--WITNESSES AND DEPOSITIONS. (a) In
every case of adjudication (as defined in the Administrative Procedure Act) which has been designated by the Commission for hearing, the person or persons conducting the hearing shall
prepare and file an initial, tentative, or recommended decision, except where such person or persons become
Communications Act of 1934 235 unavailable to the Commission or where the Commission finds upon the record that due and timely execution of its functions imperatively and unavoidably
require that the record be certified to the Commission for initial or final decision. (b) In every case of adjudication (as defined in the Administrative Procedure Act) which has been
designated by the Commission for hearing, any party to the proceeding shall be permitted to file exceptions and memoranda in support thereof to the initial, tentative, or recommended
decision, which shall be passed upon by the Commission or by the authority within the Commission, if any, to whom the function of passing upon the exceptions is delegated under section
5(d)(1): Provided, however, That such authority shall not be the same authority which made the decision to which the exception is taken. (c)(1) In any case of adjudication (as defined
in the Administrative Procedure Act) which has been designated by the Commission for a hearing, no person who has participated in the presentation or preparation for presentation of
such case at the hearing or upon review shall (except to the extent required for the disposition of exparte matters as authorized by law) directly or indirectly make any additional presentation
respecting such case to the hearing officer or officers or to the Commission, or to any authority within the Commission to whom, in such case, review functions have been delegated by
the Commission under section 5(d)(1), unless upon notice and opportunity for all parties to participate. (2) The provision in subsection (c) of section 5 of the Administrative Procedure
Act which states that such subsection shall not apply in determining applications for initial licenses, shall not be applicable hereafter in the case of applications for initial licenses
before the Federal Communications Commission. (d) To the extent that the foregoing provisions of this section and section 5(d) are in conflict with the provisions of the Administrative
Procedure Procedure Act, such provisions of this section and section 5(d) shall be held to supersede and modify the provisions of that Act. (e) For the purposes of this Act the Commission
shall have the power to require by subpena the attendance and testimony of witnesses and the production of all books, papers, schedules of charges, contracts, agreements, and documents
relating to any matter under investigation. Witnesses summoned before the Commission shall be paid the same fees and mileage that are paid witnesses in the courts of the United States.
(f) Such attendance of witnesses, and the production of such documentary evidence, may be required from any place in the United States, at any designated place of hearing. And in case
of disobedience to a subpena the Commission, or any party to a proceeding before the Commission, may invoke the aid of any court of the United States in requiring the attendance and
testimony of witnesses and the production of books, papers, and documents under the provisions of this section. (g) Any of the district courts of the United States within the jurisdiction
of which such inquiry is carried on may, in case of contumacy or refusal to obey a
Communications Act of 1934 236 subpena issued to any common carrier or licensee or other person, issue an order requiring such common carrier, licensee, and other person to appear before
the Commission (and produce books and papers if so ordered) and give evidence touching the matter in question; and any failure to obey such order of the court may be punished by such
court as a contempt thereof. (h) The testimony of any witness may be taken, at the instance of a party, in any proceeding or investigation pending before the Commission, by deposition,
at any time after a cause or proceeding is at issue on petition and answer. The Commission may also order testimony to be taken by deposition in any proceeding or investigation pending
before it, at any stage of such proceeding or investigation. Such depositions may be taken before any judge of any court of the United States, or any United States Commissioner, or any
clerk of a district court, or any chancellor, justice, or judge of a supreme or superior court, mayor, or chief magistrate of a city, judge of a county court, or court of common pleas
of any of the United States, or any notary public, not being of counsel or attorney to either of the parties, nor interested in the event of the proceeding or investigation. Reasonable
notice must first be given in writing by the party or his attorney proposing to take such deposition to the opposite party or his attorney of record, as either may be nearest, which
notice shall state the name of the witness and the time and place of the taking of his deposition. Any person may be compelled to appear and depose, and to produce documentary evidence,
in the same manner as witnesses may be compelled to appear and testify and produce documentary evidence before the Commission, as hereinbefore provided. (i) Every person deposing as
herein provided shall be cautioned and sworn (or affirm, if he so request) to testify the whole truth, and shall be carefully examined. His testimony shall be reduced to writing by the
magistrate taking the deposition, or under his direction, and shall, after it has been reduced to writing, be subscribed by the deponent. (j) If a witness whose testimony may be desired
to be taken by deposition be in a foreign country, the deposition may be taken before an officer or person designated by the Commission, or agreed upon by the parties by stipulation
in writing to be filed with the Commission. All depositions must be promptly filed with the Commission. (k) Witnesses whose depositions are taken as authorized in this Act, and the magistrates
or other officer taking the same, shall severally be entitled to the same fees as are paid for like services in the courts of the United States. [(l) Repealed.] (m) Any person who shall
neglect or refuse to attend and testify, or to answer any lawful inquiry, or to produce books, papers, schedules of charges, contracts, agreements, and documents, if in his power to
do so, in obedience to the subpena or lawful requirement of the Commission, shall be guilty of a misdemeanor and upon conviction thereof by a court of competent jurisdiction
Communications Act of 1934 237 shall be punished by a fine of not less than $100 nor more than $5,000, or by imprisonment for not more than one year, or by both such fine and imprisonment.
SEC. 410. [47 U.S.C. 410] USE OF JOINT BOARDS--COOPERATION WITH STATE COMMISSIONS. (a) Except as provided in section 409, the Commission may refer any matter arising in the administration
of this Act to a joint board to be composed of a member, or of an equal number of members, as determined by the Commission, from each of the States in which the wire or radio communication
affected by or involved in the proceeding takes place or is proposed. For purposes of acting upon such matter any such board shall have all the jurisdiction and powers conferred by law
upon an examiner provided for in section 11 of the Administrative Procedure Act, designated by the Commission, and shall be subject to the same duties and obligations. The action of
a joint board shall have such force and effect and its proceedings shall be conducted in such manner as the Commission shall by regulations prescribe. The joint board member or members
for each State shall be nominated by the State commision of the State or by the Governor if there is no State commission, and appointed by the Federal Communications Commission. The
Commission shall have discretion to reject any nominee. Joint Board members shall receive such allowances for expenses as the Commission shall provide. (b) The Commission may confer
with any State commission having regulatory jurisdiction with respect to carriers, regarding the relationship between rate structures, accounts, charges, practices, classifications,
and regulations of carriers subject to the jurisdiction of such State commission and of the Commission; and the Commission is authorized under such rules and regulations as it shall
prescribe to hold joint hearings with any State commission in connection with any matter with respect to which the Commission is authorized to act. The Commission is authorized in the
administration of this Act to avail itself of such cooperation, services, records, and facilities as may be afforded by any State commission. (c) The Commission shall refer any proceeding
regarding the jurisdictional separation of common carrier property and expenses between interstate and intrastate operations, which it institutes pursuant to a notice of proposed rulemaking
and, except as provided in section 409 of this Act, may refer any other matter, relating to common carrier communications of joint Federal-State concern, to a Federal-State Joint Board.
The Joint Board shall possess the same jurisdiction, power, duties, and obligations as a joint board established under subsection (a) of this section, and shall prepare a recommended
decision for prompt review and action by the Commission. In addition, the State members of the Joint Board shall sit with the Commission en banc at any oral agrument that may be scheduled
in the proceeding. The Commission shall also afford the State members of the Joint Board an opportunity opportunity to participate in its deliberations, but not vote, when it has
Communications Act of 1934 238 under consideration the recommended decision of the Joint Board or any further decisional action that may be required in the proceeding. The Joint Board
shall be composed of three Commissioners of the Commission and of four State commissioners nominated by the national organization of the State commissions and approved by the Commission.
The Chairman of the Commission, or another Commissioner designated by the Commission, shall serve as Chairman of the Joint Board. SEC. 411. [47 U.S.C. 411] JOINDER OF PARTIES. (a) In
any proceeding for the enforcement of the provisions of this Act, whether such proceeding be instituted before the Commission or be begun originally in any district court of the United
States, it shall be lawful to include as parties, in addition to the carrier, all persons interested in or affected by the charge, regulation, or practice under consideration, and inquiries,
investigations, orders, and decrees may be made with reference to and against such additional parties in the same manner, to the same extent, and subject to the same provisions as are
or shall be authorized by law with respect to carriers. (b) In any suit for the enforcement of an order for the payment of money all parties in whose favor the Commission may have made
an award for damages by a single order may be joined as plaintiffs, and all of the carriers parties to such order awarding such damages may be joined as defendants, and such suit may
be maintained by such joint plaintiffs and against such joint defendants in any district where any one of such joint plaintiffs could maintain such suit against any one of such joint
defendants; and service of process against any one of such defendants as may not be found in the district where the suit is brought may be made in any district where such defendant carrier
has its principal operating office. In case of such joint suit, the recovery, if any, may be by judgment in favor of any one of such plaintiffs, against the defendant found to be liable
to such plaintiff. SEC. 412. [47 U.S.C. 412] DOCUMENTS FILED TO BE PUBLIC RECORDS--USE IN PROCEEDINGS. The copies of schedules of charges, classifications, and of all contracts, agreements,
and arrangements between common carriers filed with the
Commission as herein provided, and the statistics, tables, and figures contained in the annual or other reports of carriers and other persons made to the Commission as required under
the provisions of this Act shall be preserved as public records in the custody of the secretary of the Commission, and shall be received as prima facie evidence of what they purport
to be for the purpose of investigations by the Commission and in all judicial proceedings; and copies of and extracts from any of said schedules, classifications, contracts, agreements,
arrangements, or reports made public records as aforesaid, certified by the secretary, under the Commission's seal, shall be received in evidence with like effect as the originals:
Communications Act of 1934 239 Provided, That the Commission may, if the public interest will be served thereby, keep confidential any contract, agreement, or arrangement relating to
foreign wire or radio communication when the publication of such contract, agreement, or arrangement would place American communication companies at a disadvantage in meeting the competition
of foreign communication companies. SEC. 413. [47 U.S.C. 413] DESIGNATION OF AGENT FOR SERVICE. It shall be the duty of every carrier subject to this Act to designate in writing an agent
in the District of Columbia, upon whom service of all notices and process and all orders, decisions, and requirements of the Commission may be made for and on behalf of said carrier
in any proceeding or suit pending before the Commission, and to file such designation in the office of the secretary of the Commission, which designation may from time to time be changed
by like writing similarly filed; and thereupon service of all notices and process and orders, decisions, and requirements of the Commission may be made upon such carrier by leaving a
copy thereof with such designated agent at his office or usual place of residence in the District of Columbia, with like effect as if made personally upon such carrier, and in default
of such designation of such agent, service of any notice or other process in any proceeding before said Commission, or of any order, decision, or requirement of the Commission, may be
made by posting such notice, process, order, requirement, or decision in the office of the secretary of the Commission. SEC. 414. [47 U.S.C. 414] REMEDIES IN THIS ACT NOT EXCLUSIVE.
Nothing in this Act contained shall in any way abridge or alter the remedies now existing at common law or by statute, but the provisions of this Act are in addition to such remedies.
SEC. 415. [47 U.S.C. 415] LIMITATIONS AS TO ACTIONS. (a) All actions at law by carriers for recovery of their lawful charges, or any part thereof, shall be begun, within two years from
the time the cause of action accrues, and not after. (b) All complaints against carriers for the recovery of damages not based on overcharges shall be filed with the Commission within
two years from the time the cause of action accrues, and not after, subject to subsection (d) of this section. (c) For recovery of overcharges action at law shall be begun or complaint
filed with the Commission against carriers within two years from the time the cause of action accrues, and not after, subject to subsection (d) of this section, except that if claim
for the overcharge has been presented in writing to the carrier within the two-year period of limitation said period shall be extended to include two years from the time notice in writing
is given by the carrier to the claimant of disallowance of the claim, or any part or parts thereof, specified in the notice.
Communications Act of 1934 240 (d) If on or before expiration of the period of limitation in subsection (b) or (c) a carrier begins action under subsection (a) for recovery of lawful
charges in respect of the same service, or, without beginning action, collects charges in respect of that service, said period of limitation shall be extended to include ninety days
from the time such action is begun or such charges are collected by the carrier. (e) The cause of action in respect of the transmission of a message shall, for the purposes of this section,
be deemed to accrue upon delivery or tender of delivery thereof by the carrier, and not after. (f) A petition for the enforcement of an order of the Commission for the payment of money
shall be filed in the district court or the State court within one year from the date of the order, and not after. (g) The term ''overcharges'' as used in this section shall be deemed
to mean charges for services in excess of those applicable thereto under the schedules of charges lawfully on file with the Commission. SEC. 416. [47 U.S.C. 416] PROVISIONS RELATING
TO ORDERS. (a) Every order of the Commission shall be forthwith served upon the designated agent of the carrier in the city of Washington or in such other manner as may be provided by
law. (b) Except as otherwise provided in this Act, the Commission is hereby authorized to suspend or modify its orders upon such notice and in such manner as it shall deem proper. (c)
It shall be the duty of every person, its agents and employees, and any receiver or trustee thereof, to observe and comply with such orders so long as the same shall remain in effect.
TITLE V--PENAL PROVISIONS--FORFEITURES SEC. 501. [47 U.S.C. 501] GENERAL PENALTY. Any person who willfully and knowingly does or causes or suffers to be done any act, matter, or thing,
in this Act prohibited or declared to be unlawful, or who willfully and knowingly omits or fails to do any act, matter, or thing in this Act required to be done, or willfully and knowingly
causes or suffers such omission or failure, shall upon conviction thereof, be punished for such offense, for which no penalty (other than a forfeiture) is provided in this Act, by a
fine of not more than $10,000 or by imprisonment for a term not exceeding one year, or both; except that any person, having been once convicted of an offense punishable under this section,
who is subsequently convicted of violating any provision of this Act punishable under this section, shall be punished by a fine of not more than $10,000
Communications Act of 1934 241 or by imprisonment for a term not exceeding two years, or both. SEC. 502. [47 U.S.C. 502] VIOLATION OF RULES, REGULATIONS, AND SO FORTH. Any person who
willfully and knowingly violates any rule, regulation, restriction, or condition made or imposed by the Commission under authority of this Act, or any rule, regulation, restriction,
or condition made or imposed by any international radio or wire communications treaty or convention, or regulations annexed thereto, to which the United States is or may hereafter become
a party, shall, in addition to any other penalties provided by law, be punished, upon conviction thereof, by a fine of not more than $500 for each and every day during which such offense
occurs. SEC. 503. [47 U.S.C. 503] FORFEITURES IN CASES OF REBATES AND OFFSETS. (a) Any person who shall deliver messages for interstate or foreign transmission to any carrier, or for
whom as sender or receiver, any such carrier shall transmit any interstate or foreign wire or radio communication, who shall knowingly by employee, agent, officer, or otherwise, directly
or indirectly, by or through any means or device whatsoever, receive or accept from such common carrier any sum of money or any other valuable consideration as a rebate or offset against
the regular charges for transmission of such messages as fixed by the schedules of charges provided for in this Act, shall in addition to any other penalty provided by this Act forfeit
to the United States a sum of money three times the amount of money so received or accepted and three times the value of any other consideration so received or accepted, to be ascertained
by the trial court; and in the trial of said action all such rebates or other considerations so received or accepted for a period of six years prior to the commencement of the action,
may be included therein, and the amount recovered shall be three times the total amount of money, or three times the total value of such consideration, so received or accepted, or both,
as the the case may be. (b)(1) Any person who is determined by the Commission, in accordance with paragraph (3) or (4) of this subsection, to have--(A) willfully or repeatedly failed
to comply substantially with the terms and conditions of any license, permit, certificate, or other instrument or authorization issued by the Commission; (B) willfully or repeatedly
failed to comply with any of the provisions of this Act or of any rule, regulation, or order issued by the Commission under this Act or under any treaty, convention, or other agreement
to which the United States is a party and which is binding upon the United States; (C) violated any provision of section 317(c) or 508(a) of this Act;
Communications Act of 1934 242 or (D) violated any provision of section 1304, 1343, or 1464 of title 18, United States Code; shall be liable to the United States for a forfeiture penalty.
A forfeiture penalty under this subsection shall be in addition to any other penalty provided for by this Act; except that this subsection shall not apply to any conduct which is subject
to forfeiture under title II, part II or III of title III, or section 506 of this Act. (2)(A) If the violator is (i) a broadcast station licensee or permittee, (ii) a cable television
operator, or (iii) an applicant for any broadcast or cable television operator license, permit, certificate, or other instrument or authorization issued by the Commission, the amount
of any forfeiture penalty determined under this section shall not exceed $25,000 for each violation or each day of a continuing violation, except that the amount assessed for any continuing
violation shall not exceed a total of $250,000 for any single act or failure to act described in paragraph (1) of this subsection. (B) If the violator is a common carrier subject to
the provisions of this Act or an applicant for any common carrier license, permit, certificate, or other instrument of authorization issued by the Commission, the amount of any forfeiture
penalty determined under this subsection shall not exceed $100,000 for each violation or each day of a continuing violation, except that the amount assessed for any continuing violation
shall not exceed a total of $1,000,000 for any single act or failure to act described in paragraph (1) of this subsection. (C) In any case not covered in subparagraph (A) or (B), the
amount of any forfeiture penalty determined under this subsection shall not exceed $10,000 for each violation or each day of a continuing violation, except that the amount assessed for
any continuing violation shall not exceed a total of $75,000 for any single act or failure to act described in paragraph (1) of this subsection. (D) The amount of such forfeiture penalty
shall be assessed by the Commission, or its designee, by written notice. In determining the amount of such a forfeiture penalty, the Commission or its designee shall take into account
the nature, circumstances, extent, and gravity of the violation and, with respect to the violator, the degree of culpability, any history of prior offenses, ability to pay, and such
other matters as justice may require. (3)(A) At the discretion of the Commission, a forfeiture penalty may be determined against a person under this subsection after notice and an opportunity
for a hearing before the Commission or an administrative law judge thereof in accordance with section 554 of title 5, United States Code. Any person against whom a forfeiture penalty
is determined under this paragraph may obtain review thereof pursuant to section 402(a). (B) If any person fails to pay an assessment of a forfeiture penalty determined under subparagraph
(A) of this paragraph, after it has become a final and unappealable order or after the appropriate court has entered final judgment in
Communications Act of 1934 243 favor of the Commission, the Commission shall refer the matter to the Attorney General of the United States, who shall recover the amount assessed in any
appropriate district court of the United States. In such action, the validity and appropriateness of the final order imposing the forfeiture penalty shall not be subject to review. (4)
Except as provided in paragraph (3) of this subsection, no forfeiture penalty shall be imposed under this subsection against any person unless and until--(A) the Commission issues a
notice of apparent liability, in writing, with respect to such person; (B) such notice has been received by such person, or until the Commission has sent such notice to the last known
address of such person, by registered or certified mail; and (C) such person is granted an opportunity to show, in writing, within such reasonable period of time as the Commission prescribes
by rule or regulation, why no such forfeiture penalty should be imposed. Such a notice shall (i) identify each specific provision, term, and condition of any Act, rule, regulation, order,
treaty, convention, or other agreement, license, permit, certificate, instrument, or authorization which such person apparently violated or with which such person apparently failed to
comply; (ii) set forth the nature of the act or omission charged against such person and the facts upon which such charge is based; and (iii) state the date on which such conduct occurred.
Any forfeiture penalty determined under this paragraph shall be recoverable pursuant to section 504(a) of this Act. (5) No forfeiture liability shall be determined under this subsection
against any person, if such person does not hold a license, permit, certificate, or other authorization issued by the Commission, and if such person is not an applicant for a license,
permit, certificate, or other authorization issued by the Commission, unless, prior to the notice required by paragraph (3) of this subsection or the notice of apparent liability required
required by paragraph (4) of this subsection, such person (A) is sent a citation of the violation charged; (B) is given a reasonable opportunity for a personal interview with an official
of the Commission, at the field office of the Commission which is nearest to such person's place of residence; and (C) subsequently engages in conduct of the type described in such citation.
The provisions of this paragraph shall not apply, however, if the person involved is engaging in activities for which a license, permit, certificate, or other authorization is required,
or is a cable television system operator, if the person involved is transmitting on frequencies assigned for use in a service in which individual station operation is authorized by rule
pursuant to section 307(e), or in the case of violations of section 303(q), if the person involved is a nonlicensee tower owner who has previously received notice of the obligations
imposed by section 303(q) from the Commission or the permittee or licensee who uses that tower. Whenever the requirements of this paragraph are satisfied with respect to a paricular
person,
Communications Act of 1934 244 such person shall not be entitled to receive any additional citation of the violation charged, with respect to any conduct of the type described in the
citation sent under this paragraph. (6) No forfeiture penalty shall be determined or imposed against any person under this subsection if--(A) such person holds a broadcast station license
issued under title III of this Act and if the violation charged occurred--(i) more than 1 year prior to the date of issuance of the required notice or notice of apparent liability; or
(ii) prior to the date of commencement of the current term of such license, whichever is earlier; or (B) such person does not hold a broadcast station license issued under title III
of this Act and if the violation charged occurred more than 1 year prior to the date of issuance of the required notice or notice of apparent liability. For purposes of this paragraph,
''date of commencement of the current term of such license'' means the date of commencement of the last term of license for which the licensee has been granted a license by the Commission.
A separate license term shall not be deemed to have commenced as a result of continuing a license in effect under section 307(c) pending decision on an application for renewal of the
license. SEC. 504. [47 U.S.C. 504] PROVISIONS RELATING TO FORFEITURES. (a) The forfeitures provided for in this Act shall be payable into the Treasury of the United States, and shall
be recoverable, except as otherwise provided with respect to a forfeiture penalty determined under section 503(b)(3) of this Act, in a civil suit in the name of the United States brought
in the district where the person or carrier has its principal operating office or in any district through which the line or system of the carrier runs: Provided, That any suit for the
recovery of a forfeiture imposed pursuant to the provisions of this Act shall be a trial de novo: Provided further, That in the case of forfeiture by a ship, said forfeiture may also
be recoverable recoverable by way of libel in any district in which such ship shall arrive or depart. Such forfeitures shall be in addition to any other general or specific penalties
herein provided. It shall be the duty of the various district attorneys, under the direction of the Attorney General of the United States, to prosecute for the recovery of forfeitures
under this Act. The costs and expenses of such prosecutions shall be paid from the appropriation for the expenses of the courts of the United States. (b) The forfeitures imposed by title
II, parts II and III of title III, and sections 503(b) and 506 of this Act shall be subject to remission or mitigation by the Commission, under such regulations and methods of ascertaining
the facts as
Communications Act of 1934 245 may seem to it advisable, and, if suit has been instituted, the Attorney General, upon request of the Commission, shall direct the discontinuance of any
prosecution to recover such forfeitures: Provided, however, That no forfeiture shall be remitted or mitigated after determination by a court of competent jurisdiction. (c) In any case
where the Commission issues a notice of apparent liability looking toward the imposition of a forfeiture under this Act, that fact shall not be used, in any other proceeding before the
Commission, to the prejudice of the person to whom such notice was issued, unless (i) the forfeiture has been paid, or (ii) a court of competent jurisdiction has ordered payment of such
forfeiture, and such order has become final. SEC. 505. [47 U.S.C. 505] VENUE OF OFFENSES. The trial of any offense under this Act shall be in the district in which it is committed; or
if the offense is committed upon the high seas, or out of the jurisdiction of any particular State or district, the trial shall be in the district where the offender may be found or
into which he shall be first brought. Whenever the offense is begun in one jurisdiction and completed in another it may be dealt with, inquired of, tried, determined, and punished in
either jurisdiction in the same manner as if the offense had been actually and wholly committed therein. SEC. 506. [47 U.S.C. 506] VIOLATION OF GREAT LAKES AGREEMENT. (a) Any vessel
of the United States that is navigated in violation of the provisions of the Great Lakes Agreement or the rules and regulations of the Commission made in pursuance thereof and any vessel
of a foreign country that is so navigated on waters under the jurisdiction of the United States shall forfeit to the United States the sum of $500 recoverable by way of suit or libel.
Each day during which such navigation occurs shall constitute a separate offense. (b) Every willful failure on the part of the master of a vessel of the United States to enforce or to
comply with the provisions of the Great Lakes Agreement or the rules and regulations of the Commission made in pursuance thereof shall cause him to forfeit to the United States the sum
of $100. SEC. 507. [47 U.S.C. 507] DISCLOSURE OF CERTAIN PAYMENTS. (a) Subject to subsection (d), any employee of a radio station who accepts or agrees to accept from any person (other
than such station), or any person (other than such station) who pays or agrees to pay such employee, any money, service or other valuable consideration for the broadcast of any matter
over such station shall, in advance of such broadcast, disclose the fact of such acceptance or agreement to such station. (b) Subject to subsection (d), any person who, in connection
with the production or preparation of any program or program matter which is intended for
Communications Act of 1934 246 broadcasting over any radio station, accepts or agrees to accept, or pays or agrees to pay, any money, service or other valuable consideration for the
inclusion of any matter as a part of such program or program matter, shall, in advance of such broadcast, disclose the fact of such acceptance or payment or agreement to the payee's
employer, or to the person for which such program or program matter is being produced, or to the licensee of such station over which such program is broadcast. (c) Subject to subsection
(d), any person who supplies to any other person any program or program matter which is intended for broadcasting over any radio station shall, in advance of such broadcast, disclose
to such other person any information of which he has knowledge, or which has been disclosed to him, as to any money, service or other valuable consideration which any person has paid
or accepted, or has agreed to pay or accept, for the inclusion of any matter as a part of such program or program matter. (d) The provisions of this section requiring the disclosure
of information shall not apply in any case where, because of a waiver made by the Commission under section 317(d), an announcement is not required to be made under section 317. (e) The
inclusion in the program of the announcement required by section 317 shall constitute the disclosure required by this section. (f) The term ''service or other valuable consideration''
as used in this section shall not include any service or property furnished without charge or at a nominal charge for use on, or in connection with, a broadcast, or for use on a program
which is intended for broadcasting over any radio station, unless it is so furnished in consideration for an identification in such broadcast or in such program of any person, product,
service, trademark, or brand name beyond an identification which is reasonably related to the use of such service or property in such broadcast or such program. (g) Any person who violates
any provision of this section shall, for each such violation, be fined not more than $10,000 or imprisoned not more than one year, or both. SEC. 508. [47 U.S.C. 508] PROHIBITED PRACTICES
IN CASE OF CONTESTS OF INTELLECTUAL KNOWLEDGE, INTELLECTUAL SKILL, OR CHANCE. (a) It shall be unlawful for any person, with intent to deceive the listening or viewing public--(1) To
supply to any contestant in a purportedly bona fide contest of intellectual knowledge or intellectual skill any special and secret assistance whereby the outcome of such contest will
be in whole or in part prearranged or predetermined. (2) By means of persuasion, bribery, intimidation, or otherwise, to
Communications Act of 1934 247 induce or cause any contestant in a purportedly bona fide contest of intellectual knowledge or intellectual skill to refrain in any manner from using or
displaying his knowledge or skill in such contest, whereby the outcome thereof will be in whole or in part prearranged or predetermined. (3) To engage in any artifice or scheme for the
purpose of prearranging or predetermining in whole or in part the outcome of a purportedly bona fide contest of intellectual knowledge, intellectual skill, or chance.(4) To produce or
participate in the production for broadcasting of, to broadcast or participate in the broadcasting of, to offer to a licensee for broadcasting, or to sponsor, any radio program, knowing
or having reasonable ground for believing that, in connection with a purportedly bona fide contest of intellectual knowledge, intellectual skill, or chance constituting any part of such
program, any person has done or is going to do any act or thing referred to in paragraph (1), (2), or (3) of this subsection. (5) To conspire with any other person or persons to do any
act or thing prohibited by paragraph (1), (2), (3), or (4) of this subsection, if one or more of such persons do any act to effect the object of such conspiracy. (b) For the purpose
of this section--(1) The term ''contest'' means any contest broadcast by a radio station in connection with which any money or any other thing of value is offered as a prize or prizes
to be paid or presented by the program sponsor or by any other person or persons, as announced in the course of the broadcast. (2) The term ''the listening or viewing public'' means
those members of the public who, with the aid of radio receiving sets, listen to or view programs broadcast by radio stations. (c) Whoever violates subsection (a) shall be fined not
more than $10,000 or imprisoned not more than one year, or both. [SEC. 509] SEC. 510. [47 U.S.C. 510] FORFEITURE OF COMMUNICATIONS DEVICES. (a) Any electronic, electromagnetic, radio
frequency, or similar device, or component thereof, used, sent, carried, manufactured, assembled, possessed, offered for sale, sold, or advertised with willful and knowing intent to
violate section 301 or 302, or rules prescribed by the Commission under such sections, may be seized and forfeited to the United States. (b) Any property subject to forfeiture to the
United States under this section may be seized by the Attorney General of the United States upon process issued pursuant to the supplemental rules for certain admiralty and maritime
claims
Communications Act of 1934 248 by any district court of the United States having jurisdiction over the property, except that seizure without such process may be made if the seizure is
incident to a lawful arrest or search. (c) All provisions of law relating to--(1) the seizure, summary and judicial forfeiture, and condemnation of property for violation of the customs
laws; (2) the disposition of such property or the proceeds from the sale thereof;(3) the remission or mitigation of such forfeitures; and (4) the compromise of claims with respect to
such forfeitures; shall apply to seizures and forfeitures incurred, or alleged to have been incurred, under the provisions of this section, insofar as applicable and not inconsistent
with the provisions of this section, except that such seizures and forfeitures shall be limited to the communications device, devices, or components thereof. (d) Whenever property is
forfeited under this section, the Attorney General of the United States may forward it to the Commission or sell any forfeited property which is not harmful to the public. The proceeds
from any such sale shall be deposited in the general fund of the Treasury of the United States. TITLE VI--CABLE COMMUNICATIONS PART I--GENERAL PROVISIONS SEC. 601. [47 U.S.C. 521] PURPOSES.
The purposes of this title are to--(1) establish a national policy concerning cable communications; (2) establish franchise procedures and standards which encourage the growth and development
of cable systems and which assure that cable systems are responsive to the needs and interests of the local community; (3) establish guidelines for the exercise of Federal, State, and
local authority with respect to the regulation of cable systems; (4) assure that cable communications provide and are encouraged to provide the widest possible diversity of information
sources and services to the public; (5) establish an orderly process for franchise renewal which protects cable operators against unfair denials of renewal where the operator's past
performance and proposal for future performance meet the standards established by this title; and (6) promote competition in cable communications and minimize unnecessary regulation
that would impose an undue economic burden on cable systems.
Communications Act of 1934 249 SEC. 602. [47 U.S.C. 522] DEFINITIONS. For purposes of this title--(1) the term ''activated channels'' means those channels engineered at the headend of
a cable system for the provision of services generally available to residential subscribers of the cable system, regardless of whether such services actually are provided,
including any channel designated for public, educational, or governmental use; (2) the term ''affiliate'', when used in relation to any person, means another person who owns or controls,
is owned or controlled by, or is under common ownership or control with, such person; (3) the term ''basic cable service'' means any service tier which includes the retransmission of
local television broadcast signals; (4) the terms ''cable channel'' or ''channel'' means a portion of the electromagnetic frequency spectrum which is used in a cable system and which
is capable of delivering a television channel (as television channel is defined by the Commission by regulation); regulation); (5) the term ''cable operator'' means any person or group
of persons (A) who provides cable service over a cable system and directly or through one or more affiliates owns a significant interest in such cable system, or (B) who otherwise controls
or is responsible for, through any arrangement, the management and operation of such a cable system; (6) the term ''cable service'' means--(A) the one-way transmission to subscribers
of (i) video programming, or (ii) other programming service, and (B) subscriber interaction, if any, which is required for the selection or use of such video programming or other programming
service; (7) the term ''cable system'' means a facility, consisting of a set of closed transmission paths and associated signal generation, reception, and control equipment that is designed
to provide cable service which includes video programming and which is provided to multiple subscribers within a community, but such term does not include (A) a facility that serves
only to retransmit the television signals of 1 or more television broadcast stations; (B) a facility that serves subscribers without using any public right-of-way; (C) a facility of
a common carrier which is subject, in whole or in part, to the provisions of title II of this Act, except that such facility shall be considered a cable system (other than for purposes
of section 621(c)) to the extent such facility is used in the transmission of video programming directly to subscribers, unless the extent of such use is solely to provide interactive
on-demand services; (D) an open video system that complies with section 653 of this title; or (E) any facilities of any electric utility used solely for operating its electric utility
systems;
Communications Act of 1934 250 (8) the term ''Federal agency'' means any agency of the United States, including the Commission; (9) the term ''franchise'' means an initial authorization,
or renewal thereof (including a renewal of an authorization which has been granted subject to section 626), issued by a franchising authority, whether such authorization is designated
as a franchise, permit, license, resolution, contract, certificate, agreement, or otherwise, which authorizes the construction or operation of a cable system; (10) the term ''franchising
authority'' means any governmental entity empowered by Federal, State, or local law to grant a franchise; (11) the term ''grade B contour'' means the field strength of a television broadcast
station computed in accordance with regulations promulgated by the Commission; (12) the term ''interactive on-demand services'' means a service providing video programming to subscribers
over switched networks on an on-demand, point-to-point basis, but does not include services providing video programming prescheduled by the programming provider; (13) the term ''multichannel
video programming distributor'' means a person such as, but not limited to, a cable operator, a multichannel multipoint distribution service, a direct broadcast satellite service, or
a television receive-only satellite program distributor, who makes available for purchase, by subscribers or customers, multiple channels of video programming; (14) the term ''other
programming service'' means information that a cable operator makes available to all subscribers generally; (15) the term ''person'' means an individual, partnership, association, joint
stock company, trust, corporation, or governmental entity; (16) the term ''public, educational, or governmental access facilities'' means--(A) channel capacity designated for public,
educational, or governmental use; and (B) facilities and equipment for the use of such channel capacity; (17) the term ''service tier'' means a category of cable service or other services
provided by a cable operator and for which a separate rate is charged by the cable operator; (18) the term ''State'' means any State, or political subdivision, or agency thereof; (19)
the term ''usable activated channels'' means activated channels of a cable system, except those channels whose use for the distribution of broadcast signals would conflict with technical
and safety regulations as determined by the Commission; and
Communications Act of 1934 251 (20) the term ''video programming'' means programming provided by, or generally considered comparable to programming provided by, a television broadcast
station. PART II--USE OF CABLE CHANNELS AND CABLE OWNERSHIP RESTRICTIONS SEC. 611. [47 U.S.C. 531] CABLE CHANNELS FOR PUBLIC, EDUCATIONAL, OR GOVERNMENTAL USE. (a) A franchising authority
may establish requirements in a franchise with respect to the designation or use of channel capacity for public, educational, or governmental use only to the extent provided in this
section. (b) A franchising authority may in its request for proposals require as part of a franchise, and may require as part of a cable operator's proposal for a franchise renewal,
subject to section 626, that channel capacity be designated for public, educational, or governmental use, and channel capacity on institutional networks be designated for educational
or governmental use, and may require rules and procedures for the use of the channel capacity designated pursuant to this section.(c) A franchising authority may enforce any requirement
in any franchise regarding the providing or use of such channel capacity. Such enforcement authority includes the authority to enforce any provisions of the franchise for services, facilities,
or equipment proposed by the cable operator which relate to public, educational, or governmental use of channel capacity, whether or not required by the franchising authority pursuant
to subsection (b). (d) In the case of any franchise under which channel capacity is designated under subsection (b), the franchising authority shall prescribe--(1) rules and procedures
under which the cable operator is permitted to use such channel capacity for the provision of other services if such channel capacity is not being used for the purposes designated, and
(2) rules and procedures under which such permitted use shall cease. (e) Subject to section 624(d), a cable operator shall not exercise any editorial control over any public, educational,
or governmental use of channel capacity provided pursuant to this section, except a cable operator may refuse to transmit any public access program or portion of a public access program
which contains obscenity, indecency, or nudity. (f) For purposes of this section, the term ''institutional network'' means a communication network which is constructed or operated by
the cable operator and which is generally available only to subscribers who are not residential subscribers.
Communications Act of 1934 252 SEC. 612. [47 U.S.C. 532] CABLE CHANNELS FOR COMMERCIAL USE. (a) The purpose of this section is to promote competition in the delivery of diverse sources
of video programming and to assure that the widest possible diversity of information sources are made available to the public from cable systems in a manner consistent with growth and
development of cable systems. (b)(1) A cable operator shall designate channel capacity for commercial use by persons unaffiliated with the operator in accordance with the following requirements:
(A) An operator of any cable system with 36 or more (but not more than 54) activated channels shall designate 10 percent of such channels which are not otherwise required for use (or
the use of which is not prohibited) by Federal law or regulation. (B) An operator of any cable system with 55 or more (but not more than 100) activated channels shall designate 15 percent
of such channels which are not otherwise required for use (or the use of which is not prohibited) by Federal law or regulation. (C) An operator of any cable system with more than 100
activated channels shall designate 15 percent of all such channels. (D) An operator of any cable system with fewer than 36 activated channels shall not be required to designate channel
capacity for commercial use by persons unaffiliated with the operator, unless the cable system is required to provide such channel capacity under the terms of a franchise in effect on
the date of the enactment of this title. (E) An operator of any cable system in operation on the date of the enactment of this title shall not be required to remove any service actually
being provided on July 1, 1984, in order to comply with this section, but shall make channel capacity available for commercial use as such capacity becomes available until such time
as the cable operator is in full compliance with this section. (2) Any Federal agency, State, or franchising authority may not require any cable system to designate channel capacity
for commercial use by unaffiliated persons in excess of the capacity specified in paragraph (1), except as otherwise provided in this section. (3) A cable operator may not be required,
as part of a request for proposals or as part of a proposal for renewal, subject to section 626, to designate channel capacity for any use (other than commercial use by unaffiliated
persons under this section) except as provided in sections 611 and 637, but a cable operator may offer in a franchise, or proposal for renewal thereof, to provide, consistent with applicable
law, such capacity for other than commercial use by such persons. (4) A cable operator may use any unused channel capacity designated pursuant to this section until the use of such channel
capacity is obtained, pursuant
Communications Act of 1934 253 to a written agreement, by a person unaffiliated with the operator. (5) For the purposes of this section, the term ''commercial use'' means the provision
of video programming, whether or not for profit. (6) Any channel capacity which has been designated for public, educational, or governmental use may not be considered as designated under
this section for commercial use for purpose of this section. (c)(1) If a person unaffiliated with the cable operator seeks to use channel capacity designated pursuant to subsection (b)
for commercial use, the cable operator shall establish, consistent with the purpose of this section and with rules prescribed by the Commission under paragraph (4), the price, terms,
and conditions of such use which are at least sufficient to assure that such use will not adversely affect the operation, financial condition, or market development of the cable system.
(2) A cable operator shall not exercise any editorial control over any video programming provided pursuant to this section, or in any other way consider the content of such programming,
except that a cable operator may refuse to transmit any leased access program or portion of a leased access program which contains obscenity, indecency, or nudity and may consider such
content to the minimum extent necessary to establish a reasonable price for the commercial use of designated channel capacity by an unaffiliated person. (3) Any cable system channel
designated in accordance with this section shall not be used to provide a cable service that is being provided over such system on the date of the enactment of this title, if the provision
of such programming is intended to avoid the purpose of this section. (4)(A) The Commission shall have the authority to--(i) determine the maximum reasonable rates that a cable operator
may establish pursuant to paragraph (1) for commercial use of designated channel capacity, including the rate charged for the billing of rates to subscribers and for the collection of
revenue revenue from subscribers by the cable operator for such use; (ii) establish reasonable terms and conditions for such use, including those for billing and collection; and (iii)
establish procedures for the expedited resolution of disputes concerning rates or carriage under this section. (B) Within 180 days after the date of enactment of this paragraph, the
Commission shall establish rules for determining maximum reasonable rates under subparagraph (A)(i), for establishing terms and conditions under subparagraph (A)(ii), and for providing
procedures under subparagraph (A)(iii). (d) Any person aggrieved by the failure or refusal of a cable operator to make channel capacity available for use pursuant to this section may
bring an action in the district court of the United States for the judicial district in which the cable system is located to compel that such capacity be made available. If the court
Communications Act of 1934 254 finds that the channel capacity sought by such person has not been made available in accordance with this section, or finds that the price, terms, or conditions
established by the cable operator are unreasonable, the court may order such system to make available to such person the channel capacity sought, and further determine the appropriate
price, terms, or conditions for such use consistent with subsection (c), and may award actual damages if it deems such relief appropriate. In any such action, the court shall not consider
any price, term, or condition established between an operator and an affiliate for comparable services. (e)(1) Any person aggrieved by the failure or refusal of a cable operator to make
channel capacity available pursuant to this section may petition the Commission for relief under this subsection upon a showing of prior adjudicated violations of this section. Records
of previous adjudications resulting in a court determination that the operator has violated this section shall be considered as sufficient for the showing necessary under this subsection.
If the Commission finds that the channel capacity sought by such person has not been made available in accordance with this section, or that the price, terms, or conditions established
by such system are unreasonable under subsection (c), the Commission shall, by rule or order, require such operator to make available such channel capacity under price, terms, and conditions
consistent with subsection (c). (2) In any case in which the Commission finds that the prior adjudicated violations of this section constitute a pattern or practice of violations by
an operator, the Commission may also establish any further rule or order necessary to assure that the operator provides the diversity of information sources required by this section.
(3) In any case in which the Commission finds that the prior adjudicated violations of this section constitute a pattern or practice of violations by any person who is an operator of
more than one cable system, the Commission may also establish any further rule or order necessary to assure that such person provides the diversity of information sources required by
this section. (f) In any action brought under this section in any Federal district court or before the Commission, there shall be a presumption that the price, terms, and conditions
for use of channel capacity designated pursuant to subsection (b) are reasonable and in good faith unless shown by clear and convincing evidence to the contrary. (g) Notwithstanding
sections 621(c) and 623(a), at such time as cable systems with 36 or more activated channels are available to 70 percent of households within the United States and are subscribed to
by 70 percent of the households to which such systems are available, the Commission may promulgate any additional rules necessary to provide diversity of information sources. Any rules
promulgated by the Commission pursuant to this subsection shall not preempt authority expressly granted to franchising authorities under this title. (h) Any cable service offered pursuant
to this section shall not be provided,
Communications Act of 1934 255 or shall be provided subject to conditions, if such cable service in the judgment of the franchising authority or the cable operator is obscene, or is
in conflict with community standards in that it is lewd, lascivious, filthy, or indecent or is otherwise unprotected by the Constitution of the United States. This subsection shall permit
a cable operator to enforce prospectively a written and published policy of prohibiting programming that the cable operator reasonably believes describes or depicts sexual or excretory
activities or organs in a patently offensive manner as measured by contemporary community standards. (i)(1) Notwithstanding the provisions of subsections (b) and (c), a cable operator
required by this section to designate channel capacity for commercial use may use any such channel capacity for the provision of programming from a qualified minority programming source
or from any qualified educational programming source, whether or not such source is affiliated with the cable operator. The channel capacity used to provide programming from a qualified
minority programming source or from any qualified educational programming source pursuant to this subsection may not exceed 33 percent of the channel capacity designated pursuant to
this section. No programming provided over a cable system on July 1, 1990, may qualify as minority programming or educational programming on that cable system under this subsection.
(2) For purposes of this subsection, the term ''qualified minority programming source'' means a programming source which devotes substantially all of its programming to coverage of minority
viewpoints, or to programming directed at members of minority groups, and which is over 50 percent minorityowned, as the term ''minority'' is defined in section 309(i)(3)(C)(ii). (3)
For purposes of this subsection, the term ''qualified educational programming source'' means a programming source which devotes substantially all of its programming to educational or
instructional programming that promotes public understanding of mathematics, the sciences, the humanities, and the arts and has a documented annual expenditure on programming exceeding
$15,000,000. The annual expenditure on programming means all annual costs incurred by the programming source to produce or acquire programs which are scheduled to be televised, and specifically
excludes marketing, promotion, satellite transmission and operational costs, and general administrative costs. (4) Nothing in this subsection shall substitute for the requirements to
carry qualified noncommercial educational television stations as specified under section 615. (j)(1) Within 120 days following the date of the enactment of this subsection, the Commission
shall promulgate regulations designed to limit the access of children to indecent programming, as defined by Commission regulations, and which cable operators have not voluntarily prohibited
under subsection (h) by--(A) requiring cable operators to place on a single channel all
Communications Act of 1934 256 indecent programs, as identified by program providers, intended for carriage on channels designated for commercial use under this section; (B) requiring
cable operators to block such single channel unless the subscriber requests access to such channel in writing; and (C) requiring programmers to inform cable operators if the program
would be indecent as defined by Commission regulations. (2) Cable operators shall comply with the regulations promulgated pursuant to paragraph (1). SEC. 613. [47 U.S.C. 533] OWNERSHIP
RESTRICTIONS. (a) It shall be unlawful for a cable operator to hold a license for multichannel multipoint distribution service, or to offer satellite master antenna television service
separate and apart from any franchised cable service, in any portion of the franchise area served by that cable operator's cable system. The Commission--(1) shall waive the requirements
of this paragraph for all existing multichannel multipoint distribution services and satellite master master antenna television services which are owned by a cable operator on the date
of enactment of this paragraph; (2) may waive the requirements of this paragraph to the extent the Commission determines is necessary to ensure that all significant portions of a franchise
area are able to obtain video programming; and (3) shall not apply the requirements of this subsection to any cable operator in any franchise area in which a cable operator is subject
to effective competition as determined under section 623(l). [Subsection (b) repealed by section 302(b)(1) of the Telecommunications Act of 1996 (P.L. 104-104), 110 Stat. 124.] (c) The
Commission may prescribe rules with respect to the ownership or control of cable systems by persons who own or control other media of mass communications which serve the same community
served by a cable system. (d) Any State or franchising authority may not prohibit the ownership or control of a cable system by any person because of such person's ownership or control
of any other media of mass communications or other media interests. Nothing in this section shall be construed to prevent any State or franchising authority from prohibiting the ownership
or control of a cable system in a jurisdiction by any person (1) because of such person's ownership or control of any other cable system in such jurisdiction; or (2) in circumstances
in which the State or franchising authority determines that the acquisition of such a cable system may eliminate or reduce competition in the delivery of cable service in such jurisdiction.
(e)(1) Subject to paragraph (2), a State or franchising authority may hold any ownership interest in any cable system. (2) Any State or franchising authority shall not exercise any editorial
Communications Act of 1934 257 control regarding the content of any cable service on a cable system in which such governmental entity holds ownership interest (other than programming
on any channel designated for educational or governmental use), unless such control is exercised through an entity separate from the franchising authority. (f)(1) In order to enhance
effective competition, the Commission shall, within one year after the date of enactment of the Cable Television Consumer Protection and Competition Act of 1992, conduct a proceeding--(A)
to prescribe rules and regulations establishing reasonable limits on the number of cable subscribers a person is authorized to reach through cable systems owned by such person, or in
which such person has an attributable interest; (B) to prescribe rules and regulations establishing reasonable limits on the number of channels on a cable system that can be occupied
by a video programmer in which a cable operator has an attributable interest; and (C) to consider the necessity and appropriateness of imposing limitations on the degree to which multichannel
video programming distributors may engage in the creation or production of video programming. (2) In prescribing rules and regulations under paragraph (1), the Commission shall, among
other public interest objectives--(A) ensure that no cable operator or group of cable operators can unfairly impede, either because of the size of any individual operator or because
of joint actions by a group of operators of sufficient size, the flow of video programming from the video programmer to the consumer; (B) ensure that cable operators affiliated with
video programmers do not favor such programmers in determining carriage on their cable systems or do not unreasonably restrict the flow of the video programming of such programmers to
other video distributors; (C) take particular account of the market structure, ownership patterns, and other relationships of the cable television industry, including the nature and
market power of the the local franchise, the joint ownership of cable systems and video programmers, and the various types of non-equity controlling interests; (D) account for any efficiencies
and other benefits that might be gained through increased ownership or control; (E) make such rules and regulations reflect the dynamic nature of the communications marketplace; (F)
not impose limitations which would bar cable operators from serving previously unserved rural areas; and (G) not impose limitations which would impair the development of diverse and
high quality video programming.
Communications Act of 1934 258 (g) This section shall not apply to prohibit any combination of any interests held by any person on July 1, 1984, to the extent of the interests so held
as of such date, if the holding of such interests was not inconsistent with any applicable Federal or State law or regulations in effect on that date. (h) For purposes of this section,
the term ''media of mass communications'' shall have the meaning given such term under section 309(i)(3)(C)(i) of this Act. SEC. 614. [47 U.S.C. 534] CARRIAGE OF LOCAL COMMERCIAL TELEVISION
SIGNALS. (a) CARRIAGE OBLIGATIONS.--Each cable operator shall carry, on the cable system of that operator, the signals of local commercial television stations and qualified low power
stations as provided by this section. Carriage of additional broadcast television signals on such system shall be at the discretion of such operator, subject to section 325(b). (b) SIGNALS
REQUIRED.--(1) IN GENERAL.--(A) A cable operator of a cable system with 12 or fewer usable activated channels shall carry the signals of at least three local commercial television stations,
except that if such a system has 300 or fewer subscribers, it shall not be subject to any requirements under this section so long as such system does not delete from carriage by that
system any signal of a broadcast television station. (B) A cable operator of a cable system with more than 12 usable activated channels shall carry the signals of local commercial television
stations, up to one-third of the aggregate number of usable activated channels of such system. (2) SELECTION OF SIGNALS.--Whenever the number of local commercial television stations
exceeds the maximum number of signals a cable system is required to carry under paragraph (1), the cable operator shall have discretion in selecting which such stations shall be carried
on its cable system, except that--(A) under no circumstances shall a cable operator carry a qualified low power station in lieu of a local commercial television station; and (B) if the
cable operator elects to carry an affiliate of a broadcast network (as such term is defined by the Commission by regulation), such cable operator shall carry the affiliate of such broadcast
network whose city of license reference point, as defined in section 76.53 of title 47, Code of Federal Regulations (in effect on January 1, 1991), or any successor regulation thereto,
is closest to the principal headend of the cable system. (3) CONTENT TO BE CARRIED.--(A) A cable operator shall carry in its entirety, on the cable system of that operator, the primary
video,
Communications Act of 1934 259 accompanying audio, and line 21 closed caption transmission of each of the local commercial television stations carried on the cable system and, to the
extent technically feasible, program-related material carried in the vertical blanking interval or on subcarriers. Retransmission of other material in the vertical blanking internal
or other nonprogram-related material (including teletext and other subscription and advertiser-supported information services) shall be at the discretion of the cable operator. Where
appropriate and feasible, operators may delete signal enhancements, such as ghostcanceling, from the broadcast signal and employ such enhancements at the system headend or headends.
(B) The cable operator shall carry the entirety of the program schedule of any television station carried on the cable system unless carriage of specific programming is prohibited, and
other programming authorized to be substituted, under section 76.67 or subpart F of part 76 of title 47, Code of Federal Regulations (as in effect on January 1, 1991), or any successor
regulations thereto. (4) SIGNAL QUALITY.--(A) NONDEGRADATION; TECHNICAL SPECIFICATIONS.--The signals of local commercial television stations that a cable operator carries shall be carried
without
material degradation. The Commission shall adopt carriage standards to ensure that, to the extent technically feasible, the quality of signal processing and carriage provided by a cable
system for the carriage of local commercial television stations will be no less than that provided by the system for carriage of any other type of signal. (B) ADVANCED TELEVISION.--At
such time as the Commission prescribes modifications of the standards for television broadcast signals, the Commission shall initiate a proceeding to establish any changes in the signal
carriage requirements of cable television systems necessary to ensure cable carriage of such broadcast signals of local commercial television stations which have been changed to conform
with such modified standards. (5) DUPLICATION NOT REQUIRED.--Notwithstanding paragraph (1), a cable operator shall not be required to carry the signal of any local commercial television
station that substantially duplicates the signal of another local commercial television station which is carried on its cable system, or to carry the signals of more than one local commercial
television station affiliated with a particular broadcast network (as such term is defined by regulation). If a cable operator elects to carry on its cable system a signal which substantially
duplicates the signal of another local commercial television station carried on the cable system, or to carry on its system the signals of more than one local commercial television station
Communications Act of 1934 260 affiliated with a particular broadcast network, all such signals shall be counted toward the number of signals the operator is required to carry under
paragraph (1). (6) CHANNEL POSITIONING.--Each signal carried in fulfillment of the carriage obligations of a cable operator under this section shall be carried on the cable system channel
number on which the local commercial television station is broadcast over the air, or on the channel on which it was carried on July 19, 1985, or on the channel on which it was carried
on January 1, 1992, at the election of the station, or on such other channel number as is mutually agreed upon by the station and the cable operator. Any dispute regarding the positioning
of a local commercial television station shall be resolved by the Commission. (7) SIGNAL AVAILABILITY.--Signals carried in fulfillment of the requirements of this section shall be provided
to every subscriber of a cable system. Such signals shall be viewable via cable on all television receivers of a subscriber which are connected to a cable system by a cable operator
or for which a cable operator provides a connection. If a cable operator authorizes subscribers to install additional receiver connections, but does not provide the subscriber with such
connections, or with the equipment and materials for such connections, the operator shall notify such subscribers of all broadcast stations carried on the cable system which cannot be
viewed via cable without a converter box and shall offer to sell or lease such a converter box to such subscribers at rates in accordance with section 623(b)(3). (8) IDENTIFICATION OF
SIGNALS CARRIED.--A cable operator shall identify, upon request by any person, the signals carried on its system in fulfillment of the requirements of this section. (9) NOTIFICATION.--A
cable operator shall provide written notice to a local commercial television station at least 30 days prior to either deleting from carriage or repositioning that station. No deletion
or repositioning of a local commercial television station shall occur during a period in which major television ratings services measure the size of audiences of local television stations.
The notification provisions of this paragraph shall not be used to undermine or evade the channel positioning or carriage requirements imposed upon cable operators under this section.
(10) COMPENSATION FOR CARRIAGE.--A cable operator shall not accept or request monetary payment or other valuable consideration in exchange either for carriage of local commercial television
stations in fulfillment of the requirements of this section or for the channel positioning rights provided to such stations under this section, except that--(A) any such station may
be required to bear the costs associated with delivering a good quality signal or a baseband video
Communications Act of 1934 261 signal to the principal headend of the cable system; (B) a cable operator may accept payments from stations which would be considered distant signals under
section 111 of title 17, United States Code, as indemnification for any increased copyright liability resulting from carriage of such signal; and (C) a cable operator may continue to
accept monetary payment or other valuable consideration in exchange for carriage or channel positioning of the signal of any local commercial television station carried in fulfillment
of the requirements of this section, through, but not beyond, the date of expiration of an agreement thereon between a cable operator and a local commercial television station entered
into prior to June 26, 1990. (c) LOW POWER STATION CARRIAGE OBLIGATION.--(1) REQUIREMENT.--If there are not sufficient signals of full power local commercial television stations to fill
the channels set aside under subsection (b)--(A) a cable operator of a cable system with a capacity of 35 or fewer usable activated channels shall be required to carry one qualified
low power station; and (B) a cable operator of a cable system with a capacity of more than 35 usable activated channels shall be required to carry two qualified low power stations. (2)
USE OF PUBLIC, EDUCATIONAL, OR GOVERNMENTAL CHANNELS.--A cable operator required to carry more than one signal of a qualified low power station under this subsection may do so, subject
to approval by the franchising authority pursuant to section 611, by placing such additional station on public, educational, or governmental channels not in use for their designated
purposes. (d) REMEDIES.--(1) COMPLAINTS BY BROADCAST STATIONS.--Whenever a local commercial television station believes that a cable operator has failed to meet its obligations under
this section, such station shall notify the operator, in writing, of the alleged failure and identify its reasons for believing that the cable operator is obligated to carry the signal
of such station or has otherwise failed to comply with the channel positioning or repositioning or other requirements of this section. The cable operator shall, within 30 days of such
written notification, respond in writing to such notification and either commence to carry the signal of such station in accordance with the terms requested or state its reasons for
believing that it is not obligated to carry such signal or is in compliance with the channel positioning and repositioning and other requirements of this section. A local commercial
television station that is denied carriage or channel
Communications Act of 1934 262 positioning or repositioning in accordance with this section by a cable operator may obtain review of such denial by filing a complaint with the Commission.
Such complaint shall allege the manner in which such cable operator has failed to meet its obligations and the basis for such allegations. (2) OPPORTUNITY TO RESPOND.--The Commission
shall afford such cable operator an opportunity to present data and arguments to establish that there has been no failure to meet its obligations under this section. (3) REMEDIAL ACTIONS;
DISMISSAL.--Within 120 days after the date a complaint is filed, the Commission shall determine whether the cable operator has met its obligations under this section. If the Commission
determines that the cable operator has failed to meet such obligations, the Commission shall order the cable operator to reposition the complaining station or, in the case of an obligation
to carry a station, to commence carriage of the station and to continue such carriage for for at least 12 months. If the Commission determines that the cable operator has fully met the
requirements of this section, it shall dismiss the complaint. (e) INPUT SELECTOR SWITCH RULES ABOLISHED.--No cable operator shall be required--(1) to provide or make available any input
selector switch as defined in section 76.5(mm) of title 47, Code of Federal Regulations, or any comparable device; or (2) to provide information to subscribers about input selector switches
or comparable devices. (f) REGULATIONS BY COMMISSION.--Within 180 days after the date of enactment of this section, the Commission shall, following a rulemaking proceeding, issue regulations
implementing the requirements imposed by this section. Such implementing regulations shall include necessary revisions to update section 76.51 of title 47 of the Code of Federal Regulations.
(g) SALES PRESENTATIONS AND PROGRAM LENGTH COMMERCIALS.--(1) CARRIAGE PENDING PROCEEDING.--Pending the outcome of the proceeding under paragraph (2), nothing in this Act Act shall require
a cable operator to carry on any tier, or prohibit a cable operator from carrying on any tier, the signal of any commercial television station or video programming service that is predominantly
utilized for the transmission of sales presentations or program length commercials. (2) PROCEEDING CONCERNING CERTAIN STATIONS.--Within 270 days after the date of enactment of this section,
the Commission, notwithstanding prior proceedings to determine whether broadcast television stations that are predominantly utilized for the transmission of sales presentations or program
length commercials are serving the public interest, convenience, and necessity, shall complete a proceeding in accordance with this paragraph to determine whether broadcast television
Communications Act of 1934 263 stations that are predominantly utilized for the transmission of sales presentations or program length commercials are serving the public interest, convenience,
and necessity. In conducting such proceeding, the Commission shall provide appropriate notice and opportunity for public comment. The Commission shall consider the viewing of such stations,
the level of competing demands for the spectrum allocated to such stations, and the role of such stations in providing competition to nonbroadcast services offering similar programming.
In the event that the Commission concludes that one or more of such stations are serving the public interest, convenience, and necessity, the Commission shall qualify such stations as
local commercial television stations for purposes of subsection (a). In the event that the Commission concludes that one or more of such stations are not serving the public interest,
convenience, and necessity, the Commission shall allow the licensees of such stations a a reasonable period within which to provide different programming, and shall not deny such stations
a renewal expectancy solely because their programming consisted predominantly of sales presentations or program length commercials. (h) DEFINITIONS.--(1) LOCAL COMMERCIAL TELEVISION
STATION.--(A) IN GENERAL.--For purposes of this section, the term ''local commercial television station'' means any full power television broadcast station, other than a qualified noncommercial
educational television station within the meaning of section 615(l)(1), licensed and operating on a channel regularly assigned to its community by the Commission that, with respect to
a particular cable system, is within the same television market as the cable system.(B) EXCLUSIONS.--The term ''local commercial television station'' shall not include--(i) low power
television stations, television translator stations, and passive repeaters which operate pursuant to part 74 of title 47, Code of Federal Regulations, or any successor regulations regulations
thereto; (ii) a television broadcast station that would be considered a distant signal under section 111 of title 17, United States Code, if such station does not agree to indemnify
the cable operator for any increased copyright liability resulting from carriage on the cable system; or (iii) a television broadcast station that does not deliver to the principal headend
of a cable system either a signal level of ^45dBm for UHF signals or ^49dBm for VHF signals at the input terminals of the signal processing
Communications Act of 1934 264 equipment, if such station does not agree to be responsible for the costs of delivering to the cable system a signal of good quality or a baseband video
signal. (C) MARKET DETERMINATIONS.--(i) For purposes of this section, a broadcasting station's market shall be determined by the Commission by regulation or order using, where available,
commercial publications which delineate television markets based on viewing patterns, except that, following a written request, the Commission may, with respect to a particular television
broadcast station, include additional communities within its television market or exclude communities from such station's television market to better effectuate the purposes of this
section. In considering such requests, the Commission may determine that particular communities are part of more than one television market. (ii) In considering requests filed pursuant
to clause (i), the Commission shall afford particular attention to the value of localism by taking into account such factors as--(I) whether the station, or other stations located in
the same area, have been historically carried on the cable system or systems within such community; (II) whether the television station provides coverage or other local service to such
community; (III) whether any other television station that is eligible to be carried by a cable system in such community in fulfillment of the requirements of this section provides news
coverage of issues of concern to such community or provides carriage or coverage of sporting and other events of interest to the community; and (IV) evidence of viewing patterns in cable
and noncable households within the areas served by the cable system or systems in such community. (iii) A cable operator shall not delete from carriage the signal of a commercial television
station during the pendency of any proceeding pursuant to this subparagraph. (iv) Within 120 days after the date on which a request is filed under this subparagraph (or 120 days after
the date of enactment of the Telecommunications Act of 1996, if later), the Commission shall grant or deny the request. (2) QUALIFIED LOW POWER STATION.--The term ''qualified low power
station'' means any television broadcast station conforming to the rules established for Low Power Television Stations contained in part 74 of title 47, Code of Federal Regulations,
only if--
Communications Act of 1934 265 (A) such station broadcasts for at least the minimum number of hours of operation required by the Commission for television broadcast stations under part
73 of title 47, Code of Federal Regulations; (B) such station meets all obligations and requirements applicable to television broadcast stations under part 73 of title 47, Code of Federal
Regulations, with respect to the broadcast of nonentertainment programming; programming and rates involving political candidates, election issues, controversial issues of public importance,
editorials, and personal attacks; programming for children; and equal employment opportunity; and the Commission determines that the provision of such programming by such station would
address local news and informational needs which are not being adequately served by full power television broadcast stations because of the geographic distance of such full power stations
from the low power station's community of license; (C) such station complies with interference regulations consistent with its secondary status pursuant to part 74 of title 47, Code
of Federal Regulations; (D) such station is located no more than 35 miles from the cable system's headend, and delivers to the principal headend of the cable system an over-the-air signal
of good quality, as determined by the Commission; (E) the community of license of such station and the franchise area of the cable system are both located outside of the largest 160
Metropolitan Statistical Areas, ranked by population, as determined by the Office of Management and Budget on June 30, 1990, and the population of such community of license on such date
did not exceed 35,000; and (F) there is no full power television broadcast station licensed to any community within the county or other political subdivision (of a State) served by the
cable system. Nothing in this paragraph shall be construed to change the secondary status of any low power station as provided in part 74 of title 47, Code of Federal Regulations, as
in effect on the date of enactment of this section. SEC. 615. [47 U.S.C. 535] CARRIAGE OF NONCOMMERCIAL EDUCATIONAL TELEVISION. (a) CARRIAGE OBLIGATIONS.--In addition to the carriage
requirements set forth in section 614, each cable operator of a cable system shall carry the signals of qualified noncommercial educational television stations in accordance with the
provisions of this section.
Communications Act of 1934 266 (b) REQUIREMENTS TO CARRY QUALIFIED STATIONS.--(1) GENERAL REQUIREMENT TO CARRY EACH QUALIFIED STATION.--Subject to paragraphs (2) and (3) and subsection
(e), each cable operator shall carry, on the cable system of that cable operator, any qualified local noncommercial educational television station requesting carriage. (2)(A) SYSTEMS
WITH 12 OR FEWER CHANNELS.--Notwithstanding paragraph (1), a cable operator of a cable system with 12 or fewer usable activated channels shall be required to carry the signal of one
qualified local noncommercial educational television station; except that a cable operator of such a system shall comply with subsection (c) and may, in its discretion, carry the signals
of other qualified noncommercial educational television stations.(B) In the case of a cable system described in subparagraph (A) which operates beyond the presence of any qualified local
noncommercial educational television station--(i) the cable operator shall import and carry on that system the signal of one qualified noncommercial educational television station;(ii)
the selection for carriage of such a signal shall be at the election of the cable operator; and (iii) in order to satisfy the requirements for carriage specified in this subsection,
the cable operator of the system shall not be required to remove any other programming service actually provided to subscribers on March 29, 1990; except that such cable operator shall
use the first channel available to satisfy the requirements of this subparagraph. (3) SYSTEMS WITH 13 TO 36 CHANNELS.--(A) Subject to subsection (c), a cable operator of a cable system
with 13 to 36 usable activated channels--(i) shall carry the signal of at least one qualified local noncommercial educational television station but shall not be required to carry the
signals of more than three such stations, and (ii) may, in its discretion, carry additional such stations. (B) In the case of a cable system described in this paragraph which operates
beyond the presence of any qualified local noncommercial educational television station, the cable operator shall import and carry on that system the signal of at least one qualified
noncommercial educational television station to comply with subparagraph (A)(i). (C) The cable operator of a cable system described in this paragraph which carries the signal of a qualified
local noncommercial educational station affiliated with a State public television network shall not be required to carry the signal of any additional qualified local
Communications Act of 1934 267 noncommercial educational television stations affiliated with the same network if the programming of such additional stations is substantially duplicated
by the programming of the qualified local noncommercial educational television station receiving carriage. (D) A cable operator of a system described in this paragraph which increases
the usable activated channel capacity of the system to more than 36 channels on or after March 29, 1990, shall, in accordance with the other provisions of this section, carry the signal
of each qualified local noncommercial educational television station requesting carriage, subject to subsection (e). (c) CONTINUED CARRIAGE OF EXISTING STATIONS.--Notwithstanding any
other provision of this section, all cable operators shall continue to provide carriage to all qualified local noncommercial educational television stations whose signals were carried
on their systems as of March 29, 1990. The requirements of this subsection may be waived with respect to a particular cable operator and a particular such station, upon the written consent
of the cable operator and the station.(d) PLACEMENT OF ADDITIONAL SIGNALS.--A cable operator required to add the signals of qualified local noncommercial educational television stations
to a cable system under this section may do so, subject to approval by the franchising authority pursuant to section 611, by placing such additional stations on public, educational,
or governmental channels not in use for their designated purposes. (e) SYSTEMS WITH MORE THAN 36 CHANNELS.--A cable operator of a cable system with a capacity of more than 36 usable
activated channels which is required to carry the signals of three qualified local noncommercial educational television stations shall not be required to carry the signals of additional
such stations the programming of which substantially duplicates the programming broadcast by another qualified local noncommercial educational television station requesting carriage.
Substantial duplication shall be defined by the Commission in a manner that promotes access to distinctive noncommercial educational television services. (f) WAIVER OF NONDUPLICATION
RIGHTS.--A qualified local noncommercial educational television station whose signal is carried by a cable operator shall not assert any network nonduplication rights it may have pursuant
to section 76.92 of title 47, Code of Federal Regulations, to require the deletion of programs aired on other qualified local noncommercial educational television stations whose signals
are carried by that cable operator. (g) CONDITIONS OF CARRIAGE.--(1) CONTENT TO BE CARRIED.--A cable operator shall retransmit in its entirety the primary video, accompanying audio,
and line 21 closed caption transmission of each qualified local noncommercial educational television station whose signal is carried on the cable system, and, to the
Communications Act of 1934 268 extent technically feasible, program-related material carried in the vertical blanking interval, or on subcarriers, that may be necessary for receipt of
programming by handicapped persons or for educational or language purposes. Retransmission of other material in the vertical blanking interval or on subcarriers shall be within the discretion
of the cable operator. (2) BANDWIDTH AND TECHNICAL QUALITY.--A cable operator shall provide each qualified local noncommercial educational television station whose signal is carried
in accordance with this section with bandwidth and technical capacity equivalent to that provided to commercial television broadcast stations carried on the cable system and shall carry
the signal of each qualified local noncommercial educational television station without material degradation. (3) CHANGES IN CARRIAGE.--The signal of a qualified local noncommercial
educational television station shall not be repositioned by a cable operator unless the cable operator, at least 30 days in advance of such repositioning, has provided written notice
to the station and all subscribers of the cable system. For purposes of this paragraph, repositioning includes (A) assignment of a qualified local noncommercial educational television
station to a cable system channel number different from the cable system channel number to which the station was assigned as of March 29, 1990, and (B) deletion of the station from the
cable system. The notification provisions of this paragraph shall not be used to undermine or evade the channel positioning or carriage requirements imposed upon cable operators under
this section. (4) GOOD QUALITY SIGNAL REQUIRED.--Notwithstanding the other provisions of this section, a cable operator shall not be required to carry the signal of any qualified local
noncommercial educational television station which does not deliver to the cable system's principal headend a signal of good quality or a baseband video signal, as may be defined by
the Commission. ((5) CHANNEL POSITIONING.--Each signal carried in fulfillment of the carriage obligations of a cable operator under this section shall be carried on the cable system
channel number on which the qualified local noncommercial educational television station is broadcast over the air, or on the channel on which it was carried on July 19, 1985, at the
election of the station, or on such other channel number as is mutually agreed upon by the station and the cable operator. Any dispute regarding the positioning of a qualified local
noncommercial educational television station shall be resolved by the Commission. (h) AVAILABILITY OF SIGNALS.--Signals carried in fulfillment of the carriage obligations of a cable
operator under this section shall be available to every subscriber as part of the cable system's lowest priced service tier that
Communications Act of 1934 269 includes the retransmission of local commercial television broadcast signals. (i) PAYMENT FOR CARRIAGE PROHIBITED.--(1) IN GENERAL.--A cable operator shall
not accept monetary payment or other valuable consideration in exchange for carriage of the signal of any qualified local noncommercial educational television station carried in fulfillment
of the requirements of this section, except that such a station may be required to bear the cost associated with delivering a good quality signal or a baseband video signal to the principal
headend of the cable system. (2) DISTANT SIGNAL EXCEPTION.--Notwithstanding the provisions of this section, a cable operator shall not be required to add the signal of a qualified local
noncommercial educational television station not already carried under the provision of subsection (c), where such signal would be considered a distant signal for copyright purposes
unless such station indemnifies the cable operator for any increased copyright costs resulting from carriage of such signal. (j) REMEDIES.--(1) COMPLAINT.--Whenever a qualified local
noncommercial educational television station believes that a cable operator of a cable system has failed to comply with the signal carriage requirements of this section, the station
may file a complaint with the Commission. Such complaint shall allege the manner in which such cable operator has failed to comply with such requirements and state the basis for such
allegations. (2) OPPORTUNITY TO RESPOND.--The Commission shall afford such cable operator an opportunity to present data, views, and arguments to establish that the cable operator has
complied with the signal carriage requirements of this section. (3) REMEDIAL ACTIONS; DISMISSAL.--Within 120 days after the date a complaint is filed under this subsection, the Commission
shall determine whether the cable operator has complied with the requirements of this section. If the Commission determines that the cable operator has failed to comply with such requirements,
the Commission shall state with particularity the basis for such findings and order the cable operator to take such remedial action as is necessary to meet such requirements. If the
Commission determines that the cable operator has fully complied with such requirements, the Commission shall dismiss the complaint. (k) IDENTIFICATION OF SIGNALS.--A cable operator
shall identify, upon request by any person, those signals carried in fulfillment of the requirements of this section. (l) DEFINITIONS.--For purposes of this section--(1) QUALIFIED NONCOMMERCIAL
EDUCATIONAL TELEVISION STATION.--The term ''qualified noncommercial educational television
Communications Act of 1934 270 station'' means any television broadcast station which--(A)(i) under the rules and regulations of the Commission in effect on March 29, 1990, is licensed
by the Commission as a noncommercial educational television broadcast station and which is owned and operated by a public agency, nonprofit foundation, corporation, or association; and
(ii) has as its licensee an entity
which is eligible to receive a community service grant, or any successor grant thereto, from the Corporation for Public Broadcasting, or any successor organization thereto, on the basis
of the formula set forth in section 396(k)(6)(B); or (B) is owned and operated by a municipality and transmits predominantly noncommercial programs for educational purposes. Such term
includes (I) the translator of any noncommercial educational television station with five watts or higher power serving the franchise area, (II) a full-service station or translator
if such station or translator is licensed to a channel reserved for noncommercial educational use pursuant to section 73.606 of title 47, Code of Federal Regulations, or any successor
regulations thereto, and (III) such stations and translators operating on channels not so reserved as the Commission determines are qualified as noncommercial educational stations. (2)
QUALIFIED LOCAL NONCOMMERCIAL EDUCATIONAL TELEVISION STATION.--The term ''qualified local noncommercial educational television station'' means a qualified noncommercial educational television
station--(A) which is licensed to a principal community whose reference point, as defined in section 76.53 of title 47, Code of Federal Regulations (as in effect on March 29, 1990),
or any successor regulations thereto, is within 50 miles of the principal headend of the cable system; or (B) whose Grade B service contour, as defined in section 73.683(a) of such title
(as in effect on March 29, 1990), or any successor regulations thereto, encompasses the principal headend of the cable system. SEC. 616. [47 U.S.C. 536] REGULATION OF CARRIAGE AGREEMENTS.
(a) REGULATIONS.--Within one year after the date of enactment of this section, the Commission shall establish regulations governing program carriage agreements and related practices
between cable operators or other multichannel video programming distributors and video programming vendors. Such regulations shall--(1) include provisions designed to prevent a cable
operator or other multichannel video programming distributor from requiring a financial
Communications Act of 1934 271 interest in a program service as a condition for carriage on one or more of such operator's systems; (2) include provisions designed to prohibit a cable
operator or other multichannel video programming distributor from coercing a video programming vendor to provide, and from retaliating against such a vendor for failing to provide, exclusive
rights against other multichannel video programming distributors as a condition of carriage on a system; (3) contain provisions designed to prevent a multichannel video programming distributor
from engaging in conduct the effect of which is to unreasonably restrain the ability of an unaffiliated video programming vendor to compete fairly by discriminating in video programming
distribution on the basis of affiliation or nonaffiliation of vendors in the selection, terms, or conditions for carriage of video programming provided by such vendors; (4) provide for
expedited review of any complaints made by a video programming vendor pursuant to this section; (5) provide for appropriate penalties and remedies for violations of this subsection,
including carriage; and (6) provide penalties to be assessed against any person filing a frivolous complaint pursuant to this section. (b) DEFINITION.--As used in this section, the term
''video programming vendor'' means a person engaged in the production, creation, or wholesale distribution of video programming for sale. SEC. 617. [47 U.S.C. 537] SALES OF CABLE SYSTEMS.
A franchising authority shall, if the franchise requires franchising authority approval of a sale or transfer, have 120 days to act upon any request for approval of such sale or transfer
that contains or is accompanied by such information as is required in accordance with Commission regulations and by the franchising authority. If the franchising authority fails to render
a final decision on the request within 120 days, such request shall be deemed granted unless the requesting party and the franchising authority agree to an extension of time. PART III--FRANCHISING
AND REGULATION SEC. 621. [47 U.S.C. 541] GENERAL FRANCHISE REQUIREMENTS. (a)(1) A franchising authority may award, in accordance with the provisions of this title, 1 or more franchises
within its jurisdiction; except that a franchising authority may not grant an exclusive franchise and may not unreasonably refuse to award an additional competitive franchise. Any applicant
whose application for a second franchise has been denied by a final decision of the franchising authority may appeal such final decision pursuant to the provisions of
Communications Act of 1934 272 section 635 for failure to comply with this subsection. (2) Any franchise shall be construed to authorize the construction of a cable system over public
rights-of-way, and through easements, which is within the area to be served by the cable system and which have been dedicated for compatible uses, except that in using such easements
the cable operator shall ensure--(A) that the safety, functioning, and appearance of the property and the convenience and the safety of other persons not be adversely affected by the
installation or construction of facilities necessary for a cable system; (B) that the cost of the installation, construction, operation, or removal of such facilities be borne by the
cable operator or subscriber, or a combination of both; and (C) that the owner of the property be justly compensated by the cable operator for any damages caused by the installation,
construction, operation, or removal of such facilities by the cable operator. (3) In awarding a franchise or franchises, a franchising authority shall assure that access to cable service
is not denied to any group of potential residential cable subscribers because of the income of the residents of the local area in which such group resides. (4) In awarding a franchise,
the franchising authority--(A) shall allow the applicant's cable system a reasonable period of time to become capable of providing cable service to all households in the franchise area;
(B) may require adequate assurance that the cable operator will provide adequate public, educational, and governmental access channel capacity, facilities, or financial support; and
(C) may require adequate assurance that the cable operator has the financial, technical, or legal qualifications to provide cable service. (b)(1) Except to the extent provided in paragraph
(2) and subsection (f), a cable operator may not provide cable service without a franchise. (2) Paragraph (1) shall not require any person lawfully providing cable service without a
franchise on July 1, 1984, to obtain a franchise unless the franchising authority so requires. (3)(A) If a cable operator or affiliate thereof is engaged in the provision of telecommunications
services--(i) such cable operator or affiliate shall not be required to obtain a franchise under this title for the provision of telecommunications services; and (ii) the provisions
of this title shall not apply to such cable operator or affiliate for the provision of telecommunications services. (B) A franchising authority may not impose any requirement under this
title that has the purpose or effect of prohibiting, limiting, restricting, or conditioning
Communications Act of 1934 273 the provision of a telecommunications service by a cable operator or an affiliate thereof.(C) A franchising authority may not order a cable operator or
affiliate thereof--(i) to discontinue the provision of a telecommunications service, or (ii) to discontinue the operation of a cable system, to the extent such cable system is used for
the provision of a telecommunications service, by reason of the failure of such cable operator or affiliate thereof to obtain a franchise or franchise renewal under this title with respect
to the provision of such telecommunications service. (D) Except as otherwise permitted by sections 611 and 612, a franchising authority may not require a cable operator to provide any
telecommunications service or facilities, other than institutional networks, as a condition of the initial grant of a franchise, a franchise renewal, or a transfer of a franchise. (c)
Any cable system shall not be subject to regulation as a common carrier or utility by reason of providing any cable service. (d)(1) A State or the Commission may require the filing of
informational tariffs for any intrastate communications service provided by a cable system, other than cable service, that would be subject to regulation by the Commission or any State
if offered by a common carrier subject in whole or in part, to title II of this Act. Such informational tariffs shall specify the rates, terms, and conditions for the provision of such
service, including whether it is made available to all subscribers generally, and shall take effect on the date specified therein. (2) Nothing in this title shall be construed to affect
the authority of any State to regulate any cable operator to the extent that such operator provides any communication service other than cable service, whether offered on a common carrier
or private contract basis. (3) For purposes of this subsection, the term ''State'' has the meaning given it in section 3. (e) Nothing in this title shall be construed to affect the authority
of any State to license or otherwise regulate any facility or combination of facilities which serves only subscribers in one or more multiple unit dwellings under common ownership, control,
or management and which does not use any public right-ofway. (f) No provision of this Act shall be construed to--(1) prohibit a local or municipal authority that is also, or is affiliated
with, a franchising authority from operating as a multichannel video programming distributor in the franchise area, notwithstanding the granting of one or more franchises by such franchising
authority; or (2) require such local or municipal authority to secure a franchise to operate as a multichannel video programming distributor.
Communications Act of 1934 274 SEC. 622. [47 U.S.C. 542] FRANCHISE FEES. (a) Subject to the limitation of subsection (b), any cable operator may be required under the terms of any franchise
to pay a franchise fee. (b) For any twelve-month period, the franchise fees paid by a cable operator with respect to any cable system shall not exceed 5 percent of such cable operator's
gross revenues derived in such period from the operation of the cable system to provide cable services. For purposes of this section, the 12-month period shall be the 12-month period
applicable under the franchise for accounting purposes. Nothing in this subsection shall prohibit a franchising authority and a cable operator from agreeing that franchise fees which
lawfully could be collected for any such 12-month period shall be paid on a prepaid or deferred basis; except that the sum of the fees paid during the term of the franchise may not exceed
the amount, including the time value of money, which would have lawfully been collected if such fees had been paid per annum. (c) Each cable operator may identify, consistent with the
regulations prescribed by the Commission pursuant to section 623, as a separate line item on each regular bill of each subscriber, each of the following: (1) The amount of the total
bill assessed as a franchise fee and the identity of the franchising authority to which the fee is paid. (2) The amount of the total bill assessed to satisfy any requirements imposed
on the cable operator by the franchise agreement to support public, educational, or governmental channels or the use of such channels. (3) The amount of any other fee, tax, assessment,
or charge of any kind imposed by any governmental authority on the transaction between the operator and the subscriber. (d) In any court action under subsection (c), the franchising
authority shall demonstrate that the rate structure reflects all costs of the franchise fees. (e) Any cable operator shall pass through to subscribers the amount of any decrease in a
franchise fee. (f) A cable operator may designate that portion of a subscriber's bill attributable to the franchise fee as a separate item on the bill. (g) For the purposes of this section--(1)
the term ''franchise fee'' includes any tax, fee, or assessment of any kind imposed by a franchising authority or other governmental entity on a cable operator or cable subscriber, or
both, solely because of their status as such; (2) the term ''franchise fee'' does not include--(A) any tax, fee, or assessment of general applicability (including any such tax, fee,
or assessment imposed on both utilities and cable operators or their services but not including a tax, fee, or assessment which is unduly discriminatory against cable operators or cable
subscribers);
Communications Act of 1934 275 (B) in the case of any franchise in effect on the date of the enactment of this title, payments which are required by the franchise to be made by the cable
operator during the term of such franchise for, or in support of the use of, public, educational, or governmental access facilities; (C) in the case of any franchise granted after such
date of enactment, capital costs which are required by the franchise to be incurred by the cable operator for public, educational, or governmental access facilities; (D) requirements
or charges incidental to the awarding or enforcing of the franchise, including payments for bonds, security funds, letters of credit, insurance, indemnification, penalties, or liquidated
damages; or (E) any fee imposed under title 17, United States Code. (h)(1) Nothing in this Act shall be construed to limit any authority of a franchising authority to impose a tax, fee,
or other assessment of any kind on any person (other than a cable operator) with respect to cable service or other communications service provided by such person over a cable system
for which charges are assessed to subscribers but not received by the cable operator. (2) For any 12-month period, the fees paid by such person with respect to any such cable service
or other communications service shall not exceed 5 percent of such person's gross revenues derived in such period from the provision of such service over the cable system. (i) Any Federal
agency may not regulate the amount of the franchise fees paid by a cable operator, or regulate the use of funds derived from such fees, except as provided in this section. SEC. 623.
[47 U.S.C. 543] REGULATION OF RATES. (a) COMPETITION PREFERENCE; LOCAL AND FEDERAL REGULATION.--(1) IN GENERAL.--No Federal agency or State may regulate the rates for the provision of
cable service except to the extent provided under this section and section 612. Any franchising authority may regulate the rates for the provision of cable service, or any other communications
service provided over a cable system to cable subscribers, but only to the extent provided under this section. No Federal agency, State, or franchising authority may regulate the rates
for cable service of a cable system that is owned or operated by a local government or franchising authority within whose jurisdiction that cable system is located and that is the only
cable system located within such jurisdiction. (2) PREFERENCE FOR COMPETITION.--If the Commission finds that a
Communications Act of 1934 276 cable system is subject to effective competition, the rates for the provision of cable service by such system shall not be subject to regulation by the
Commission or by a State or franchising authority under this section. If the Commission finds that a cable system is not subject to effective competition--(A) the rates for the provision
of basic cable service shall be subject to regulation by a franchising authority, or by the Commission if the Commission exercises jurisdiction pursuant to paragraph (6), in accordance
with the regulations prescribed by the Commission under subsection (b); and (B) the rates for cable programming services shall be subject to regulation by the Commission under subsection
(c). (3) QUALIFICATION OF FRANCHISING AUTHORITY.--A franchising authority that seeks to exercise the regulatory jurisdiction permitted under paragraph (2)(A) shall file with the Commission
a written certification that--(A) the franchising authority will adopt and administer regulations with respect to the rates subject to regulation under this section that are consistent
with the regulations prescribed by the Commission under subsection (b); (B) the franchising authority has the legal authority to adopt, and the personnel to administer, such regulations;
and (C) procedural laws and regulations applicable to rate regulation proceedings by such authority provide a reasonable opportunity for consideration of the views of interested parties.
(4) APPROVAL BY COMMISSION.--A certification filed by a franchising authority under paragraph (3) shall be effective 30 days after the date on which it is filed unless the Commission
finds, after notice to the authority and a reasonable opportunity for the authority to comment, that--(A) the franchising authority has adopted or is administering regulations with respect
to the rates subject to regulation under this section that are not consistent with the regulations prescribed by the Commission under subsection (b); (B) the franchising authority does
not have the legal authority to adopt, or the personnel to administer, such regulations; or (C) procedural laws and regulations applicable to rate regulation proceedings by such authority
do not provide a reasonable opportunity for consideration of the views of interested parties. If the Commission disapproves a franchising authority's certification, the Commission shall
notify the franchising authority of any revisions or
Communications Act of 1934 277 modifications necessary to obtain approval. (5) REVOCATION OF JURISDICTION.--Upon petition by a cable operator or other interested party, the Commission
shall review the regulation of cable system rates by a franchising authority under this subsection. A copy of the petition shall be provided to the franchising authority by the person
filing the petition. If the Commission finds that the franchising authority has acted inconsistently with the requirements of this subsection, the Commission shall grant appropriate
relief. If the Commission, after the franchising authority has had a reasonable opportunity to comment, determines that the State and local laws and regulations are not in conformance
with the regulations prescribed by the Commission under subsection (b), the Commission shall revoke the jurisdiction of such authority. (6) EXERCISE OF JURISDICTION BY COMMISSION.--If
the Commission disapproves a franchising authority's certification under paragraph (4), or revokes such authority's jurisdiction under paragraph (5), the Commission shall exercise the
franchising authority's regulatory jurisdiction under paragraph (2)(A) until the franchising authority has qualified to exercise that jurisdiction by filing a new certification that
meets the requirements of paragraph (3). Such new certification shall be effective upon approval by the Commission. The Commission shall act to approve or disapprove any such new certification
within 90 days after the date it is filed. (7) AGGREGATION OF EQUIPMENT COSTS.--(A) IN GENERAL.--The Commission shall allow cable operators, pursuant to any rules promulgated under subsection
(b)(3), to aggregate, on a franchise, system, regional, or company level, their equipment costs into broad categories, such as converter boxes, regardless of the varying levels of functionality
of the equipment within each such broad category. Such aggregation shall not be permitted with respect to equipment used by subscribers who receive only a rate regulated basic service
tier. (B) REVISION TO COMMISSION RULES; FORMS.--Within 120 days of the date of enactment of the Telecommunications Act of 1996, the Commission shall issue revisions to the appropriate
rules and forms necessary to implement subparagraph (A). (b) ESTABLISHMENT OF BASIC SERVICE TIER RATE REGULATIONS.--(1) COMMISSION OBLIGATION TO SUBSCRIBERS.--The Commission shall, by
regulation, ensure that the rates for the basic service tier are reasonable. Such regulations shall be designed to achieve the goal of protecting subscribers of any cable system that
is not subject to effective competition from rates for the basic service tier that exceed the rates that
Communications Act of 1934 278 would be charged for the basic service tier if such cable system were subject to effective competition. (2) COMMISSION REGULATIONS.--Within 180 days after
the date of enactment of the Cable Television Consumer Protection and Competition Act of 1992, the Commission shall prescribe, and periodically thereafter revise, regulations to carry
out its obligations under paragraph (1). In prescribing such regulations, the Commission--(A) shall seek to reduce the administrative burdens on subscribers, cable operators, franchising
authorities, and the Commission; (B) may adopt formulas or other mechanisms and procedures in complying with the requirements of subparagraph (A); and(C) shall take into account the
following factors: (i) the rates for cable systems, if any, that are subject to effective competition; (ii) the direct costs (if any) of obtaining, transmitting, and otherwise providing
signals carried on the basic service tier, including signals and services carried on the basic service tier pursuant to paragraph (7)(B), and changes in such costs; (iii) only such portion
of the joint and common costs (if any) of obtaining, transmitting, and otherwise providing such signals as is determined, in accordance with regulations prescribed by the Commission,
to be reasonably and properly allocable to the basic service tier, and changes in such costs; (iv) the revenues (if any) received by a cable operator from advertising from programming
that is carried as part of the basic service tier or from other consideration obtained in connection with the basic service tier; (v) the reasonably and properly allocable portion of
any amount assessed as a franchise fee, tax, or charge of any kind imposed by any State or local authority on the transactions between cable operators and cable subscribers or any other
fee, tax, or assessment of general applicability imposed by a governmental entity applied against cable operators or cable subscribers; (vi) any amount required, in accordance with paragraph
(4), 4), to satisfy franchise requirements to support public, educational, or governmental channels or the use of such channels or any other services required under the
Communications Act of 1934 279 franchise; and (vii) a reasonable profit, as defined by the Commission consistent with the Commission's obligations to subscribers under paragraph (1).
(3) EQUIPMENT.--The regulations prescribed by the Commission under this subsection shall include standards to establish, on the basis of actual cost, the price or rate for--(A) installation
and lease of the equipment used by subscribers to receive the basic service tier, including a converter box and a remote control unit and, if requested by the subscriber, such addressable
converter box or other equipment as is required to access programming described in paragraph (8); and (B) installation and monthly use of connections for additional television receivers.
(4) COSTS OF FRANCHISE REQUIREMENTS.--The regulations prescribed by the Commission under this subsection shall include standards to identify costs attributable to satisfying franchise
requirements to support public, educational, and governmental channels or the use of such channels or any other services required under the franchise. (5) IMPLEMENTATION AND ENFORCEMENT.--The
regulations prescribed by the Commission under this subsection shall include additional standards, guidelines, and procedures concerning the implementation and enforcement of such regulations,
which shall include--(A) procedures by which cable operators may implement and franchising authorities may enforce the regulations prescribed by the Commission under this subsection;
(B) procedures for the expeditious resolution of disputes between cable operators and franchising authorities concerning the administration of such regulations; (C) standards and procedures
to prevent unreasonable charges for changes in the subscriber's selection of services or equipment subject to regulation under this section, which standards shall require that charges
for changing the service tier selected shall be based on the cost of such change and shall not exceed nominal amounts when the system's configuration permits changes in service tier
selection to be effected solely by coded entry on a computer terminal or by other similarly simple method; and (D) standards and procedures to assure that subscribers receive notice
of the availability of the basic service tier required under this section. (6) NOTICE.--The procedures prescribed by the Commission pursuant to paragraph (5)(A) shall require a cable
operator to provide 30
Communications Act of 1934 280 days' advance notice to a franchising authority of any increase proposed in the price to be charged for the basic service tier. (7) COMPONENTS OF BASIC
TIER SUBJECT TO RATE REGULATION.--(A) MINIMUM CONTENTS.--Each cable operator of a cable system shall provide its subscribers a separately available basic service tier to which subscription
is required for access to any other tier of service. Such basic service tier shall, at a minimum, consist of the following: (i) All signals carried in fulfillment of the requirements
of sections 614 and 615. (ii) Any public, educational, and governmental access programming required by the franchise of the cable system to be provided to subscribers. (iii) Any signal
of any television broadcast station that is provided by the cable operator to any subscriber, except a signal which is secondarily transmitted by a satellite carrier beyond the local
service area of such station. (B) PERMITTED ADDITIONS TO BASIC TIER.--A cable operator may add additional video programming signals or services to the basic service tier. Any such additional
signals or services provided on the basic service tier shall be provided to subscribers at rates determined under the regulations prescribed by the Commission under this subsection.
(8) BUY-THROUGH OF OTHER TIERS PROHIBITED.--(A) PROHIBITION.--A cable operator may not require the subscription to any tier other than the basic service tier required by paragraph (7)
as a condition of access to video programming offered on a per channel or per program basis. A cable operator may not discriminate between subscribers to the basic service tier and other
subscribers with regard to the rates charged for video programming offered on a per channel or per program basis. (B) EXCEPTION; LIMITATION.--The prohibition in subparagraph (A) shall
not apply to a cable system that, by reason of the lack of addressable converter boxes or other technological limitations, does not permit the operator to offer programming on a per
channel or per program basis in the same manner required by subparagraph (A). This subparagraph shall not be available to any cable operator after--(i) the technology utilized by the
cable system is modified or improved in a way that eliminates such technological limitation; or (ii) 10 years after the date of enactment of the Cable
Communications Act of 1934 281 Television Consumer Protection and Competition Act of 1992, subject to subparagraph (C). (C) WAIVER.--If, in any proceeding initiated at the request of
any cable operator, the Commission determines that compliance with the requirements of subparagraph (A) would require the cable operator to increase its rates, the Commission may, to
the extent consistent with the public interest, grant such cable operator a waiver from such requirements for such specified period as the Commission determines reasonable and appropriate.
(c) REGULATION OF UNREASONABLE RATES.--(1) COMMISSION REGULATIONS.--Within 180 days after the date of enactment of the Cable Television Consumer Protection and Competition Act of 1992,
the Commission shall, by regulation, establish the following: (A) criteria prescribed in accordance with paragraph (2) for identifying, in individual cases, rates for cable programming
services that are unreasonable; (B) fair and expeditious procedures for the receipt, consideration, and resolution of complaints from any franchising
authority (in accordance with paragraph (3)) alleging that a rate for cable programming services charged by a cable operator violates the criteria prescribed under subparagraph (A),
which procedures shall include the minimum showing that shall be required for a complaint to obtain Commission consideration and resolution of whether the rate in question is unreasonable;
and (C) the procedures to be used to reduce rates for cable programming services that are determined by the Commission to be unreasonable and to refund such portion of the rates or charges
that were paid by subscribers after the filing of the first complaint filed with the franchising authority under paragraph (3) and that are determined to be unreasonable. (2) FACTORS
TO BE CONSIDERED.--In establishing the criteria for determining in individual cases whether rates for cable programming services are unreasonable under paragraph (1)(A), the Commission
shall consider, among other factors--(A) the rates for similarly situated cable systems offering comparable cable programming services, taking into account similarities in facilities,
regulatory and governmental costs, the number of subscribers, and other relevant factors; (B) the rates for cable systems, if any, that are subject to effective competition; (C) the
history of the rates for cable programming services of the system, including the relationship of such rates to changes in
Communications Act of 1934 282 general consumer prices; (D) the rates, as a whole, for all the cable programming, cable equipment, and cable services provided by the system, other than
programming provided on a per channel or per program basis; (E) capital and operating costs of the cable system, including the quality and costs of the customer service provided by the
cable system; and (F) the revenues (if any) received by a cable operator from advertising from programming that is carried as part of the service for which a rate is being established,
and changes in such revenues, or from other consideration obtained in connection with the cable programming services concerned. (3) REVIEW OF RATE CHANGES.--The Commission shall review
any complaint submitted by a franchising authority after the date of enactment of the Telecommunications Act of 1996 concerning an increase in rates for cable programming services and
issue a final order within 90 days after it receives such a complaint, unless the parties agree to to extend the period for such review. A franchising authority may not file a complaint
under this paragraph unless, within 90 days after such increase becomes effective it receives subscriber complaints. (4) SUNSET OF UPPER TIER RATE REGULATION.--This subsection shall
not apply to cable programming services provided after March 31, 1999. (d) UNIFORM RATE STRUCTURE REQUIRED.--A cable operator shall have a rate structure, for the provision of cable
service, that is uniform throughout the geographic area in which cable service is provided over its cable system. This subsection does not apply to (1) a cable operator with respect
to the provision of cable service over its cable system in any geographic area in which the video programming services offered by the operator in that area are subject to effective competition,
or (2) any video programming offered on a per channel or per program basis. Bulk discounts to multiple dwelling units shall not be subject to this subsection, except that a cable operator
of a cable system that is not subject to effective competition may not charge predatory prices to a multiple dwelling unit. Upon a prima facie showing by a complainant that there are
reasonable grounds to believe that the discounted price is predatory, the cable system shall have the burden of showing that its discounted price is not predatory. (e) DISCRIMINATION;
SERVICES FOR THE HEARING IMPAIRED.--Nothing in this title shall be construed as prohibiting any Federal agency, State, or a franchising authority from--(1) prohibiting discrimination
among subscribers and potential subscribers to cable service, except that no Federal agency, State, or franchising authority may prohibit a cable operator from offering
Communications Act of 1934 283 reasonable discounts to senior citizens or other economically disadvantaged group discounts; or (2) requiring and regulating the installation or rental
of equipment which facilitates the reception of cable service by hearing impaired individuals. (f) NEGATIVE OPTION BILLING PROHIBITED.--A cable operator shall not charge a subscriber
for any service or equipment that the subscriber has not affirmatively requested by name. For purposes of this subsection, a subscriber's failure to refuse a cable operator's proposal
to provide such service or equipment shall not be deemed to be an affirmative request for such service or equipment. (g) COLLECTION OF INFORMATION.--The Commission shall, by regulation,
require cable operators to file with the Commission or a franchising authority, as appropriate, within one year after the date of enactment of the Cable Television Consumer Protection
and Competition Act of 1992 and annually thereafter, such financial information as may be needed for purposes of administering and enforcing this section. (h) PREVENTION OF EVASIONS.--Within
180 days after the date of enactment of the Cable Television Consumer Protection and Competition Act of 1992, the Commission shall, by regulation, establish standards, guidelines, and
procedures to prevent evasions, including evasions that result from retiering, of the requirements of this section and shall, thereafter, periodically review and revise such standards,
guidelines, and procedures. (i) SMALL SYSTEM BURDENS.--In developing and prescribing regulations pursuant to this section, the Commission shall design such regulations to reduce the
administrative burdens and cost of compliance for cable systems that have 1,000 or fewer subscribers. (j) RATE REGULATION AGREEMENTS.--During the term of an agreement made before July
1, 1990, by a franchising authority and a cable operator providing for the regulation of basic cable service rates, where there was not effective competition under Commission rules in
effect on that date, nothing in this section (or the regulations thereunder) shall abridge the ability of such franchising authority to regulate rates in accordance with such an agreement.
(k) REPORTS ON AVERAGE PRICES.--The Commission shall annually publish statistical reports on the average rates for basic cable service and other cable programming, and for converter
boxes, remote control units, and other equipment, of--(1) cable systems that the Commission has found are subject to effective competition under subsection (a)(2), compared with (2)
cable systems that the Commission has found are not subject to such effective competition. (l) DEFINITIONS.--As used in this section--(1) The term ''effective competition'' means that--
Communications Act of 1934 284 (A) fewer than 30 percent of the households in the franchise area subscribe to the cable service of a cable system; (B) the franchise area is--(i) served
by at least two unaffiliated multichannel video programming distributors each of which offers comparable video programming to at least 50 percent of the households in the franchise area;
and (ii) the number of households subscribing to programming services offered by multichannel video programming distributors other than the largest multichannel video programming distributor
exceeds 15 percent of the households in the franchise area; (C) a multichannel video programming distributor operated by the franchising authority for that franchise area offers video
programming to at least 50 percent of the households in that franchise area; or (D) a local exchange carrier or its affiliate (or any multichannel video programming distributor using
the facilities of such carrier or its affiliate) offers video programming services directly to subscribers by any means (other than direct-to-home satellite services) in the franchise
area of an unaffiliated cable operator which is providing cable service in that franchise area, but only if the video programming services so offered in that area are comparable to the
video programming services provided by the unaffiliated cable operator in that area. (2) The term ''cable programming service'' means any video programming provided over a cable system,
regardless of service tier, including installation or rental of equipment used for the receipt of such video programming, other than (A) video programming carried on the basic service
tier, and (B) video programming offered on a per channel or per program basis. (m) SPECIAL RULES FOR SMALL COMPANIES.--(1) IN GENERAL.--Subsections (a), (b), and (c) do not apply to
a small cable operator with respect to--(A) cable programming services, or (B) a basic service tier that was the only service tier subject to regulation as of December 31, 1994, in any
franchise franchise area in which that operator services 50,000 or fewer subscribers. (2) DEFINITION OF SMALL CABLE OPERATOR.--For purposes of this subsection, the term ''small cable
operator'' means a cable operator that, directly or through an affiliate, serves in the aggregate fewer than 1 percent
Communications Act of 1934 285 of all subscribers in the United States and is not affiliated with any entity or entities whose gross annual revenues in the aggregate exceed $250,000,000.
(n) TREATMENT OF PRIOR YEAR LOSSES.--Notwithstanding any other provision of this section or of section 612, losses associated with a cable system (including losses associated with the
grant or award of a franchise) that were incurred prior to September 4, 1992, with respect to a cable system that is owned and operated by the original franchisee of such system shall
not be disallowed, in whole or in part, in the determination of whether the rates for any tier of service or any type of equipment that is subject to regulation under this section are
lawful. SEC. 624. [47 U.S.C. 544] REGULATION OF SERVICES, FACILITIES, AND EQUIPMENT. (a) Any franchising authority may not regulate the services, facilities, and equipment provided by
a cable operator except to the extent consistent with this title. (b) In the case of any franchise granted after the effective date of this title, the franchising authority, to the extent
related to the establishment or operation of a cable system--(1) in its request for proposals for a franchise (including requests for renewal proposals, subject to section 626), may
establish requirements for facilities and equipment, but may not, except as provided in subsection (h), establish requirements for video programming or other information services; and
(2) subject to section 625, may enforce any requirements contained within the franchise--(A) for facilities and equipment; and (B) for broad categories of video programming or other
services. (c) In the case of any franchise in effect on the effective date of this title, the franchising authority may, subject to section 625, enforce requirements contained within
the franchise for the provision of services, facilities, and equipment, whether or not related to the establishment or operation of a cable system. (d)(1) Nothing in this title shall
be construed as prohibiting a franchising authority and a cable operator from specifying, in a franchise or renewal thereof, that certain cable services shall not be provided or shall
be provided subject to conditions, if such cable services are obscene or are otherwise unprotected by the Constitution of the United States. (2) In order to restrict the viewing of programming
which is obscene or indecent, upon the request of a subscriber, a cable operator shall provide (by sale or lease) a device by which the subscriber can prohibit viewing of a particular
cable
Communications Act of 1934 286 service during periods selected by that subscriber. (3)(A) If a cable operator provides a premium channel without charge to cable subscribers who do not
subscribe to such premium channel, the cable operator shall, not later than 30 days before such premium channel is provided without charge--(i) notify all cable subscribers that the
cable operator plans to provide a premium channel without charge; (ii) notify all cable subscribers when the cable operator plans to offer a premium channel without charge; (iii) notify
all cable subscribers that they have a right to request that the channel carrying the premium channel be blocked; and (iv) block the channel carrying the premium channel upon the request
of a subscriber. (B) For the purpose of this section, the term ''premium channel'' shall mean any pay service offered on a per channel or per program basis, which offers movies rated
by the Motion Picture Association of America as X, NC-17, or R. (e) Within one year after the date of enactment of the Cable Television Consumer Protection and Competition Act of 1992,
the Commission shall prescribe regulations which establish minimum technical standards relating to cable systems' technical operation and signal quality. The Commission shall update
such standards periodically to reflect improvements in technology. No State or franchising authority may prohibit, condition, or restrict a cable system's use of any type of subscriber
equipment or any transmission technology. (f)(1) Any Federal agency, State, or franchising authority may not impose requirements regarding the provision or content of cable services,
except as expressly provided in this title. (2) Paragraph (1) shall not apply to--(A) any rule, regulation, or order issued under any Federal law, as such rule, regulation, or order
(i) was in effect on September 21, 1983, or (ii) may be amended after such date if the rule, regulation, or order as amended is not inconsistent with the express provisions of this title;
and (B) any rule, regulation, or order under title 17, United States Code. (g) Notwithstanding any such rule, regulation, or order, each cable operator shall comply with such standards
as the Commission shall prescribe to ensure that viewers of video programming on cable systems are afforded the same emergency information as is afforded by the emergency broadcasting
system pursuant to Commission regulations in subpart G of part 73, title 47, Code of Federal Regulations. (h) A franchising authority may require a cable operator to do any one or more
of the following: (1) Provide 30 days' advance written notice of any change in
Communications Act of 1934 287 channel assignment or in the video programming service provided over any such channel. (2) Inform subscribers, via written notice, that comments on programming
and channel position changes are being recorded by a designated office of the franchising authority. (i) Within 120 days after the date of enactment of this subsection, the Commission
shall prescribe rules concerning the disposition, after a subscriber to a cable system terminates service, of any cable installed by the cable operator within the premises of such subscriber.
SEC. 624A. [47 U.S.C. 544a] CONSUMER ELECTRONICS EQUIPMENT COMPATIBILITY. (a) FINDINGS.--The Congress finds that--(1) new and recent models of television receivers and video cassette
recorders often contain premium features and functions that are disabled or inhibited because of cable scrambling, encoding, or encryption technologies and devices, including converter
boxes and remote control devices required by cable operators to receive programming; (2) if these problems are allowed to persist, consumers will be less likely to purchase, and electronics
equipment manufacturers will be less likely to develop, manufacture, or offer for sale, television receivers and video cassette recorders with new and innovative features and functions;
(3) cable operators should use technologies that will prevent signal thefts while permitting consumers to benefit from such features and functions in such receivers and recorders; and
(4) compatibility among televisions, video cassette recorders, and cable systems can be assured with narrow technical standards that mandate a minimum degree of common design and operation,
leaving all features, functions, protocols, and other product and service options for selection through open competition in the market. (b) COMPATIBLE INTERFACES.--(1) REPORT; REGULATIONS.--Within
1 year after the date of enactment of this section, the Commission, in consultation with representatives of the cable industry and the consumer electronics industry, shall report to
Congress on means of assuring compatibility between televisions and video cassette recorders and cable systems, consistent with the need to prevent theft of cable service, so that cable
subscribers will be able to enjoy the full benefit of both the programming available on cable systems and the functions available on their televisions and video cassette recorders. Within
180 days after the date of submission of the report required by this subsection, the Commission shall issue such regulations as
Communications Act of 1934 288 are necessary to assure such compatibility. (2) SCRAMBLING AND ENCRYPTION.--In issuing the regulations referred to in paragraph (1), the Commission shall
determine whether and, if so, under what circumstances to permit cable systems to scramble or encrypt signals or to restrict cable systems in the manner in which they encrypt or scramble
signals, except that the Commission shall not limit the use of scrambling or encryption technology where the use of such technology does not interfere with the functions of subscribers'
television receivers or video cassette recorders. (c) RULEMAKING REQUIREMENTS.--(1) FACTORS TO BE CONSIDERED.--In prescribing the regulations required by this section, the Commission
shall consider--(A) the need to maximize open competition in the market for all features, functions, protocols, and other product and service options of converter boxes and other cable
converters unrelated to the descrambling or decryption of cable television signals; (B) the costs and benefits to consumers of imposing compatibility requirements on cable operators
and television manufacturers in a manner that, while providing effective protection against theft or unauthorized reception of cable service, will minimize interference with or nullification
of the special functions of subscribers' television receivers or video cassette recorders, including functions that permit the subscriber--(i) to watch a program on one channel while
simultaneously using a video cassette recorder to tape a program on another channel; (ii) to use a video cassette recorder to tape two consecutive programs that appear on different channels;
and (iii) to use advanced television picture generation and display features; and (C) the need for cable operators to protect the integrity of the signals transmitted by the cable operator
against theft or to protect such signals against unauthorized reception. (2) Regulations required.--The regulations prescribed by the Commission under this section shall include such
regulations as are necessary--(A) to specify the technical requirements with which a television receiver or video cassette recorder must comply in order to be sold as ''cable compatible''
or ''cable ready''; (B) to require cable operators offering channels whose reception requires a converter box--(i) to notify subscribers that they may be unable to
Communications Act of 1934 289 benefit from the special functions of their television receivers and video cassette recorders, including functions that permit subscribers--(I) to watch
a program on one channel while simultaneously using a video cassette recorder to tape a program on another channel; (II) to use a video cassette recorder to tape two consecutive programs
that appear on different channels; and (III) to use advanced television picture generation and display features; and (ii) to the extent technically and economically feasible, to offer
subscribers the option of having all other channels delivered directly to the subscribers' television receivers or video cassette recorders without passing through the converter box;
(C) to promote the commercial availability, from cable operators and retail vendors that are not affiliated with cable systems, of converter boxes and of remote control devices compatible
with converter boxes; (D) to ensure that any standards or regulations developed under the authority of this section to ensure compatibility between televisions, video cassette recorders,
and cable systems do not affect features, functions, protocols, and other product and service options other than those specified in paragraph (1)(B), including telecommunications interface
equipment, home automation communications, and computer network services; (E) to require a cable operator who offers subscribers the option of renting a remote control unit--(i) to notify
subscribers that they may purchase a commercially available remote control device from any source that sells such devices rather than renting it from the cable operator; and (ii) to
specify the types of remote control units that are compatible with the converter box supplied by the cable operator; and (F) to prohibit a cable operator from taking any action that
prevents or in any way disables the converter box supplied by the cable operator from operating compatibly with commercially available remote control units. (d) REVIEW OF REGULATIONS.--The
Commission shall periodically review and, if necessary, modify the regulations issued pursuant to this section in light of
Communications Act of 1934 290 any actions taken in response to such regulations and to reflect improvements and changes in cable systems, television receivers, video cassette recorders,
and similar technology. SEC. 625. [47 U.S.C. 545] MODIFICATION OF FRANCHISE OBLIGATIONS. (a)(1) During the period a franchise is in effect, the cable operator may obtain from the franchising
authority modifications of the requirements in such franchise--(A) in the case of any such requirement for facilities or equipment, including public, educational, or governmental access
facilities or equipment, if the cable operator demonstrates that (i) it is commercially impracticable for the operator to comply with such requirement, and (ii) the proposal by the cable
operator for modification of such requirement is appropriate because of commercial impracticability; or (B) in the case of any such requirement for services, if the cable operator demonstrates
that the mix, quality, and level of services required by the franchise at the time it was granted will be maintained after such modification. (2) Any final decision by a franchising
authority under this subsection shall be made in a public proceeding. Such decision shall be made within 120 days after receipt of such request by the franchising authority, unless such
120-day period is extended by mutual agreement of the cable operator and the franchising authority. (b)(1) Any cable operator whose request for modification under subsection (a) has
been denied by a final decision of a franchising authority may obtain modification of such franchise requirements pursuant to the provisions of section 635. (2) In the case of any proposed
modification of a requirement for facilities or equipment, the court shall grant such modification only if the cable operator demonstrates to the court that--(A) it is commercially impracticable
for the operator to comply with such requirement; and (B) the terms of the modification requested are appropriate because of commercial impracticability. (3) In the case of any proposed
modification of a requirement for services, the court shall grant such modification only if the cable operator demonstrates to the court that the mix, quality, and level of services
required by the franchise at the time it was granted will be maintained after such modification. (c) Notwithstanding subsections (a) and (b), a cable operator may, upon 30 days' advance
notice to the franchising authority, rearrange, replace, or remove a particular cable service required by the franchise if--(1) such service is no longer available to the operator; or
Communications Act of 1934 291 (2) such service is available to the operator only upon the payment of a royalty required under section 801(b)(2) of title 17, United States Code, which
the cable operator can document--(A) is substantially in excess of the amount of such payment required on the date of the operator's offer to provide such service, and (B) has not been
specifically compensated for through a rate increase or other adjustment. (d) Notwithstanding subsections (a) and (b), a cable operator may take such actions to rearrange a particular
service from one service tier to another, or otherwise offer the service, if the rates for all of the service tiers involved in such actions are not subject to regulation under section
623. (e) A cable operator may not obtain modification under this section of any requirement for services relating to public, educational, or governmental access. (f) For purposes of
this section, the term ''commercially impracticable'' means, with respect to any requirement applicable to a cable operator, that it is commercially impracticable for the operator to
comply with such requirement as a result of a change in conditions which is beyond the control of the operator and the nonoccurrence of which was a basic assumption on which the requirement
was based. SEC. 626. [47 U.S.C. 546] RENEWAL. (a)(1) A franchising authority may, on its own initiative during the 6-month period which begins with the 36th month before the franchise
expiration, commence a proceeding which affords the public in the franchise area appropriate notice and participation for the purpose of (A) identifying the future cable-related community
needs and interests, and (B) reviewing the performance of the cable operator under the franchise during the then current franchise term. If the cable operator submits, during such 6-month
period, a written renewal notice requesting the commencement of such a proceeding, the franchising authority shall commence such a proceeding not later than 6 months after the date such
notice notice is submitted. (2) The cable operator may not invoke the renewal procedures set forth in subsections (b) through (g) unless--(A) such a proceeding is requested by the cable
operator by timely submission of such notice; or (B) such a proceeding is commenced by the franchising authority on its own initiative. (b)(1) Upon completion of a proceeding under subsection
(a), a cable operator seeking renewal of a franchise may, on its own initiative or at the request of a franchising authority, submit a proposal for renewal. (2) Subject to section 624,
any such proposal shall contain such material as the franchising authority may require, including proposals for an upgrade of the
Communications Act of 1934 292 cable system. (3) The franchising authority may establish a date by which such proposal shall be submitted. (c)(1) Upon submittal by a cable operator of
a proposal to the franchising authority for the renewal of a franchise pursuant to subsection (b), the franchising authority shall provide prompt public notice of such proposal and,
during the 4-month period which begins on the date of the submission of the cable operator's proposal pursuant to subsection (b), renew the franchise or, issue a preliminary assessment
that the franchise should not be renewed and, at the request of the operator or on its own initiative, commence an administrative proceeding, after providing prompt public notice of
such proceeding, in accordance with paragraph (2) to consider whether--(A) the cable operator has substantially complied with the material terms of the existing franchise and with applicable
law; (B) the quality of the operator's service, including signal quality, response to consumer complaints, and billing practices, but without regard to the mix or quality of cable services
or other services provided over the system, has been reasonable in light of community needs; (C) the operator has the financial, legal, and technical ability to provide the services,
facilities, and equipment as set forth in the operator's proposal; and (D) the operator's proposal is reasonable to meet the future cablerelated community needs and interests, taking
into account the cost of meeting such needs and interests. (2) In any proceeding under paragraph (1), the cable operator shall be afforded adequate notice and the cable operator and
the franchise authority, or its designee, shall be afforded fair opportunity
for full participation, including the right to introduce evidence (including evidence related to issues raised in the proceeding under subsection (a)), to require the production of evidence,
and to question witnesses. A transcript shall be made of any such proceeding. (3) At the completion of a proceeding under this subsection, the franchising authority shall issue a written
decision granting or denying the proposal for renewal based upon the record of such proceeding, and transmit a copy of such decision to the cable operator. Such decision shall state
the reasons therefor. (d) Any denial of a proposal for renewal that has been submitted in compliance with subsection (b) shall be based on one or more adverse findings made with respect
to the factors described in subparagraphs (A) through (D) of subsection (c)(1), pursuant to the record of the proceeding under subsection (c). A franchising authority may not base a
denial of renewal on a failure to substantially comply with the material terms of the franchise under subsection (c)(1)(A) or on events considered under subsection (c)(1)(B) in any case
in which a violation of the franchise or the events considered under subsection (c)(1)(B) occur after the
Communications Act of 1934 293 effective date of this title unless the franchising authority has provided the operator with notice and the opportunity to cure, or in any case in which
it is documented that the franchising authority has waived its right to object, or the cable operator gives written notice of a failure or inability to cure and the franchising authority
fails to object within a reasonable time after receipt of such notice. (e)(1) Any cable operator whose proposal for renewal has been denied by a final decision of a franchising authority
made pursuant to this section, or has been adversely affected by a failure of the franchising authority to act in accordance with the procedural requirements of this section, may appeal
such final decision or failure pursuant to the provisions of section 635. (2) The court shall grant appropriate relief if the court finds that--(A) any action of the franchising authority,
other than harmless error, is not in compliance with the procedural requirements of this section; or (B) in the event of a final decision of the franchising authority denying the renewal
proposal, the operator has demonstrated that the adverse finding of the franchising authority with respect to each of the factors described in subparagraphs (A) through (D) of subsection
(c)(1) on which the denial is based is not supported by a preponderance of the evidence, based on the record of the proceeding conducted under subsection (c). (f) Any decision of a franchising
authority on a proposal for renewal shall not be considered final unless all administrative review by the State has occurred or the opportunity therefor has lapsed. (g) For purposes
of this section, the term ''franchise expiration'' means the date of the expiration of the term of the franchise, as provided under the franchise, as it was in effect on the date of
the enactment of this title. (h) Notwithstanding the provisions of subsections (a) through (g) of this section, a cable operator may submit a proposal for the renewal of a franchise
franchise pursuant to this subsection at any time, and a franchising authority may, after affording the public adequate notice and opportunity for comment, grant or deny such proposal
at any time (including after proceedings pursuant to this section have commenced). The provisions of subsections (a) through (g) of this section shall not apply to a decision to grant
or deny a proposal under this subsection. The denial of a renewal pursuant to this subsection shall not affect action on a renewal proposal that is submitted in accordance with subsections
(a) through (g). (i) Notwithstanding the provisions of subsections (a) through (h), any lawful action to revoke a cable operator's franchise for cause shall not be negated by the subsequent
initiation of renewal proceedings by the cable operator under this section. SEC. 627. [47 U.S.C. 547] CONDITIONS OF SALE.
Communications Act of 1934 294 (a) If a renewal of a franchise held by a cable operator is denied and the franchising authority acquires ownership of the cable system or effects a transfer
of ownership of the system to another person, any such acquisition or transfer shall be--(1) at fair market value, determined on the basis of the cable system valued as a going concern
but with no value allocated to the franchise itself, or (2) in the case of any franchise existing on the effective date of this title, at a price determined in accordance with the franchise
if such franchise contains provisions applicable to such an acquisition or transfer. (b) If a franchise held by a cable operator is revoked for cause and the franchising authority acquires
ownership of the cable system or effects a transfer of ownership of the system to another person, any such acquisition or transfer shall be--(1) at an equitable price, or (2) in the
case of any franchise existing on the effective date of this title, at a price determined in accordance with the franchise if such franchise contains provisions applicable to such an
acquisition or transfer. SEC. 628. [47 U.S.C. 548] DEVELOPMENT OF COMPETITION AND DIVERSITY IN VIDEO PROGRAMMING DISTRIBUTION. (a) PURPOSE.--The purpose of this section is to promote
the public interest, convenience, and necessity by increasing competition and diversity in the multichannel video programming market, to increase the availability of satellite cable
programming and satellite broadcast programming to persons in rural and other areas not currently able to receive such programming, and to spur the development of communications technologies.
(b) PROHIBITION.--It shall be unlawful for a cable operator, a satellite cable programming vendor in which a cable operator has an attributable interest, or a satellite broadcast programming
vendor to engage in unfair methods of competition or unfair or deceptive acts or practices, the purpose or effect of which is to hinder significantly or to prevent any multichannel video
programming distributor from providing satellite cable programming or satellite broadcast programming to subscribers or consumers. (c) REGULATIONS REQUIRED.--(1) PROCEEDING REQUIRED.--Within
180 days after the date of enactment of this section, the Commission shall, in order to promote the public interest, convenience, and necessity by increasing competition and diversity
in the multichannel video programming market and the continuing development of communications technologies, prescribe regulations to specify particular conduct that is prohibited by
subsection (b). (2) MINIMUM CONTENTS OF REGULATIONS.--The regulations to be
Communications Act of 1934 295 promulgated under this section shall--(A) establish effective safeguards to prevent a cable operator which has an attributable interest in a satellite
cable programming vendor or a satellite broadcast programming vendor from unduly or improperly influencing the decision of such vendor to sell, or the prices, terms, and conditions of
sale of, satellite cable programming or satellite broadcast programming to any unaffiliated multichannel video programming distributor; (B) prohibit discrimination by a satellite cable
programming vendor in which a cable operator has an attributable interest or by a satellite broadcast programming vendor in the prices, terms, and conditions of sale or delivery of satellite
cable programming or satellite broadcast programming among or between cable systems, cable operators, or other multichannel video programming distributors, or their agents or buying
groups; except that such a satellite cable programming vendor in which a cable operator has an attributable interest or such a satellite broadcast programming vendor shall not be prohibited
from--(i) imposing reasonable requirements for creditworthiness, offering of service, and financial stability and standards regarding character and technical quality; (ii) establishing
different prices, terms, and conditions to take into account actual and reasonable differences in the cost of creation, sale, delivery, or transmission of satellite cable programming
or satellite broadcast programming; (iii) establishing different prices, terms, and conditions which take into account economies of scale, cost savings, or other direct and legitimate
economic benefits reasonably attributable to the number of subscribers served by the distributor; or (iv) entering into an exclusive contract that is permitted under subparagraph (D);
(C) prohibit practices, understandings, arrangements, and activities, including exclusive contracts for satellite cable programming or satellite broadcast programming between a cable
operator and and a satellite cable programming vendor or satellite broadcast programming vendor, that prevent a multichannel video programming distributor from obtaining such programming
from any satellite cable programming vendor in which a cable operator has an attributable interest or any satellite broadcast programming vendor in which a cable operator has an attributable
interest for
Communications Act of 1934 296 distribution to persons in areas not served by a cable operator as of the date of enactment of this section; and (D) with respect to distribution to persons
in areas served by a cable operator, prohibit exclusive contracts for satellite cable programming or satellite broadcast programming between a cable operator and a satellite cable programming
vendor in which a cable operator has an attributable interest or a satellite broadcast programming vendor in which a cable operator has an attributable interest, unless the Commission
determines (in accordance with paragraph (4)) that such contract is in the public interest. (3) LIMITATIONS.--(A) GEOGRAPHIC LIMITATIONS.--Nothing in this section shall require any person
who is engaged in the national or regional distribution of video programming to make such programming available in any geographic area beyond which such programming has been authorized
or licensed for distribution. (B) APPLICABILITY TO SATELLITE RETRANSMISSIONS.--Nothing in this section shall apply (i) to the signal of any broadcast affiliate of a national television
network or other television signal that is retransmitted by satellite but that is not satellite broadcast programming, or (ii) to any internal satellite communication of any broadcast
network or cable network that is not satellite broadcast programming. (4) PUBLIC INTEREST DETERMINATIONS ON EXCLUSIVE CONTRACTS.--In determining whether an exclusive contract is in the
public interest for purposes of paragraph (2)(D), the Commission shall consider each of the following factors with respect to the effect of such contract on the distribution of video
programming in areas that are served by a cable operator: (A) the effect of such exclusive contract on the development of competition in local and national multichannel video programming
distribution markets; (B) the effect of such exclusive contract on competition from multichannel video programming distribution technologies other than cable; (C) the effect of such
exclusive contract on the attraction of capital investment in the production and distribution of new satellite cable programming; (D) the effect of such exclusive contract on diversity
of programming in the multichannel video programming distribution market; and (E) the duration of the exclusive contract.
Communications Act of 1934 297 (5) SUNSET PROVISION.--The prohibition required by paragraph (2)(D) shall cease to be effective 10 years after the date of enactment of this section, unless
the Commission finds, in a proceeding conducted during the last year of such 10-year period, that such prohibition continues to be necessary to preserve and protect competition and diversity
in the distribution of video programming. (d) ADJUDICATORY PROCEEDING.--Any multichannel video programming distributor aggrieved by conduct that it alleges constitutes a violation of
subsection (b), or the regulations of the Commission under subsection (c), may commence an adjudicatory proceeding at the Commission. (e) REMEDIES FOR VIOLATIONS.--(1) REMEDIES AUTHORIZED.--Upon
completion of such adjudicatory proceeding, the Commission shall have the power to order appropriate remedies, including, if necessary, the power to establish prices, terms, and conditions
of sale of programming to the aggrieved multichannel video programming distributor. (2) ADDITIONAL REMEDIES.--The remedies provided in paragraph (1) are in addition to and not in lieu
of the remedies available under title V or any other provision of this Act. (f) PROCEDURES.--The Commission shall prescribe regulations to implement this section. The Commission's regulations
shall--(1) provide for an expedited review of any complaints made pursuant to this section; (2) establish procedures for the Commission to collect such data, including the right to obtain
copies of all contracts and documents reflecting arrangements and understandings alleged to violate this section, as the Commission requires to carry out this section; and (3) provide
for penalties to be assessed against any person filing a frivolous complaint pursuant to this section. (g) REPORTS.--The Commission shall, beginning not later than 18 months after promulgation
of the regulations required by subsection (c), annually report to Congress on the status of competition in the market for the delivery of video programming. (h) EXEMPTIONS FOR PRIOR
CONTRACTS.--(1) IN GENERAL.--Nothing in this section shall affect any contract that grants exclusive distribution rights to any person with respect to satellite cable programming and
that was entered into on or before June 1, 1990, except that the provisions of subsection (c)(2)(C) shall apply for distribution to persons in areas not served by a cable operator. (2)
LIMITATION ON RENEWALS.--A contract that was entered into on or before June 1, 1990, but that is renewed or extended after the date of enactment of this section shall not be exempt under
paragraph (1).
Communications Act of 1934 298 (i) DEFINITIONS.--As used in this section: (1) The term ''satellite cable programming'' has the meaning provided under section 705 of this Act, except
that such term does not include satellite broadcast programming. (2) The term ''satellite cable programming vendor'' means a person engaged in the production, creation, or wholesale
distribution for sale of satellite cable programming, but does not include a satellite broadcast programming vendor. (3) The term ''satellite broadcast programming'' means broadcast
video programming when such programming is retransmitted by satellite and the entity retransmitting such programming is not the broadcaster or an entity performing such retransmission
on behalf of and with the specific consent of the broadcaster. (4) The term ''satellite broadcast programming vendor'' means a fixed service satellite carrier that provides service pursuant
to section 119 of title 17, United States Code, with respect to satellite broadcast programming. (j) COMMON CARRIERS.--Any provision that applies to a cable operator under this section
shall apply to a common carrier or its affiliate that provides video programming by any means directly to subscribers. Any such provision that applies to a satellite cable programming
vendor in which a cable operator has an attributable interest shall apply to any satellite cable programming vendor in which such common carrier has an attributable interest. For the
purposes of this subsection, two or fewer common officers or directors shall not by itself establish an attributable interest by a common carrier in a satellite cable programming vendor
(or its parent company). SEC. 629. [47 U.S.C. 549] COMPETITIVE AVAILABILITY OF NAVIGATION DEVICES. (a) COMMERCIAL CONSUMER AVAILABILITY OF EQUIPMENT USED TO ACCESS SERVICES PROVIDED
BY MULTICHANNEL VIDEO PROGRAMMING DISTRIBUTORS.--The Commission shall, in consultation with appropriate industry standard-setting organizations, adopt regulations to assure the commercial
availability, to consumers of multichannel video programming and other services offered over multichannel video programming systems, of converter boxes, interactive communications equipment,
and other equipment used by consumers to access multichannel video programming and other services offered over multichannel video programming systems, from manufacturers, retailers,
and other vendors not affiliated with any multichannel video programming distributor. Such regulations shall not prohibit any multichannel video programming distributor from also offering
converter boxes, interactive communications equipment, and other equipment used by consumers to access multichannel video programming and
Communications Act of 1934 299 other services offered over multichannel video programming systems, to consumers, if the system operator's charges to consumers for such devices and equipment
are separately stated and not subsidized by charges for any such service. (b) PROTECTION OF SYSTEM SECURITY.--The Commission shall not prescribe regulations under subsection (a) which
would jeopardize security of multichannel video programming and other services offered over multichannel video programming systems, or impede the legal rights of a provider of such services
to prevent theft of service. (c) WAIVER.--The Commission shall waive a regulation adopted under subsection (a) for a limited time upon an appropriate showing by a provider of multichannel
video programming and other services offered over multichannel video programming systems, or an equipment provider, that such waiver is necessary to assist the development or introduction
of a new or improved multichannel video programming or other service offered over multichannel video programming systems, technology, or products. Upon an appropriate showing, the Commission
shall grant any such waiver request within 90 days of any application filed under this subsection, and such waiver shall be effective for all service providers and products in that category
and for all providers of services and products. (d) AVOIDANCE OF REDUNDANT REGULATIONS.--(1) COMMERCIAL AVAILABILITY DETERMINATIONS.--Determinations made or regulations prescribed by
the Commission with respect to commercial availability to consumers of converter boxes, interactive communications equipment, and other equipment used by consumers to access multichannel
video programming and other services offered over multichannel video programming systems, before the date of enactment of the Telecommunications Act of 1996 shall fulfill the requirements
of this section.(2) REGULATIONS.--Nothing in this section affects section 64.702(e) of the Commission's regulations (47 C.F.R. 64.702(e)) or other Commission regulations governing interconnection
and competitive provision of customer premises equipment used in connection with basic common carrier communications services. (e) SUNSET.--The regulations adopted under this section
shall cease to apply when the Commission determines that--(1) the market for the multichannel video programming distributors is fully competitive; (2) the market for converter boxes,
and interactive communications equipment, used in conjunction with that service is fully competitive; and (3) elimination of the regulations would promote competition and the public
interest. (f) COMMISSION'S AUTHORITY.--Nothing in this section shall be construed
Communications Act of 1934 300 as expanding or limiting any authority that the Commission may have under law in effect before the date of enactment of the Telecommunications Act of 1996.
PART IV--MISCELLANEOUS PROVISIONS SEC. 631. [47 U.S.C. 551] PROTECTION OF SUBSCRIBER PRIVACY. (a)(1) At the time of entering into an agreement to provide any cable service or other service
to a subscriber and at least once a year thereafter, a cable operator shall provide notice in the form of a separate, written statement to such subscriber which clearly and conspicuously
informs the subscriber of--(A) the nature of personally identifiable information collected or to be collected with respect to the subscriber and the nature of the use of such information;
(B) the nature, frequency, and purpose of any disclosure which may be made of such information, including an identification of the types of persons to whom the disclosure may be made;
(C) the period during which such information will be maintained by the cable operator; ((D) the times and place at which the subscriber may have access to such information in accordance
with subsection (d); and (E) the limitations provided by this section with respect to the collection and disclosure of information by a cable operator and the right of the subscriber
under subsections (f) and (h) to enforce such limitations. In the case of subscribers who have entered into such an agreement before the effective date of this section, such notice shall
be provided within 180 days of such date and at least once a year thereafter. (2) For purposes of this section, other than subsection (h)--(A) the term ''personally identifiable information''
does not include any record of aggregate data which does not identify particular persons; (B) the term ''other service'' includes any wire or radio communications service provided using
any of the facilities of a cable operator that are used in the provision of cable service; and (C) the term ''cable operator'' includes, in addition to persons within the definition
of cable operator in section 602, any person who (i) is owned or controlled by, or under common ownership or control with, a cable operator, and (ii) provides any wire or radio communications
service. (b)(1) Except as provided in paragraph (2), a cable operator shall not use the cable system to collect personally identifiable information concerning any subscriber without
the prior written or electronic consent of the subscriber concerned. (2) A cable operator may use the cable system to collect such information in order to--
Communications Act of 1934 301 (A) obtain information necessary to render a cable service or other service provided by the cable operator to the subscriber; or (B) detect unauthorized
reception of cable communications. (c)(1) Except as provided in paragraph (2), a cable operator shall not disclose personally identifiable information concerning any subscriber without
the prior written or electronic consent of the subscriber concerned and shall take such actions as are necessary to prevent unauthorized access to such information by a person other
than the subscriber or cable operator. (2) A cable operator may disclose such information if the disclosure is--(A) necessary to render, or conduct a legitimate business activity related
to, a cable service or other service provided by the cable operator to the subscriber; (B) subject to subsection (h), made pursuant to a court order authorizing such disclosure, if the
subscriber is notified of such order by the person to whom the order is directed; or (C) a disclosure of the names and addresses of subscribers to any cable service or other service,
if--(i) the cable operator has provided the subscriber the opportunity to prohibit or limit such disclosure, and (ii) the disclosure does not reveal, directly or indirectly, the--(I)
extent of any viewing or other use by the subscriber of a cable service or other service provided by the cable operator, or (II) the nature of any transaction made by the subscriber
over the cable system of the cable operator. (d) A cable subscriber shall be provided access to all personally identifiable information regarding that subscriber which is collected and
maintained by a cable operator. Such information shall be made available to the subscriber at reasonable times and at a convenient place designated by such cable operator. A cable subscriber
shall be provided reasonable opportunity to correct any error in such information. (e) A cable operator shall destroy personally identifiable information if the information is no longer
necessary for the purpose for which it was collected and there are no pending requests or orders for access to such information under subsection (d) or pursuant to a court order. (f)(1)
Any person aggrieved by any act of a cable operator in violation of this section may bring a civil action in a United States district court. (2) The court may award--(A) actual damages
but not less than liquidated damages computed at the rate of $100 a day for each day of violation or $1,000, whichever is higher;
Communications Act of 1934 302 (B) punitive damages; and (C) reasonable attorneys' fees and other litigation costs reasonably incurred. (3) The remedy provided by this section shall
be in addition to any other lawful remedy available to a cable subscriber. (g) Nothing in this title shall be construed to prohibit any State or any franchising authority from enacting
or enforcing laws consistent with this section for the protection of subscriber privacy. (h) A governmental entity may obtain personally identifiable information concerning a cable subscriber
pursuant to a court order only if, in the court proceeding relevant to such court order--(1) such entity offers clear and convincing evidence that the subject of the information is reasonably
suspected of engaging in criminal activity and that the information sought would be material evidence in the case; and (2) the subject of the information is afforded the opportunity
to appear and contest such entity's claim. SEC. 632. [47 U.S.C. 552] CONSUMER PROTECTION AND CUSTOMER SERVICE. (a) FRANCHISING AUTHORITY ENFORCEMENT.--A franchising authority may establish
and enforce--(1) customer service requirements of the cable operator; and (2) construction schedules and other construction-related requirements, including construction-related performance
requirements, of the cable operator. (b) COMMISSION STANDARDS.--The Commission shall, within 180 days of enactment of the Cable Television Consumer Protection and Competition Act of
1992, establish standards by which cable operators may fulfill their customer service requirements. Such standards shall include, at a minimum, requirements governing--(1) cable system
office hours and telephone availability; (2) installations, outages, and service calls; and (3) communications between the cable operator and the subscriber (including standards governing
bills and refunds). (c) SUBSCRIBER NOTICE.--A cable operator may provide notice of service and rate changes to subscribers using any reasonable written means at its sole discretion.
Notwithstanding section 623(b)(6) or any other provision of this Act, a cable operator shall not be required to provide prior notice of any rate change that is the result of a regulatory
fee, franchise fee, or any other fee, tax, assessment, or charge of any kind imposed by any Federal agency, State, or franchising authority on the transaction between the operator and
the subscriber. (d) CONSUMER PROTECTION LAWS AND CUSTOMER SERVICE
Communications Act of 1934 303 AGREEMENTS.--(1) CONSUMER PROTECTION LAWS.--Nothing in this title shall be construed to prohibit any State or any franchising authority from enacting or
enforcing any consumer protection law, to the extent not specifically preempted by this title. (2) CUSTOMER SERVICE REQUIREMENT AGREEMENTS.--Nothing in this section shall be construed
to preclude a franchising authority and a cable operator from agreeing to customer service requirements that exceed the standards established by the Commission under subsection (b).
Nothing in this title shall be construed to prevent the establishment or enforcement of any municipal law or regulation, or any State law, concerning customer service that imposes customer
service requirements that exceed the standards set by the Commission under this section, or that addresses matters not addressed by the standards set by the Commission under this section.
SEC. 633. [47 U.S.C. 553] UNAUTHORIZED RECEPTION OF CABLE SERVICE. (a)(1) No person shall intercept or receive or assist in intercepting or receiving any communications service offered
over a cable system, unless specifically authorized to do so by a cable operator or as may otherwise be specifically authorized by law. (2) For the purpose of this section, the term
''assist in intercepting or receiving'' shall include the manufacture or distribution of equipment intended by the manufacturer or distributor (as the case may be) for unauthorized reception
of any communications service offered over a cable system in violation of subparagraph (1). (b)(1) Any person who willfully violates subsection (a)(1) shall be fined not more than $1,000
or imprisoned for not more than 6 months, or both. (2) Any person who violates subsection (a)(1) willfully and for purposes of commercial advantage or private financial gain shall be
fined not more than $50,000 or imprisoned for not more than 2 years, or both, for the first such offense and shall be fined not more than $100,000 or imprisoned for not more than 5 years,
or or both, for any subsequent offense. (3) For purposes of all penalties and remedies established for violations of subsection (a)(1), the prohibited activity established herein as
it applies to each such device shall be deemed a separate violation. (c)(1) Any person aggrieved by any violation of subsection (a)(1) may bring a civil action in a United States district
court or in any other court of competent jurisdiction. (2) The court may--(A) grant temporary and final injunctions on such terms as it may
Communications Act of 1934 304 deem reasonable to prevent or restrain violations of subsection (a)(1); (B) award damages as described in paragraph (3); and (C) direct the recovery of
full costs, including awarding reasonable attorneys' fees to an aggrieved party who prevails. (3)(A) Damages awarded by any court under this section shall be computed in accordance with
either of the following clauses: (i) the party aggrieved may recover the actual damages suffered by him as a result of the violation and any profits of the violator that are attributable
to the violation which are not taken into account in computing the actual damages; in determining the violator's profits, the party aggrieved shall be required to prove only the violator's
gross revenue, and the violator shall be required to prove his deductible expenses and the elements of profit attributable to factors other than the violation; or (ii) the party aggrieved
may recover an award of statutory damages for all violations involved in the action, in a a sum of not less than $250 or more than $10,000 as the court considers just. (B) In any case
in which the court finds that the violation was committed willfully and for purposes of commercial advantage or private financial gain, the court in its discretion may increase the award
of damages, whether actual or statutory under subparagraph (A), by an amount of not more than $50,000. (C) In any case where the court finds that the violator was not aware and had no
reason to believe that his acts constituted a violation of this section, the court in its discretion may reduce the award of damages to a sum of not less than $100. (D) Nothing in this
title shall prevent any State or franchising authority from enacting or enforcing laws, consistent with this section, regarding the unauthorized interception or reception of any cable
service or other communications service. SEC. 634. [47 U.S.C. 554] EQUAL EMPLOYMENT OPPORTUNITY. (a) This section shall apply to any corporation, partnership, association, joint-stock
company, or trust engaged primarily in the management or operation of any cable system. (b) Equal opportunity in employment shall be afforded by each entity specified in subsection (a),
and no person shall be discriminated against in employment by such entity because of race, color, religion, national origin, age, or sex. (c) Any entity specified in subsection (a) shall
establish, maintain, and execute a positive continuing program of specific practices designed to ensure equal opportunity in every aspect of its employment policies and practices. Under
the terms of its program, each such entity shall--(1) define the responsibility of each level of management to ensure
Communications Act of 1934 305 a positive application and vigorous enforcement of its policy of equal opportunity, and establish a procedure to review and control managerial and supervisory
performance; (2) inform its employees and recognized employee organizations of the equal employment opportunity policy and program and enlist their cooperation; (3) communicate its equal
employment opportunity policy and program and its employment needs to sources of qualified applicants without regard to race, color, religion, national origin, age, or sex, and solicit
their recruitment assistance on a continuing basis; (4) conduct a continuing program to exclude every form of prejudice or discrimination based on race, color, religion, national origin,
age, or sex, from its personnel policies and practices and working conditions; and (5) conduct a continuing review of job structure and employment practices and adopt positive recruitment,
training, job design, and other measures needed to ensure genuine equality of opportunity to participate fully in all its organizational units, occupations, and levels of responsibility.
(d)(1) Not later than 270 days after the date of enactment of the Cable Television Consumer Protection and Competition Act of 1992, and after notice and opportunity for hearing, the
Commission shall prescribe revisions in the rules under this section in order to implement the amendments made to this section by such Act. Such revisions shall be designed to promote
equality of employment opportunities for females and minorities in each of the job categories itemized in paragraph (3). (2) Such rules shall specify the terms under which an entity
specified in subsection (a) shall, to the extent possible--(A) disseminate its equal opportunity program to job applicants, employees, and those with whom it regularly does business;
(B) use minority organizations, organizations for women, media, educational institutions, and other potential sources of minority and female applicants, to supply referrals whenever
jobs are available in its operation; (C) evaluate its employment profile and job turnover against the availability of minorities and women in its franchise area; (D) undertake to offer
promotions of minorities and women to positions of greater responsibility; (E) encourage minority and female entrepreneurs to conduct business with all parts of its operation; and (F)
analyze the results of its efforts to recruit, hire, promote, and use the services of minorities and women and explain any difficulties encountered in implementing its equal employment
opportunity program. (3)(A) Such rules also shall require an entity specified in subsection (a)
Communications Act of 1934 306 with more than 5 full-time employees to file with the Commission an annual statistical report identifying by race, sex, and job title the number of employees
in each of the following full-time and part-time job categories: (i) Corporate officers. (ii) General Manager. (iii) Chief Technician. (iv) Comptroller. (v) General Sales Manager. (vi)
Production Manager. (vii) Managers. (viii) Professionals. (ix) Technicians. (x) Sales Personnel. (xi) Office and Clerical Personnel. (xii) Skilled Craftspersons. (xiii) Semiskilled Operatives.
(xiv) Unskilled Laborers. (xv) Service Workers. (B) The report required by subparagraph (A) shall be made on separate forms, provided by the Commission, for full-time and part-time employees.
The Commission's rules shall sufficiently define the job categories listed in clauses (i) through (vi) of such subparagraph so as to ensure that only employees who are principal decisionmakers
and who have supervisory authority are reported for such categories. The Commission shall adopt rules that define the job categories listed in clauses (vii) through (xv) in a manner
that is consistent with the Commission policies in effect on June 1, 1990. The Commission shall prescribe the method by which entities shall be required to compute and report the number
of minorities and women in the job categories listed in clauses (i) through (x) and the number of minorities and women in the job categories listed in clauses (i) through (xv) in proportion
to the total number of qualified minorities and women in the relevant labor market. The report shall include information on hiring, promotion, and recruitment practices necessary for
the Commission to evaluate the efforts of entities to comply with the provisions of paragraph (2) of this subsection. The report shall be available for public inspection at the entity's
central location and at every location where 5 or more full-time employees are regularly assigned to work. Nothing in this subsection shall be construed as prohibiting the Commission
from collecting or continuing to collect statistical or other employment information in a manner that it deems appropriate to carry out this section. (4) The Commission may amend such
rules from time to time to the extent necessary to carry out the provisions of this section. Any such amendment shall be made after notice and opportunity for comment. (e)(1) On an annual
basis, the Commission shall certify each entity
Communications Act of 1934 307 described in subsection (a) as in compliance with this section if, on the basis of information in the possession of the Commission, including the report
filed pursuant to subsection (d)(3), such entity was in compliance, during the annual period involved, with the requirements of subsections (b), (c), and (d). (2) The Commission shall,
periodically but not less frequently than every five years, investigate the employment practices of each entity described in subsection (a), in the aggregate, as well as in individual
job categories, and determine whether such entity is in compliance with the requirements of subsections (b), (c), and (d), including whether such entity's employment practices deny or
abridge women and minorities equal employment opportunities. As part of such investigation, the Commission shall review whether the entity's reports filed pursuant to subsection (d)(3)
accurately reflect employee responsibilities in the reported job classification. (f)(1) If the Commission finds after notice and hearing that the entity involved has willfuly or repeatedly
without good cause failed to comply with the requirements of this section, such failure shall constitute a substantial failure to comply with this title. The failure to obtain certification
under subsection (e) shall not itself constitute the basis for a determination of substantial failure to comply with this title. For purposes of this paragraph, the term ''repeatedly'',
when used with respect to failures to comply, refers to 3 or more failures during any 7-year period. (2) Any person who is determined by the Commission, through an investigation pursuant
to subsection (e) or otherwise, to have failed to meet or failed to make best efforts to meet the requirements of this section, or rules under this section, shall be liable to the United
States for a forefeiture penalty of $500 for each violation. Each day of a continuing violation shall constitute a separate offense. Any entity defined in subsection (a) shall not be
liable for more than 180 days of forfeitures which accrued prior to notification by the Commission of a potential violation. Nothing in this paragraph shall limit the forfeiture imposed
on any person as a result of any violation that continues subsequent to such notification. In addition, any person liable for such penalty may also have any license under this Act for
cable auxiliary relay service suspended until the Commission determines that the failure involved has been corrected. Whoever knowingly makes any false statement or submits documentation
which he knows to be false, pursuant to an application for certification under this section shall be in violation of this section. (3) The provisions of paragraphs (3) and (4), and the
last 2 sentences of paragraph (2), of section 503(b) shall apply to forfeitures under this subsection. (4) The Commission shall provide for notice to the public and appropriate franchising
authorities of any penalty imposed under this section. (g) Employees or applicants for employment who believe they have been discriminated against in violation of the requirements of
this section, or rules under
Communications Act of 1934 308 this section, or any other interested person, may file a complaint with the Commission. A complaint by any such person shall be in writing, and shall be
signed and sworn to by that person. The regulations under subsection (d)(1) shall specify a program, under authorities otherwise available to the Commission, for the investigation of
complaints and violations, and for the enforcement of this section.(h)(1) For purposes of this section, the term ''cable operator'' includes any operator of any satellite master antenna
television system, including a system described in section 602(7)(A) and any multichannel video programming distributor. (2) Such term does not include any operator of a system which,
in the aggregate, serves fewer than 50 subscribers. (3) In any case in which a cable operator is the owner of a multiple unit dwelling, the requirements of this section shall only apply
to such cable operator with respect to its employees who are primarily engaged in cable telecommunications. (i)(1) Nothing in this section shall affect the authority of any State or
any franchising authority--(A) to establish or enforce any requirement which is consistent with the requirements of this section, including any requirement which affords equal employment
opportunity protection for employees; (B) to establish or enforce any provision requiring or encouraging any cable operator to conduct business with enterprises which are owned or controlled
by members of minority groups (as defined in section 309(i)(3)(C)(ii) or which have their principal operations located within the community served by the cable operator; or (C) to enforce
any requirement of a franchise in effect on the effective date of this title. (2) The remedies and enforcement provisions of this section are in addition to, and not in lieu of, those
available under this or any other law. (3) The provisions of this section shall apply to any cable operator, whether operating pursuant to a franchise granted before, on, or after the
date of the enactment of this section. SEC. 635. [47 U.S.C. 555] JUDICIAL PROCEEDINGS. (a) Any cable operator adversely affected by any final determination made by a franchising authority
under section 621(a)(1), 625 or 626 may commence an action within 120 days after receiving notice of such determination, which may be brought in--(1) the district court of the United
States for any judicial district in which the cable system is located; or (2) in any State court of general jurisdiction having jurisdiction over
Communications Act of 1934 309 the parties. (b) The court may award any appropriate relief consistent with the provisions of the relevant section described in subsection (a) and with
the provisions of subsection (a). (c)(1) Notwithstanding any other provision of law, any civil action challenging the constitutionality of section 614 or 615 of this Act or any provision
thereof shall be heard by a district court of three judges convened pursuant to the provisions of section 2284 of title 28, United States Code. (2) Notwithstanding any other provision
of law, an interlocutory or final judgment, decree, or order of the court of three judges in an action under paragraph (1) holding section 614 or 615 of this Act or any provision thereof
unconstitutional shall be reviewable as a matter of right by direct appeal to the Supreme Court. Any such appeal shall be filed not more than 20 days after entry of such judgment, decree,
or order. SEC. 635A. [47 U.S.C. 555a] LIMITATION OF FRANCHISING AUTHORITY LIABILITY. (a) SUITS FOR DAMAGES PROHIBITED.--In any court proceeding pending on or initiated after the date
of enactment of this section involving any claim against a franchising authority or other governmental entity, or any official, member, employee, or agent of such authority or entity,
arising from the regulation of cable service or from a decision of approval or disapproval with respect to a grant, renewal, transfer, or amendment of a franchise, any relief, to the
extent such relief is required by any other provision of Federal, State, or local law, shall be limited to injunctive relief and declaratory relief. (b) EXCEPTION FOR COMPLETED CASES.--The
limitation contained in subsection (a) shall not apply to actions that, prior to such violation, have been determined by a final order of a court of binding jurisdiction, no longer subject
to appeal, to be in violation of a cable operator's rights. (c) DISCRIMINATION CLAIMS PERMITTED.--Nothing in this section shall be construed as limiting the relief authorized with respect
to any claim against a franchising authority or other governmental entity, or any official, member, employee, or agent of such authority or entity, to the extent such claim involves
discrimination on the basis of race, color, sex, age, religion, national origin, or handicap. (d) RULE OF CONSTRUCTION.--Nothing in this section shall be construed as creating or authorizing
liability of any kind, under any law, for any action or failure to act relating to cable service or the granting of a franchise by any franchising authority or other governmental entity,
or any official, member, employee, or agent of such authority or entity. SEC. 636. [47 U.S.C. 556] COORDINATION OF FEDERAL, STATE, AND
Communications Act of 1934 310 LOCAL AUTHORITY. (a) Nothing in this title shall be construed to affect any authority of any State, political subdivision, or agency thereof, or franchising
authority, regarding matters of public health, safety, and welfare, to the extent consistent with the express provisions of this title. (b) Nothing in this title shall be construed to
restrict a State from exercising jurisdiction with regard to cable services consistent with this title. (c) Except as provided in section 637, any provision of law of any State, political
subdivision, or agency thereof, or franchising authority, or any provision of any franchise granted by such authority, which is inconsistent with this Act shall be deemed to be preempted
and superseded. (d) For purposes of this section, the term ''State'' has the meaning given such term in section 3. SEC. 637. [47 U.S.C. 557] EXISTING FRANCHISES. (a) The provisions of--(1)
any franchise in effect on the effective date of this title, including any such provisions which relate to the designation, use, or support for the use of channel capacity for public,
educational, or governmental use, and (2) any law of any State (as defined in section 3) in effect on the date of the enactment of this section, or any regulation promulgated pursuant
to such law, which relates to such designation, use or support of such channel capacity, shall remain in effect, subject to the express provisions of this title, and for not longer than
the then current remaining term of the franchise as such franchise existed on such effective date. (b) For purposes of subsection (a) and other provisions of this title, a franchise
shall be considered in effect on the effective date of this title if such franchise was granted on or before such effective date. SEC. 638. [47 U.S.C. 558] CRIMINAL AND CIVIL LIABILITY.
Nothing in this title shall be deemed to affect the criminal or civil liability of cable programmers or cable operators pursuant to the Federal, State, or local law of libel, slander,
obscenity, incitement, invasions of privacy, false or misleading advertising, or other similar laws, except that cable operators shall not incur any such liability for any program carried
on any channel designated for public, educational, governmental use or on any other channel obtained under section 612 or under similar arrangements unless the program involves obscene
material. SEC. 639. [47 U.S.C. 559] OBSCENE PROGRAMMING. Whoever transmits over any cable system any matter which is obscene or
Communications Act of 1934 311 otherwise unprotected by the Constitution of the United States shall be fined under title 18, United States Code, or imprisoned not more than 2 years,
or both. SEC. 640. [47 U.S.C. 560] SCRAMBLING OF CABLE CHANNELS FOR NONSUBSCRIBERS. (a) SUBSCRIBER REQUEST.--Upon request by a cable service subscriber, a cable operator shall, without
charge, fully scramble or otherwise fully block the audio and video programming of each channel carrying such programming so that one not a subscriber does not receive it. (b) DEFINITION.--As
used in this section, the term ''scramble'' means to rearrange the content of the signal of the programming so that the programming cannot be viewed or heard in an understandable manner.
SEC. 641. [47 U.S.C. 561] SCRAMBLING OF SEXUALLY EXPLICIT ADULT VIDEO SERVICE PROGRAMMING. (a) REQUIREMENT.--In providing sexually explicit adult programming or other programming that
is indecent on any channel of its service primarily dedicated to sexually-oriented programming, a multichannel video programming distributor shall fully scramble or otherwise fully block
the video and audio portion of such channel so that one not a subscriber to such channel or programming does not receive it. (b) IMPLEMENTATION.--Until a multichannel video programming
distributor complies with the requirement set forth in subsection (a), the distributor shall limit the access of children to the programming referred to in that subsection by not providing
such programming during the hours of the day (as determined by the Commission) when a significant number of children are likely to view it. (c) DEFINITION.--As used in this section,
the term ''scramble'' means to rearrange the content of the signal of the programming so that the programming cannot be viewed or heard in an understandable manner. PART V--VIDEO PROGRAMMING
SERVICES PROVIDED BY TELEPHONE COMPANIES SEC. 651. [47 U.S.C. 571] REGULATORY TREATMENT OF VIDEO PROGRAMMING SERVICES. (a) LIMITATIONS ON CABLE REGULATION.--(1) RADIO-BASED SYSTEMS.--To
the extent that a common carrier (or any other person) is providing video programming to subscribers using radio communication, such carrier (or other person) shall be subject to the
requirements of title III and section 652, but shall not otherwise be subject to the requirements of this title. (2) COMMON CARRIAGE OF VIDEO TRAFFIC.--To the extent that a
Communications Act of 1934 312 common carrier is providing transmission of video programming on a common carrier basis, such carrier shall be subject to the requirements of title II
and section 652, but shall not otherwise be subject to the requirements of this title. This paragraph shall not affect the treatment under section 602(7)(C) of a facility of a common
carrier as a cable system. (3) CABLE SYSTEMS AND OPEN VIDEO SYSTEMS.--To the extent that a common carrier is providing video programming to its subscribers in any manner other than that
described in paragraphs (1) and (2)--(A) such carrier shall be subject to the requirements of this title, unless such programming is provided by means of an open video system for which
the Commission has approved a certification under section 653; or (B) if such programming is provided by means of an open video system for which the Commission has approved a certification
under section 653, such carrier shall be subject to the requirements of this part, but shall be subject to parts I through IV of this title only as provided in 653(c). (4) ELECTION TO
OPERATE AS OPEN VIDEO SYSTEM.--A common carrier that is providing video programming in a manner described in paragraph (1) or (2), or a combination thereof, may elect to provide such
programming by means of an open video system that complies with section 653. If the Commission approves such carrier's certification under section 653, such carrier shall be subject
to the requirements of this part, but shall be subject to parts I through IV of this title only as provided in 653(c). (b) LIMITATIONS ON INTERCONNECTION OBLIGATIONS.--A local exchange
carrier that provides cable service through an open video system or a cable system shall not be required, pursuant to title II of this Act, to make capacity available on a nondiscriminatory
basis to any other person for the provision of cable service directly to subscribers. (c) ADDITIONAL REGULATORY RELIEF.--A common carrier shall not be required to obtain a certificate
under section 214 with respect to the establishment or operation of a system for the delivery of video programming. SEC. 652. [47 U.S.C. 572] PROHIBITION ON BUY OUTS. (a) ACQUISITIONS
BY CARRIERS.--No local exchange carrier or any affiliate of such carrier owned by, operated by, controlled by, or under common control with such carrier may purchase or otherwise acquire
directly or indirectly more than a 10 percent financial interest, or any management interest, in any cable operator providing cable service within the local exchange carrier's telephone
service area. (b) ACQUISITIONS BY CABLE OPERATORS.--No cable operator or affiliate of a cable operator that is owned by, operated by, controlled by, or under common
Communications Act of 1934 313 ownership with such cable operator may purchase or otherwise acquire, directly or indirectly, more than a 10 percent financial interest, or any management
interest, in any local exchange carrier providing telephone exchange service within such cable operator's franchise area. (c) JOINT VENTURES.--A local exchange carrier and a cable operator
whose telephone service area and cable franchise area, respectively, are in the same market may not enter into any joint venture or partnership to provide video programming directly
to subscribers or to provide telecommunications services within such market. (d) EXCEPTIONS.--(1) RURAL SYSTEMS.--Notwithstanding subsections (a), (b), and (c) of this section, a local
exchange carrier (with respect to a cable system located in its telephone service area) and a cable operator (with respect to the facilities of a local exchange carrier used to provide
telephone exchange service in its cable franchise area) may obtain a controlling interest in, management interest in, or enter into a joint venture or partnership with the operator of
such system or facilities for the use of such system or facilities to the extent that--(A) such system or facilities only serve incorporated or unincorporated--(i) places or territories
that have fewer than 35,000 inhabitants; and (ii) are outside an urbanized area, as defined by the Bureau of the Census; and (B) in the case of a local exchange carrier, such system,
in the aggregate with any other system in which such carrier has an interest, serves less than 10 percent of the households in the telephone service area of such carrier. (2) JOINT USE.--Notwithstand
ing subsection (c), a local exchange carrier may obtain, with the concurrence of the cable operator on the rates, terms, and conditions, the use of that part of the transmission facilities
of a cable system extending from the last multi-user terminal to the premises of the end user, if such use is reasonably limited in scope and duration, as determined by the Commission.
(3) ACQUISITIONS IN COMPETITIVE MARKETS.--Notwithstanding subsections (a) and (c), a local exchange carrier may obtain a controlling interest in, or form a joint venture or other partnership
with, or provide financing to, a cable system (hereinafter in this paragraph referred to as ''the subject cable system''), if--(A) the subject cable system operates in a television market
that is not in the top 25 markets, and such market has more than 1 cable system operator, and the subject cable system is not the cable
Communications Act of 1934 314 system with the most subscribers in such television market; (B) the subject cable system and the cable system with the most subscribers in such television
market held on May 1, 1995, cable television franchises from the largest municipality in the television market and the boundaries of such franchises were identical on such date; (C)
the subject cable system is not owned by or under common ownership or control of any one of the 50 cable system operators with the most subscribers as such operators existed on May 1,
1995; and (D) the system with the most subscribers in the television market is owned by or under common ownership or control of any one of the 10 largest cable system operators as such
operators existed on May 1, 1995. (4) EXEMPT CABLE SYSTEMS.--Subsection (a) does not apply to any cable system if--(A) the cable system serves no more than 17,000 cable subscribers,
of which no less than 8,000 live within an urban area, and no less than 6,000 live within a nonurbanized area as
of June 1, 1995; (B) the cable system is not owned by, or under common ownership or control with, any of the 50 largest cable system operators in existence on June 1, 1995; and (C) the
cable system operates in a television market that was not in the top 100 television markets as of June 1, 1995. (5) SMALL CABLE SYSTEMS IN NONURBAN AREAS.--Notwithstanding subsections
(a) and (c), a local exchange carrier with less than $100,000,000 in annual operating revenues (or any affiliate of such carrier owned by, operated by, controlled by, or under common
control with such carrier) may purchase or otherwise acquire more than a 10 percent financial interest in, or any management interest in, or enter into a joint venture or partnership
with, any cable system within the local exchange carrier's telephone service area that serves no more than 20,000 cable subscribers, if no more than 12,000 of those subscribers live
within an urbanized area, as defined by the Bureau of the Census. (6) WAIVERS.--The Commission may waive the restrictions of subsections (a), (b), or (c) only if--(A) the Commission
determines that, because of the nature of the market served by the affected cable system or facilities used to provide telephone exchange service--(i) the affected cable operator or
local exchange carrier would be subjected to undue economic distress by
Communications Act of 1934 315 the enforcement of such provisions; (ii) the system or facilities would not be economically viable if such provisions were enforced; or (iii) the anticompetitive
effects of the proposed transaction are clearly outweighed in the public interest by the probable effect of the transaction in meeting the convenience and needs of the community to be
served; and (B) the local franchising authority approves of such waiver. (e) DEFINITION OF TELEPHONE SERVICE AREA.--For purposes of this section, the term ''telephone service area''
when used in connection with a common carrier subject in whole or in part to title II of this Act means the area within which such carrier provided telephone exchange service as of January
1, 1993, but if any common carrier after such date transfers its telephone exchange service facilities to another common carrier, the area to which such facilities provide telephone
exchange service shall be treated as part of the telephone service area of the acquiring common carrier and not of the selling common carrier. SEC. 653. [47 U.S.C. 573] ESTABLISHMENT
OF OPEN VIDEO SYSTEMS. (a) OPEN VIDEO SYSTEMS.--(1) CERTIFICATES OF COMPLIANCE.--A local exchange carrier may provide cable service to its cable service subscribers in its telephone
service area through an open video system that complies with this section. To the extent permitted by such regulations as the Commission may prescribe consistent with the public interest,
convenience, and necessity, an operator of a cable system or any other person may provide video programming through an open video system that complies with this section. An operator
of an open video system shall qualify for reduced regulatory burdens under subsection (c) of this section if the operator of such system certifies to the Commission that such carrier
complies with the Commission's regulations under subsection (b) and the Commission approves such certification. The Commission shall publish notice of the receipt of any such certification
and shall act to approve or disapprove any such certification within 10 days after receipt of such certification. (2) DISPUTE RESOLUTION.--The Commission shall have the authority to
resolve disputes under this section and the regulations prescribed thereunder. Any such dispute shall be resolved within 180 days after notice of such dispute is submitted to the Commission.
At that time or subsequently in a separate damages proceeding, the Commission may, in the case of any violation of this section, require carriage, award damages to any person denied
carriage, or any combination of such sanctions. Any aggrieved party may seek any other remedy available under this Act.
Communications Act of 1934 316 (b) COMMISSION ACTIONS.--(1) REGULATIONS REQUIRED.--Within 6 months after the date of enactment of the Telecommunications Act of 1996, the Commission shall
complete all actions necessary (including any reconsideration) to prescribe regulations that--(A) except as required pursuant to section 611, 614, or 615, prohibit an operator of an
open video system from discriminating among video programming providers with regard to carriage on its open video system, and ensure that the rates, terms, and conditions for such carriage
are just and reasonable, and are not unjustly or unreasonably discriminatory; (B) if demand exceeds the channel capacity of the open video system, prohibit an operator of an open video
system and its affiliates from selecting the video programming services for carriage on more than one-third of the activated channel capacity on such system, but nothing in this subparagraph
shall be construed to limit the number of channels that the carrier and its affiliates may offer to provide directly to subscribers; (C) permit an operator of an open video system to
carry on only one channel any video programming service that is offered by more than one video programming provider (including the local exchange carrier's video programming affiliate):
Provided, That subscribers have ready and immediate access to any such video programming service; (D) extend to the distribution of video programming over open video systems the Commission's
regulations concerning sports exclusivity (47 C.F.R. 76.67), network nonduplication (47 C.F.R. 76.92 et seq.), and syndicated exclusivity (47 C.F.R. 76.151 et seq.); and (E)(i) prohibit
an operator of an open video system from unreasonably discriminating in favor of the operator or its affiliates with regard to material or information (including advertising) provided
by the operator to subscribers for the purposes of selecting programming on the open video system, or in the way such material or information is presented to subscribers; (ii) require
an operator of an open video system to ensure that video programming providers or copyright holders (or both) are able suitably and uniquely to identify their programming services to
subscribers; (iii) if such identification is transmitted as part of the programming signal, require the carrier to transmit such identification without change or alteration; and
Communications Act of 1934 317 (iv) prohibit an operator of an open video system from omitting television broadcast stations or other unaffiliated video programming services carried
on such system from any navigational device, guide, or menu. (2) CONSUMER ACCESS.--Subject to the requirements of paragraph (1) and the regulations thereunder, nothing in this section
prohibits a common carrier or its affiliate from negotiating mutually agreeable terms and conditions with over-the-air broadcast stations and other unaffiliated video programming providers
to allow consumer access to their signals on any level or screen of any gateway, menu, or other program guide, whether provided by the carrier or its affiliate. (c) REDUCED REGULATORY
BURDENS FOR OPEN VIDEO SYSTEMS.--(1) IN GENERAL.--Any provision that applies to a cable operator under--(A) sections 613 (other than subsection (a) thereof), 616, 623(f), 628, 631, and
634 of this title, shall apply, (B) sections 611, 614, and 615 of this title, and section 325 of title III, shall apply in accordance with the regulations prescribed under paragraph
(2), and (C) sections 612 and 617, and parts III and IV (other than sections 623(f), 628, 631, and 634), of this title shall not apply, to any operator of an open video system for which
the Commission has approved a certification under this section. (2) IMPLEMENTATION.--(A) COMMISSION ACTION.--In the rulemaking proceeding to prescribe the regulations required by subsection
(b)(1), the Commission shall, to the extent possible, impose obligations that are no greater or lesser than the obligations contained in the provisions described in paragraph (1)(B)
of this subsection. The Commission shall complete all action (including any reconsideration) to prescribe such regulations no later than 6 months after the date of enactment of the Telecommunications
Act of 1996.(B) FEES.--An operator of an open video system under this part may be subject to the payment of fees on the gross revenues of the operator for the provision of cable service
imposed by a local franchising authority or other governmental entity, in lieu of the franchise fees permitted under section 622. The rate at which such fees are imposed shall not exceed
the rate at which franchise fees are imposed on any cable operator transmitting video programming in the franchise area, as determined in accordance with regulations prescribed by the
Commission. An operator of an open video
Communications Act of 1934 318 system may designate that portion of a subscriber's bill attributable to the fee under this subparagraph as a separate item on the bill. (3) REGULATORY
STREAMLINING.--With respect to the establishment and operation of an open video system, the requirements of this section shall apply in lieu of, and not in addition to, the requirements
of title II. (4) TREATMENT AS CABLE OPERATOR.--Nothing in this Act precludes a video programming provider making use of an open video system from being treated as an operator of a cable
system for purposes of section 111 of title 17, United States Code. (d) DEFINITION OF TELEPHONE SERVICE AREA.--For purposes of this section, the term ''telephone service area'' when
used in connection with a common carrier subject in whole or in part to title II of this Act means the area within which such carrier is offering telephone exchange service. TITLE VII--MISCELLANEOUS
PROVISIONS SEC. 701. [47 U.S.C. 601] TRANSFER TO COMMISSION OF DUTIES, POWERS, AND FUNCTIONS UNDER EXISTING LAW. (a) All duties, powers, and functions of the Interstate Commerce Commission
under the Act of August 7, 1888 (25 Stat. 382), relating to operation of telegraph lines by railroad and telegraph companies granted Government aid in the construction of their lines,
are hereby imposed upon and vested in the Commission: Provided, That such transfer of duties, powers, and functions shall not be construed to affect the duties, powers, functions, or
jurisdiction of the Interstate Commerce Commission under, or to interfere with or prevent the enforcement of, the Interstate Commerce Act and all Acts amendatory thereof or supplemental
thereto. (b) All duties, powers, and functions of the Postmaster General with respect to telegraph companies and telegraph lines under any existing provision of law are hereby imposed
upon and vested in the Commission. [Section 702 was repealed by Public Law 103-414, section 304(a)(13), 108 Stat. 4296-7.] [Section 703 was repealed by Public Law 103-414, section 304(304(a)(13),
108 Stat. 4296-7.] SEC. 704. [47 U.S.C. 604] EFFECT OF TRANSFERS, REPEALS, AND AMENDMENTS. (a) All orders, determinations, rules, regulations, permits, contracts, licenses, and privileges
which have been issued, made, or granted by the Interstate Commerce Commission, the Federal Radio Commission, or the Postmaster
Communications Act of 1934 319 General, under any provision of law repealed or amended by this Act or in the exercise of duties, powers, or functions transferred to the Commission by
this Act, and which are in effect at the time this section takes effect, shall continue in effect until modified, terminated, superseded, or repealed by the Commission or by operation
of law. (b) All records transferred to the Commission under this Act shall be available for use by the Commission to the same extent as if such records were originally records of the
Commission. All final valuations and determinations of depreciation charges by the Interstate Commerce Commission with respect to common carriers engaged in radio or wire communication,
and all orders of the Interstate Commerce Commission with respect to such valuations and determinations, shall have the same force and effect as though made by the Commission under this
Act. SEC. 705. [47 U.S.C. 605] UNAUTHORIZED PUBLICATION OF COMMUNICATIONS. (a) Except as authorized by chapter 119, title 18, United States Code, no person receiving, assisting in receiving,
transmitting, or assisting in transmitting, any interstate or foreign communication by wire or radio shall divulge or publish the existence, contents, substance, purport, effect, or
meaning thereof, except through authorized channels of transmission or reception, (1) to any person other than the addressee, his agent, or attorney, (2) to a person employed or authorized
to forward such communication to its destination, (3) to proper accounting or distributing officers of the various communicating centers over which the communication may be passed, (4)
to the master of a ship under whom he is serving, (5) in response to a subpena issued by a court of competent jurisdiction, or (6) on demand of other lawful authority. No person not
being authorized by the sender shall intercept any radio communication and divulge or publish the existence, contents, substance, purport, effect, or meaning of such intercepted communication
to to any person. No person not being entitled thereto shall receive or assist in receiving any interstate or foreign communication by radio and use such communication (or any information
therein contained) for his own benefit or for the benefit of another not entitled thereto. No person having received any intercepted radio communication or having become acquainted with
the contents, substance, purport, effect, or meaning of such communication (or any part thereof) knowing that such communication was intercepted, shall divulge or publish the existence,
contents, substance, purport, effect, or meaning of such communication (or any part thereof) or use such communication (or any information therein contained) for his own benefit or for
the benefit of another not entitled thereto. This section shall not apply to the receiving, divulging, publishing, or utilizing the contents of any radio communication which is transmitted
by any station for the use of the general public, which relates to ships, aircraft, vehicles, or persons in
Communications Act of 1934 320 distress, or which is transmitted by an amateur radio station operator or by a citizens band radio operator. (b) The provisions of subsection (a) shall
not apply to the interception or receipt by any individual, or the assisting (including the manufacture or sale) of such interception or receipt, of any satellite cable programming for
private viewing if--(1) the programming involved is not encrypted; and (2)(A) a marketing system is not established under which--(i) an agent or agents have been lawfully designated
for the purpose of authorizing private viewing by individuals, and (ii) such authorization is available to the individual involved from the appropriate agent or agents; or (B) a marketing
system described in subparagraph (A) is established and the individuals receiving such programming has obtained authorization for private viewing under that system. (c) No person shall
encrypt or continue to encrypt satellite delivered programs included in the National Program Service of the Public Broadcasting Service and intended for public viewing by retransmission
by television broadcast stations; except that as long as at least one unencrypted satellite transmission of any program subject to this subsection is provided, this subsection shall
not prohibit additional encrypted satellite transmissions of the same program. (d) For purposes of this section--(1) the term ''satellite cable programming'' means video programming
which is transmitted via satellite and which is primarily intended for the direct receipt by cable operators for their retransmission to cable subscribers; (2) the term ''agent,'' with
respect to any person, includes an employee of such person; (3) the term ''encrypt,'' when used with respect to satellite cable programming, means to transmit such programming in a form
whereby the aural and visual characteristics (or both) are modified or altered for the purpose of preventing the unauthorized receipt of such programming by persons without authorized
equipment which is designed to eliminate the effects of such modification or alteration; (4) the term ''private viewing'' means the veiwing for private use in an individual's dwelling
unit by means of equipment, owned or operated by such individual, capable of receiving satellite cable programming directly from a satellite; (5) the term ''private financial gain''
shall not include the gain resulting to any individual for the private use of such individual's dwelling unit of any programming for which the individual has not obtained authorization
for that use; and
Communications Act of 1934 321 (6) the term ''any person aggrieved'' shall include any person with proprietary rights in the intercepted communication by wire or radio, including wholesale
or retail distributors of satellite cable programming, and, in the case of a violation of paragraph (4) of subsection (e), shall also include any person engaged in the lawful manufacture,
distribution, or sale of equipment necessary to authorize or receive satellite cable programming. (e)(1) Any person who willfully violates subsection (a) shall be fined not more than
$2,000 or imprisoned for not more than 6 months, or both. (2) Any person who violates subsecton (a) willfully and for purposes of direct or indirect commerical advantage or private financial
gain shall be fined not more than $50,000 or imprisoned for not more than 2 years, or both, for the first such conviction and shall be fined not more than $100,000 or imprisoned for
not more than 5 years, or both, for any subsequent conviction. (3)(A) Any person aggrieved by any violation of subsection (a) or paragraph (4) of this subsection may bring a civil action
in a United States district court or in any other court of competent jurisdiction. (B) The court--(i) may grant temporary and final injunctions on such terms as it may deem reasonable
to prevent or restrain violations of subsection (a); (ii) may award damages as described in subparagraph (C); and (iii) shall direct the recovery of full costs, including awarding reasonable
attorneys' fees to an aggrieved party who prevails. (C)(i) Damages awarded by any court under this section shall be computed, at the election of the aggrieved party, in accordance with
either of the following subclauses; (I) the party aggrieved may recover the actual damages suffered by him as a result of the violation and any profits of the violator that are attributable
to the violation which are not taken into account in computing the actual damages; in determining the violator's profits, the party aggrieved shall be required to prove only the violator's
gross revenue, and the violator shall be required to prove his deductible expenses and the elements of profit attributable to factors other than the violation; or (II) the party aggrieved
may recover an award of statutory damages for each violation of subsection (a) involved in the action in a sum of not less than $1,000 or more than $10,000, as the court considers just,
and for each violation of paragraph (4) of this subsection involved in the action an aggrieved party may recover statutory damages in a sum not less than $10,000, or more than $100,000,
as the court considers just. (ii) In any case in which the court finds that the violation was committed willfully and for purposes of direct or indirect commercial advantage or private
financial gain, the court in its discretion may increase the award of damages, whether actual or statutory, by an amount of not more than $100,000 for each
Communications Act of 1934 322 violation of subsection (a). (iii) In any case where the court finds that the violator was not aware and had no reason to believe that his acts constituted
a violation of this section, the court in its discretion may reduce the award of damages to a sum of not less than $250. (4) Any person who manufactures, assembles, modifies, imports,
exports, sells, or distributes any electronic, mechanical, or other device or equipment, knowing or having reason to know that the device or equipment is primarily of assistance in the
unauthorized decryption of satellite cable programming, or directto-home satellite services, or is intended for any other activity prohibited by subsection (a), shall be fined not more
than $500,000 for each violation, or imprisoned for not more than 5 years for each violation, or both. For purposes of all penalties and remedies established for violations of this paragraph,
the prohibited activity established herein as it applies to each such device shall be deemed a separate violation. (5) The penalties under this subsection shall be in addition to those
prescribed under any other provision of this title. (6) Nothing in this subsection shall prevent any State, or political subdivision thereof, from enacting or enforcing any laws with
respect to the importation, sale, manufacture, or distribution of equipment by any person with the intent of its use to assist in the interception or receipt of radio communications
prohibited by subsection (a). (f) Nothing in this section shall affect any right, obligation, or liability under title 17, United States Code, any rule, regulation, or order thereunder,
or any other applicable Federal, State, or local law. (g) The Commission shall initiate an inquiry concerning the need for a universal encryption standard that permits decryption of
satellite cable programming intended for private viewing. In conducting such inquiry, the Commission shall take into account--(1) consumer costs and benefits of any such standard, including
consumer investment in equipment in operation; (2) incorporation of technological enhancements, including advanced television formats; (3) whether any such standard would effectively
prevent present and future unauthorized decryption of satellite cable programming; (4) the costs and benefits of any such standard on other authorized users of encrypted satellite cable
programming, including cable systems and satellite master antenna television systems; (5) the effect of any such standard on competition in the manufacture of decryption equipment; and
(6) the impact of the time delay associated with the Commission procedures necessary for establishment of such standards.
Communications Act of 1934 323 (h) If the Commission finds, based on the information gathered from the inquiry required by subsection (g), that a universal encryption standard is necessary
and in the public interest, the Commission shall initiate a rulemaking to establish such a standard. SEC. 706. [47 U.S.C. 606] WAR EMERGENCY--POWERS OF PRESIDENT. (a) During the continuance
of a war in which the United States is engaged, the President is authorized, if he finds it necessary for the national defense and security, to direct that such communications as in
his judgment may be essential to the national defense and security shall have preference or priority with any carrier subject to this Act. He may give these directions at and for such
times as he may determine, and may modify, change, suspend, or annul them and for any such purpose he is hereby authorized to issue orders directly, or through such person or persons
as he designates for the purpose, or through the Commission. Any carrier complying with any such order or direction or preference or priority herein authorized shall be exempt from any
and all provisions in existing law imposing civil or criminal penalties, obligations, or liabilities upon carriers by reason of giving preference or priority in compliance with such
order or direction. (b) It shall be unlawful for any person during any war in which the United States is engaged to knowingly or willfully, by physical force or intimidation by threats
of physical force, obstruct or retard or aid in obstructing or retarding interstate or foreign communication by radio or wire. The President is hereby authorized, whenever in his judgment
the public interest requires, to employ the armed forces of the United States to prevent any such obstruction or retardation of communication: Provided, That nothing in this section
shall be construed to repeal, modify, or affect either section 6 or section 20 of the Act entitled ''An Act to supplement existing laws against unlawful restraints and monopolies, and
for other purposes'', approved October 15, 1914. (c) Upon proclamation by the President that there exists war or a threat of war, or a state of public peril or disaster or other national
emergency, or in order to preserve the neutrality of the United States, the President, if he deems it necessary in the interest of national security or defense, may suspend or amend,
for such time as he may see fit, the rules and regulations applicable to any or all stations or devices capable of emitting electromagnetic radiations within the jurisdiction of the
United States as prescribed by the Commission, and may cause the closing of any station for radio communication, or any device capable of emitting electromagnetic radiations between
10 kilocycles and 100,000 megacycles, which is suitable for use as a navigational aid beyond five miles, and the removal therefrom of its apparatus and equipment, or he may authorize
the use or control of any such station or device and/or its apparatus and equipment, by any department of the Government under such regulations as he may prescribe upon
Communications Act of 1934 324 just compensation to the owners. The authority granted to the President, under this subsection, to cause the closing of any station or device and the removal
therefrom of its apparatus and equipment, or to authorize the use or control of any station or device and/or its apparatus and equipment, may be exercised in the Canal Zone. (d) Upon
proclamation by the President that there exists a state or threat of war involving the United States, the President, if he deems it necessary in the interest of the national security
and defense, may, during a period ending not later than six months after the termination of such state or threat of war and not later than such earlier date as the Congress by concurrent
resolution may designate, (1) suspend or amend the rules and regulations applicable to any or all facilities or stations for wire communication within the jurisdiction of the United
States as prescribed by the Commission, (2) cause the closing of any facility or station for wire communication and the removal therefrom of its apparatus and equipment, or (3) authorize
the use or control of any such facility or station and its apparatus and equipment by any department of the Government under such regulations as he may prescribe, upon just compensation
to the owners. (e) The President shall ascertain the just compensation for such use or control and certify the amount ascertained to Congress for appropriation and payment to the person
entitled thereto. If the amount so certified is unsatisfactory to the person entitled thereto, such person shall be paid only 75 per centum of the amount and shall be entitled to sue
the United States to recover such further sums as added to such payment of 75 per centum will make such amount as will be just compensation for the use and control. Such suit shall be
brought in the manner provided by paragraph 20 of section 24, or by section 145, of the Judicial Code, as amended. (f) Nothing in subsection (c) or (d) shall be construed to amend, repeal,
impair, or effect existing laws or powers of the States in relation to taxation or the lawful police regulations of the several States, except wherein such laws, powers, or regulations
may affect the transmission of Government communications, or the issue of stocks and bonds by any communication system or systems. (g) Nothing in subsection (c) or (d) shall be construed
to authorize the President to make any amendment to the rules and regulations of the Commission which the Commission would not be authorized by law to make; and nothing in subsection
(d) shall be construed to authorize the President to take any action the force and effect of which shall continue beyond the date after which taking of such action would not have been
authorized. (h) Any person who willfully does or causes or suffers to be done any act prohibited pursuant to the exercise of the President's authority under this section, or who
willfully fails to do any act which he is required to do pursuant to the exercise of the President's authority under this section, or who willfully causes or suffers such failure, shall,
upon conviction thereof, be punished for such offense by a fine of not more than $1,000 or by imprisonment for not more than one year, or
Communications Act of 1934 325 both, and, if a firm, partnership, association, or corporation, by fine of not more than $5,000, except that any person who commits such an offense with
intent to injure the United States, or with intent to secure an advantage to any foreign nation, shall, upon conviction thereof, be punished by a fine of not more than $20,000 or by
imprisonment for not more than 20 years, or both. SEC. 707. [47 U.S.C. 607] EFFECTIVE DATE OF ACT. This Act shall take effect upon the organization of the Commission, except that this
section and sections 1 and 4 shall take effect July 1, 1934. The Commission shall be deemed to be organized upon such date as four members of the Commission have taken office. SEC. 708.
[47 U.S.C. 608] SEPARABILITY CLAUSE. If any provision of this Act or the application thereof to any person or circumstance is held invalid, the remainder of the Act and the application
of such provision to other persons or circumstances shall not be affected thereby. SEC. 709. [47 U.S.C. 609] SHORT TITLE. This Act may be cited as the ''Communications Act of 1934.''
SEC. 710. [47 U.S.C. 610] TELEPHONE SERVICE FOR THE DISABLED. (a) The Commission shall establish such regulations as are necessary to ensure reasonable access to telephone service by
persons with impaired hearing. (b)(1) Except as provided in paragraphs (2) and (3), the Commission shall require that--(A) all essential telephones, and (B) all telephones manufactured
in the United States (other than for export) more than one year after the date of enactment of the Hearing Aid Compatibility Act of 1988 or imported for use in the United States more
than one year after such date, provide internal means for effective use with hearing aids that are designed to be compatible with telephones which meet established technical standards
for hearing aid compatibility. (2)(A) The initial regulations prescribed by the Commission under paragraph (1) of this subsection after the date of enactment of the Hearing Aid Compatibility
Act of 1988 shall exempt from the requirements established pursuant to paragraph (1)(B) of this subsection only--(i) telephones used with public mobile services; (ii) telephones used
with private radio services; (iii) cordless telephones; and (iv) secure telephones. (B) The exemption provided by such regulations for cordless telephones
Communications Act of 1934 326 shall not apply with respect to cordless telephones manufactured or imported more than three years after the date of enactment of the Hearing Aid Compatibility
Act of 1988. (C) The Commission shall periodically assess the appropriateness of continuing in effect the exemptions provided by such regulations for telephones used with public mobile
services and telephones used with private radio services. The Commission shall revoke or otherwise limit any such exemption if the Commission determines that--(i) such revocation or
limitation is in the public interest; (ii) continuation of the exemption without such revocation or limitation would have an adverse effect on hearing-impaired individuals; (iii) compliance
with the requirements of paragraph (1)(B) is technologically feasible for the telephones to which the exemption applies; and (iv) compliance with the requirements of paragraph (1)(B)
would not increase costs to such an extent that the telephones to which the exemption applies could not be successfully marketed. (3) The Commission may, upon the application of any
interested person, initiate a proceeding to waive the requirements of paragraph (1)(B) of this subsection with respect to new telephones, or telephones associated with a new technology
or service. The Commission shall not grant such a waiver unless the Commission determines, on the basis of evidence in the record of such proceeding, that such telephones, or such technology
or service, are in the public interest, and that (A) compliance with the requirements of paragraph (1)(B) is technologically infeasible, or (B) compliance with such requirements would
increase the costs of the telephones, or of the technology or service, to such an extent that such telephones, technology, or service could not be successfully marketed. In any proceeding
under this paragraph to grant a waiver from the requirements of paragraph (1)(B), the Commission shall consider the effect on hearing-impaired individuals of granting the waiver. The
Commission shall periodically review and determine the continuing need for any waiver granted pursuant to this paragraph. (4) For purposes of this subsection--(A) the term ''essential
telephones'' means only coin-operated telephones, telephones provided for emergency use, and other telephones frequently needed for use by persons using such hearing aids; (B) the term
''public mobile services'' means air-to-ground radiotelephone services, cellular radio telecommunications services, offshore radio, rural radio service, public land mobile telephone
service, and other common carrier radio communication services covered by part 22 of title 47 of the Code of Federal Regulations; (C) the term ''private radio services'' means private
land mobile radio services and other communications services characterized by the
Communications Act of 1934 327 Commission in its rules as private radio services; and (D) the term ''secure telephones'' means telephones that are approved by the United States Government
for the transmission of classified or sensitive voice communications. (c) The Commission shall establish or approve such technical standards as are required to enforce this section.
(d) The Commission shall establish such requirements for the labeling of packaging materials for equipment as are needed to provide adequate information to consumers on the compatibility
between telephones and hearing aids. (e) In any rulemaking to implement the provisions of this section, the Commission shall specifically consider the costs and benefits to all telephone
users, including persons with and without hearing impairments. The Commission shall ensure that regulations adopted to implement this section encourage the use of currently available
technology and do not discourage or impair the development of improved technology. (f) The Commission shall periodically review the regulations established pursuant to this section.
Except for coin-operated telephones and telephones provided for emergency use, the Commission may not require the retrofitting of equipment to achieve the purposes of this section. (g)
Any common carrier or connecting carrier may provide specialized terminal equipment needed by persons whose hearing, speech, vision, or mobility is impaired. The State commission may
allow the carrier to recover in its tariffs for regulated service reasonable and prudent costs not charged directly to users of such equipment. (h) The Commission shall delegate to each
State commission the authority to enforce within such State compliance with the specific regulations that the Commission issues under subsections (a) and (b), conditioned upon the adoption
and enforcement of such regulations by the State commission. SEC. 711. [47 U.S.C. 611] CLOSED-CAPTIONING OF PUBLIC SERVICE ANNOUNCEMENTS. Any television public service announcement that
is produced or funded in whole or in part by any agency or instrumentality of Federal Government shall include closed captioning of the verbal content of such announcement. A television
broadcast station licensee--(1) shall not be required to supply closed captioning for any such announcement that fails to include it; and (2) shall not be liable for broadcasting any
such announcement without transmitting a closed caption unless the licensee intentionally fails to transmit the closed caption that was included with the announcement. SEC. 712. [47
U.S.C. 612] SYNDICATED EXCLUSIVITY.
Communications Act of 1934 328 (a) The Federal Communications Commission shall initiate a combined inquiry and rulemaking proceeding for the purpose of--(1) determining the feasibility
of imposing syndicated exclusivity rules with respect to the delivery of syndicated programming (as defined by the Commission) for private home viewing of secondary transmissions by
satellite of broadcast station signals similar to the rules issued by the Commission with respect to syndicated exclusivity and cable television; and (2) adopting such rules if the Commission
considers the imposition of such rules to be feasible. (b) In the event that the Commission adopts such rules, any willful and repeated secondary transmission made by a satellite carrier
to the public of a primary transmission embodying the performance or display of a work which violates such Commission rules shall be subject to the remedies, sanctions, and penalties
provided by title V and section 705 of this Act. SEC. 713. [47 U.S.C. 613] VIDEO PROGRAMMING ACCESSIBILITY. (a) COMMISSION INQUIRY.--Within 180 days after the date of enactment of the
Telecommunications Act of 1996, the Federal Communications Commission shall complete an inquiry to ascertain the level at which video programming is closed captioned. Such inquiry shall
examine the extent to which existing or previously published programming is closed captioned, the size of the video programming provider or programming owner providing closed captioning,
the size of the market served, the relative audience shares achieved, or any other related factors. The Commission shall submit to the Congress a report on the results of such inquiry.
(b) ACCOUNTABILITY CRITERIA.--Within 18 months after such date of enactment, the Commission shall prescribe such regulations as are necessary to implement this section. Such regulations
shall ensure that--(1) video programming first published or exhibited after the effective date of such regulations is fully accessible through the provision of closed captions, except
as provided in subsection (d); and (2) video programming providers or owners maximize the accessibility of video programming first published or exhibited prior to the effective date
of such regulations through the provision of closed captions, except as provided in subsection (d). (c) DEADLINES FOR CAPTIONING.--Such regulations shall include an appropriate schedule
of deadlines for the provision of closed captioning of video programming. (d) EXEMPTIONS.--Notwithstanding subsection (b)--(1) the Commission may exempt by regulation programs, classes
of programs, or services for which the Commission has determined that the provision of closed captioning would be economically burdensome to the
Communications Act of 1934 329 provider or owner of such programming; (2) a provider of video programming or the owner of any program carried by the provider shall not be obligated to
supply closed captions if such action would be inconsistent with contracts in effect on the date of enactment of the Telecommunications Act of 1996, except that nothing in this section
shall be construed to relieve a video programming provider of its obligations to provide services required by Federal law; and (3) a provider of video programming or program owner may
petition the Commission for an exemption from the requirements of this section, and the Commission may grant such petition upon a showing that the requirements contained in this section
would result in an undue burden. (e) UNDUE BURDEN.--The term ''undue burden'' means significant difficulty or expense. In determining whether the closed captions necessary to comply
with the requirements of this paragraph would result in an undue economic burden, the factors to be considered include--(1) the nature and cost of the closed captions for the programming;
(2) the impact on the operation of the provider or program owner; (3) the financial resources of the provider or program owner; and (4) the type of operations of the provider or program
owner. (f) VIDEO DESCRIPTIONS INQUIRY.--Within 6 months after the date of enactment of the Telecommunications Act of 1996, the Commission shall commence an inquiry to examine the use
of video descriptions on video programming in order to ensure the accessibility of video programming to persons with visual impairments, and report to Congress on its findings. The Commission's
report shall assess appropriate methods and schedules for phasing video descriptions into the marketplace, technical and quality standards for video descriptions, a definition of programming
for which video descriptions would apply, and other technical and legal issues that the Commission deems appropriate. (g) VIDEO DESCRIPTION.--For purposes of this section, ''video description''
means the insertion of audio narrated descriptions of a television program's key visual elements into natural pauses between the program's dialogue. (h) PRIVATE RIGHTS OF ACTIONS PROHIBITED.--Nothing
in this section shall be construed to authorize any private right of action to enforce any requirement of this section or any regulation thereunder. The Commission shall have exclusive
jurisdiction with respect to any complaint under this section. SEC. 714. [47 U.S.C. 614] TELECOMMUNICATIONS DEVELOPMENT FUND.(a) PURPOSE OF SECTION.--It is the purpose of this section--(1)
to promote access to capital for small businesses in order to enhance competition in the telecommunications industry; (2) to stimulate new technology development, and promote
Communications Act of 1934 330 employment and training; and (3) to support universal service and promote delivery of telecommunications services to underserved rural and urban areas.
(b) ESTABLISHMENT OF FUND.--There is hereby established a body corporate to be known as the Telecommunications Development Fund, which shall have succession until dissolved. The Fund
shall maintain its principal office in the District of Columbia and shall be deemed, for purposes of venue and jurisdiction in civil actions, to be a resident and citizen thereof. (c)
BOARD OF DIRECTORS.--(1) COMPOSITION OF BOARD; CHAIRMAN.--The Fund shall have a Board of Directors which shall consist of 7 persons appointed by the Chairman of the Commission. Four
of such directors shall be representative of the private sector and three of such directors shall be representative of the Commission, the Small Business Administration, and the Department
of the Treasury, respectively. The Chairman of the Commission shall appoint one of the representatives of the private sector to serve as chairman of the Fund within 30 days after the
date of enactment of this section, in order to facilitate rapid creation and implementation of the Fund. The directors shall include members with experience in a number of the following
areas: finance, investment banking, government banking, communications law and administrative practice, and public policy. (2) TERMS OF APPOINTED AND ELECTED MEMBERS.--The directors
shall be eligible to serve for terms of 5 years, except of the initial members, as designated at the time of their appointment--(A) 1 shall be eligible to service for a term of 1 year;
(B) 1 shall be eligible to service for a term of 2 years; (C) 1 shall be eligible to service for a term of 3 years; (D) 2 shall be eligible to service for a term of 4 years; and (E)
2 shall be eligible to service for a term of 5 years (1 of whom shall be the Chairman). Directors may continue to serve until their successors have been appointed and have qualified.
(3) MEETINGS AND FUNCTIONS OF THE BOARD.--The Board of Directors shall meet at the call of its Chairman, but at least quarterly. The Board shall determine the general policies which
shall govern the operations of the Fund. The Chairman of the Board shall, with the approval of the Board, select, appoint, and compensate qualified persons to fill the offices as may
be provided for in the bylaws, with such functions, powers, and duties as may be prescribed by the bylaws or by the Board of Directors, and such persons shall be the officers of the
Fund and shall discharge all such functions, powers, and duties. (d) ACCOUNTS OF THE FUND.--The Fund shall maintain its accounts at a
Communications Act of 1934 331 financial institution designated for purposes of this section by the Chairman of the Board (after consultation with the Commission and the Secretary of
the Treasury). The accounts of the Fund shall consist of--(1) interest transferred pursuant to section 309(j)(8)(C) of this Act; (2) such sums as may be appropriated to the Commission
for advances to the Fund; (3) any contributions or donations to the Fund that are accepted by the Fund; and (4) any repayment of, or other payment made with respect to, loans, equity,
or other extensions of credit made from the Fund. (e) USE OF THE FUND.--All moneys deposited into the accounts of the Fund shall be used solely for--(1) the making of loans, investments,
or other extensions of credits to eligible small businesses in accordance with subsection (f); (2) the provision of financial advice to eligible small businesses; (3) expenses for the
administration and management of the Fund (including salaries, expenses, and the rental or purchase of office space for the fund); (4) preparation of research, studies, or financial
analyses; and (5) other services consistent with the purposes of this section. (f) LENDING AND CREDIT OPERATIONS.--Loans or other extensions of credit from the Fund shall be made available
in accordance with the requirements of the Federal Credit Reform Act of 1990 (2 U.S.C. 661 et seq.) and any other applicable law to an eligible small business on the basis of--(1) the
analysis of the business plan of the eligible small business; (2) the reasonable availability of collateral to secure the loan or credit extension; (3) the extent to which the loan or
credit extension promotes the purposes of this section; and (4) other lending policies as defined by the Board. (g) RETURN OF ADVANCES.--Any advances appropriated pursuant to subsection
(d)(2) shall be disbursed upon such terms and conditions (including conditions relating to the time or times of repayment) as are specified in any appropriations Act providing such advances.
(h) GENERAL CORPORATE POWERS.--The Fund shall have power--(1) to sue and be sued, complain and defend, in its corporate name and through its own counsel; (2) to adopt, alter, and use
the corporate seal, which shall be judicially noticed; (3) to adopt, amend, and repeal by its Board of Directors, bylaws, rules, and regulations as may be necessary for the conduct of
its business; (4) to conduct its business, carry on its operations, and have
Communications Act of 1934 332 officers and exercise the power granted by this section in any State without regard to any qualification or similar statute in any State; (5) to lease,
purchase, or otherwise acquire, own, hold, improve, use, or otherwise deal in and with any property, real, personal, or mixed, or any interest therein, wherever situated, for the purposes
of the Fund; (6) to accept gifts or donations of services, or of property, real, personal, or mixed, tangible or intangible, in aid of any of the purposes of the Fund; (7) to sell, convey,
mortgage, pledge, lease, exchange, and otherwise dispose of its property and assets; (8) to appoint such officers, attorneys, employees, and agents as may be required, to determine their
qualifications, to define their duties, to fix their salaries, require bonds for them, and fix the penalty thereof; and (9) to enter into contracts, to execute instruments, to incur
liabilities, to make loans and equity investment, and to do all things as are necessary or incidental to the proper management of its affairs and the proper conduct of its business.
(i) ACCOUNTING, AUDITING, AND REPORTING.--The accounts of the Fund shall be audited annually. Such audits shall be conducted in accordance with generally accepted auditing standards
by independent certified public accountants. A report of each such audit shall be furnished to the Secretary of the Treasury and the Commission. The representatives of the Secretary
and the Commission shall have access to all books, accounts, financial records, reports, files, and all other papers, things, or property belonging to or in use by the Fund and necessary
to facilitate the audit. (j) REPORT ON AUDITS BY TREASURY.--A report of each such audit for a fiscal year shall be made by the Secretary of the Treasury to the President and to the Congress
not later than 6 months following the close of such fiscal year. The report shall set forth the scope of the audit and shall include a statement of assets and liabilities, capital and
surplus or deficit; a statement of surplus or deficit analysis; a statement of income and expense; a statement of sources and application of funds; and such comments and information
as may be deemed necessary to keep the President and the Congress informed of the operations and financial condition of the Fund, together with such recommendations with respect thereto
as the Secretary may deem advisable. (k) DEFINITIONS.--As used in this section: (1) ELIGIBLE SMALL BUSINESS.--The term ''eligible small business'' means business enterprises engaged
in the telecommunications industry that have $50,000,000 or less in annual revenues, on average over the past 3 years prior to submitting the application under this section. (2) FUND.--The
term ''Fund'' means the Telecommunications Development Fund established pursuant to this section.
Communications Act of 1934 333 (3) TELECOMMUNICATIONS INDUSTRY.--The term ''telecommunications industry'' means communications businesses using regulated or unregulated facilities or
services and includes broadcasting, telecommunications, cable, computer, data transmission, software, programming, advanced messaging, and electronics businesses.
FEMA Manual 1550.2 March 30, 2001 National Warning System Operations Manual Operations Manual Federal Emergency Management Agency
March 30, 2001 FEMA Manual 1550.2 RECORD OF CHANGES Change Number Date Entered Posted By i
FEDERAL EMERGENCY MANAGEMENT AGENCY Date Number MANUAL March 30, 2001 1550.2 RR-OP-OC Distribution: A(Top Staff), Including B(HQ Div DR), C(HQBrch Chiefs), (Regional DR), (FldDiv DR),
(FldBrch Chiefs), MERS, MT-FOC, and MT-FACO) www.fema.gov/library and/or os.fema.gov FOREWORD The National Warning System (NAWAS) is a 24-hour continuous private line telephone system
used to convey warnings to Federal, State and local governments, as well as the military and civilian population. Originally, the primary mission of the NAWAS was to warn of an imminent
enemy attack or an actual accidental missile launch upon the United States. NAWAS still supports this mission but the emphasis is on natural and technological disasters. In today’s post-Cold
War environment, the threats imposed by disasters make it imperative for all government officials to have access to an effective and reliable means of warning the public of impending
emergencies so that they may take protective actions. Title VI of the Robert T. Stafford Disaster Relief and Emergency Assistance Act authorizes the use of the NAWAS to support the All-Hazards
emergency response mission of the Federal Emergency Management Agency (FEMA). NAWAS is used to disseminate warning information concerning natural and technological disasters to various
warning points throughout the continental United States, Alaska, Hawaii and the Virgin Islands. This information includes but is not limited to acts of terrorism including Weapons of
Mass Destruction (WMD) after aircraft incidents/accidents, earthquakes, floods, hurricanes, nuclear incidents/accidents, severe thunderstorms, tornadoes, tsunamis and winter storms/blizzards.
NAWAS allows issuance of warnings to all stations nationwide or to selected stations as dictated by the situation. This manual contains eligibility criteria that Federal, State and/or
local governments must meet to have access to this system as well as operational procedures. Forward any comments, corrections, and additions to this manual to the FEMA Operations Centers
Branch, RR-OP-OC, P.O. Box 129, Berryville, Virginia 22611. Items may also be e-mailed to the FEMA Operations Center (FOC) at FEMA. Operations.Center@fema.gov. Joe M. Allbaugh Director
March 30, 2001 FEMA Manual 1550.2 TABLE OF CONTENTS RECORD OF CHANGES ............................................................................................................II FOREWORD..........
......................................................................................................................... CHAPTER 1 -OVERVIEW..........................................................
............................................... 1 1-1. PURPOSE. .......................................................................................................................................
..........................1-1 1-2. APPLICABILITY AND SCOPE .............................................................................................................................1-1
1-3. SUPERSESSION. ....................................................................................................................................................1-1 1-4. AUTHORITIES.
.........................................................................................................................................................1-1 1-5. REFERENCES...........................
...............................................................................................................................1-2 1-6. BACKGROUND. ...................................................
....................................................................................................1-2 1-7. TYPES OF CIVIL EMERGENCY WARNINGS. .......................................................
.......................................1-3 1-8. SOURCES OF WARNINGS.................................................................................................................................1-4
1-9. DEFINITIONS............................................................................................................................................................1-6 CHAPTER
2 -ALERTING SYSTEM COMPONENTS........................................................... 2 2 2-1. OVERVIEW.............................................................................................
...................................................................2-1 2-2. DESCRIPTION OF NAWAS AND OTHER ALERTING SYSTEMS. .......................................................2-1
2-3. LOCAL WARNING SYSTEM TESTS.................................................................................................................2-5 2-4. EMERGENCY ALERT SYSTEM (EAS).
...........................................................................................................2-5 2-5. EXERCISES..........................................................................
.....................................................................................2-5 2-6. EMERGENCY INFORMATION COMMUNICATED BY NORAD..............................................................
2-5 CHAPTER 3 -ELIGIBILITY REQUIREMENTS...................................................................... 3 3-1. BACKGROUND. ......................................................................
.................................................................................3-1 3-2. PRIORITY CRITERIA. ..........................................................................................
..................................................3-1 3-3. ELIGIBILITY CRITERIA. ......................................................................................................................
..................3-2 3-4. OPERATIONAL REQUIREMENTS & FUNDING INFORMATION. .........................................................3-3 3-5. COMMITMENTS. .............................................
........................................................................................................3-6 3-6. STATE & LOCAL GOVERNMENT APPLICATION PROCESS..........................................
......................3-6 3-7. FEMA REVIEW & IMPLEMENTATION PROCESS......................................................................................3-7 3-8. TIME NEEDED TO COMPLY
WITH REPORTING REQUIREMENTS..................................................3-8
3-9. SUMMARY OF ELIGIBILITY REQUIREMENTS............................................................................................3-9 CHAPTER 4 -EQUIPMENT OPERATION.................................
............................................. 4 4-1. OPERATION OF EQUIPMENT...........................................................................................................................4
-1 4-2. WARNING CIRCUIT SIGNALING .......................................................................................................................4-1 4-3. TROUBLE REPORTING....................
....................................................................................................................4-2 4-4. MOVEMENT OF NAWAS EQUIPMENT...............................................
............................................................4-3 4-5. OWNERSHIP OF NAWAS EQUIPMENT......................................................................................................
...4-3 4-6. NAWAS DATABASE...............................................................................................................................................4-4 CHAPTER 5
-NAWAS TERMINALS....................................................................................... 5 5-1. GENERAL.................................................................................
..................................................................................5-1 5-2. INSTALLATION................................................................................................
.........................................................5-1 5-3. TERMINAL MODELS .....................................................................................................................
.........................5-2 II
FEMA Manual 1550.2 March 30, 2001 5-4. COMLABS MODEL 204-XXXX MCU (KEYPAD) TERMINALS ................................................................5-2 5-5. COMLABS MODEL 205-XXXX NAWAS
SYSTEM BRIDGE (ONE OR TWO WAY..........................5-2 5-6. COMLABS MODEL 207-XXXX STANDARD TERMINAL...........................................................................5-2
5-7. COMLABS MODEL 208-XXXX NAWAS SYSTEM BRIDGE .....................................................................5-3 5-8. COMLABS MODEL 209-XXXX SIGNALING UNIT ...................................
....................................................5-3 5-9. COMLABS PREMISE BRIDGE MODEL 210-XXXX.....................................................................................5-4
5-10. CONNECTING 205 (BRIDGING) TO 209 (SIGNALING) SETS .............................................................5-4 5-11. DIALING CODES...........................................................
........................................................................................5-4 5-12. FOUR DIGIT DIALING ..................................................................................
.......................................................5-5 5-13. CONFERENCE GROUP DIALING PLAN ......................................................................................................5-
6 5-14. CALLING PROCEDURES ..................................................................................................................................5-6 5-15. CALLING NOAA TERMINALS
& SWPS INDIVIDUALLY .........................................................................5-6 5-16. CALLING ALL USERS WITHIN A STATE ...............................................................
......................................5-7 5-17. CALLING A GROUP OF SIMILAR OFFICES ...............................................................................................5-7
5-18. USERS WITHIN A STATE CALLING NOAA OFFICES ............................................................................5-7 CHAPTER 6 -ROUTINE OPERATING PROCEDURES................................
...................... 6 6-1. GENERAL..................................................................................................................................................................
.6-1 6-2. WARNING POINT CONTROL LOG ...................................................................................................................6-1 6-3. WARNING CIRCUIT .......................
........................................................................................................................6-1 6-4. CIRCUIT TESTS ........................................................
...............................................................................................6-1 6-5. CALLING PROCEDURES.............................................................................
........................................................6-3 6-6. TIME USEAGE AND CONVERSION............................................................................................................
.....6-4 CHAPTER 7 -EMERGENCY OPERATING PROCEDURES.............................................. 7 7-1. GENERAL........................................................................................
...........................................................................7-1 7-2. ALTERNATE PROCEDURES ..............................................................................................
................................7-1 7-3. DECLARATION/DISSEMINATION OF ATTACK WARNING ....................................................................7-1 7-4. TERMINATION OF ATTACK
WARNING & NATIONAL LEVEL EAS OPERATION .........................7-1 7-5. ACTIVATION OF NA TIONAL LEVEL EAS ............................................................................................
..........7-1 7-6. SPECIAL EMERGENCY INFORMATION........................................................................................................7-2 7-7 REPORTING TRANS-ATTACK
AND POST-ATTACK INFORMATION................................................7-2 APPENDICES..............................................................................................................
................... APPENDIX A -DEFINITION OF TERMS ..................................................................................................................A-1 APPENDIX B -ACCIDENTAL
MISSILE LAUNCH WARNING............................................................................B-1 APPENDIX C -ATTACK WARNING -DECLARATION/DISSEMINATION ...........................................
.........C-1 APPENDIX D -ACTIVATION OF THE NATIONAL LEVEL EAS.......................................................................D-1 APPENDIX E -ATTACK WARNING AND NATIONAL LEVEL
EAS TERMINATION .................................E-1 APPENDIX F – EMERGENCY MESSAGES FROM LOCAL WARNING POINTS TO SWP/MOCS .....F-1 APPENDIX G -NUDET AND OTHER FLASH REPORTS..........................
.........................................................G-1 1 APPENDIX H -TSUNAMI PROCEDURES..........................................................................................................
.....H-1 APPENDIX I -TERMINAL SELF TEST........................................................................................................................I-1 APPENDIX J -FIPS CODES
(NATIONAL WEATHER SERVICE STATIONS AND FEDERAL AND STATE WARNING POINTS ...............................................................................................................................
.............J-1 APPENDIX K – FOC AND FAOC NAWAS BRIEFINGS ......................................................................................K-1 APPENDIX L -FEMA REGIONS AND MERS
DETACHMENTS REGIONAL RESPONSIBILITIES .....L-1 iii
FEMA Manual 1550.2 March 30, 2001 CHAPTER 1 OVERVIEW 1-1. PURPOSE. This FEMA manual provides Federal, State and local civil emergency management personnel with information on the structure
and operation of the National Warning System (NAWAS) and criteria governing eligibility for participation in it. 1-2. APPLICABILITY AND SCOPE. The provisions of this manual are applicable
to all Federal, State, and local government emergency management agencies that participate in the NAWAS. 1-3. SUPERSESSION. This manual supersedes Civil Preparedness Guide (CPG) 1-14,
Principles of Warning and Criteria Governing Eligibility of National Warning System (NAWAS) Terminals, dated March 11, 1991; CPG 1-16, National Warning System (NAWAS) Operations, dated
April 1992 and FEMA Manual 1550.2, dated December 1987. 1-4. AUTHORITIES. a. Federal Civil Defense Act of 1950, 50 USC, App 2251 b. Robert T. Stafford Disaster Relief and Emergency Assistance
Act, 42 U.S.C. 5121 et seq. c. Executive Order 12656, Assignment of Emergency Preparedness Responsibilities, dated November 18, 1988. d. Federal Communications Act of 1934, Section 606,
as amended. e. Federal Response Plan (FRP), dated April 1999. f. Memo dated 26 October 1970 from Director of Civil Defense to Commanding General, USSTRATCOM, Subject: Conditions under
which the Attack Warning Will Be Disseminated. g. Memorandum of Understanding Between FEMA and the Commander, Air Force Rescue Coordination Center (AFRCC) Langley AFB, Virginia, dated
July 27, 1998. h. Memorandum of Understanding between FEMA and the United States Coast Guard concerning warning and emergency information dated December 15, 1989. 1-1
March 30, 2001 FEMA Manual 1550.2 memorandum of Understanding Between the North American Aerospace Defense Command (NORAD) the United States Space Command (USSPACECOM) and the Federal
Emergency Management Agency (FEMA) Concerning the Exchange of Emergency Information. i. Authority to declare and disseminate the "Attack Warning" is contained in a FEMA Memorandum dated
February 17, 1967, SUBJECT Conditions under Which the Attack Warning will be declared. j. Department of the Army, Memorandum dated January 11, 1972, reviewing "Attack Warning Procedures".
1-5. REFERENCES. a. Title 44; Code of Federal Regulations (CFR), Part 1, Subpart A, Delegations. b. FEMA Plan for the Operation of the Emergency Alert System (EAS) During National Emergency,
Short Title: EAS OPLAN dated August 20, 1999. c. American Telephone & Telegraph (AT&T) NAWAS Trouble Reporting Procedures Manual. d. ComLabs MCU Communications Terminal, Operations Manual.
1-6. BACKGROUND. a. Threats imposed by disasters make it imperative that all communities have a rapid, reliable and efficient method of warning the public. The National Warning System
(NAWAS) is a special purpose telephone system that provides a voice communications capability suited for disseminating warnings to Federal, State and local government agencies and selected
military organizations. b. The Federal Emergency Management Agency (FEMA) funds, operates, and controls the NAWAS. The Robert T. Stafford Disaster Relief Act, 42 U.S.C. 5121 et seq.
(Stafford Act) authorizes the President to make provisions for emergency preparedness communications and dissemination of warnings to governmental authorities and the civilian population
in areas endangered by disasters. This authority has been delegated to the Director, FEMA. c. The NAWAS was created to rapidly notify emergency management officials of an impending or
threatened attack or accidental missile launch on the United 1-2
FEMA Manual 1550.2 March 30, 2001 States. This type of warning capability still exists at both the FEMA Operations Center (FOC) and the FEMA Alternate Operations Center (FAOC). FEMA
has placed primary emphasis on an all-hazard approach to emergency management to support rapid and effective response to natural and technological disasters. d. In 1999 the National
Emergency Coordination Center (NECC) and the National Warning Center (NWC) were renamed the FOC; the functions of the Alternate NWC (ANWC) were incorporated into the FAOC. Both centers
are staffed twenty-four hours a day. e. Under established priorities the Attack Warning has priority over all other NAWAS traffic. The FOC/FAOC exercise control of priorities for the
NAWAS. The State Warning Points (SWP) exercise control of priorities within their jurisdictions when they do not conflict with National priorities. f. The FOC/FAOC issue warnings primarily
to the SWPs. The SWPs then disseminate the warning information over local communication systems to local jurisdictions and the Emergency Alert System (EAS) for warning the civilian population.
g. When the NAWAS is not being used for emergency traffic/tests, State and local government personnel are encouraged to use it for official business. NAWAS users must be alert and relinquish
use of the system when another user announces emergency traffic. All users must ensure that the circuit is clear of traffic before dialing on the circuit. 1-7. TYPES OF CIVIL EMERGENCY
WARNINGS. There are three types of warning supported by NAWAS: a. Natural and Technological Emergency Warning. A warning of a natural disaster or emergency may include any of the following
events: aircraft crash, domestic errant missile launch, earthquake, explosion, fire, flood, hazardous chemical spills, hurricane, landslide, mudslide, nuclear accidents, reentering space
debris, storm, snowstorm, tornado, tsunami, volcanic eruption, wind driven water, or other potential or actual hazards to the public's health, safety and property. b. Attack Warning.
A warning meaning that an impending or actual attack or accidental missile launch against the United States has been detected and that protective action should be taken immediately.
c. Fallout Warning. A warning of radiation hazards resulting from nuclear detonations, accidental mishaps and/or terrorist activities. 1-3
March 30, 2001 FEMA Manual 1550.2 1-8. SOURCES OF WARNINGS. a. Natural and Technological Disasters. Warning of a possible threat to the public's health, safety, and property originate
from many sources to include: (1) The National Oceanographic and Atmospheric Administration (NOAA) and offices within NOAA provide a variety of weather related information. They include:
· The National Weather Service (NWS) which provides short and long-range weather forecasts. NWS can originate severe weather warnings and watches from any of approximately 125 offices
throughout the United States. Most NWS offices have direct access to the NAWAS. · The NWS has links to many other offices within NOAA that provide warning of dangerous weather situations.
These include: Ø The National Hurricane Center and the Tropical Prediction Center, Miami, Florida, which provide hurricane and tropical depression information for the Atlantic, Caribbean,
and Gulf of Mexico. Ø The Tsunami Warning Centers in Honolulu, Hawaii and Palmer, Alaska, which provide seismic and tsunami information for the Pacific region. Ø The NOAA Office of Hydrology,
which uses flood data gathered by thirteen National Weather Service (NWS) River Forecast Centers (RFCs) on possible flood conditions throughout the lower 48 States and Alaska. · NOAA
and NWS have also established the National Centers for Environmental Prediction (NCEP). The NCEP is made up of a variety of weather and prediction centers, which pass information on
weather conditions to the NWS, the U.S. Air Force, the Federal Aviation Administration (FAA), and FEMA. Some of the essential centers are:-Hydrometeorological Prediction Center (HPC),
Camp Springs, MD; -Marine Prediction Center (MPC), Camp Springs, MD; -Climate Prediction Center (CPC), Camp Springs, MD; -Aviation Weather Center (AWC), Kansas City, MO; -Storm Prediction
Center (SPC), Norman, OK; and -Tropical Prediction Center (TPC), Miami, FL. 1-4
FEMA Manual 1550.2 March 30, 2001 (2) The National Earthquake Information Center (NEIC), US Geological Survey, Department of the Interior, in Golden, CO, provides earthquake information.
(a) The NEIC is on the NAWAS National Control Circuit and reports all earthquakes felt in the United States and all earthquakes resulting in damage worldwide. NEIC operates during normal
business hours except in emergencies when they respond to an alarm. During non-duty hours, the FOC/FAOC may contact the NEIC Duty Officer to advise them of earthquake activity. (b) The
FOC/FAOC notify the Bureau of Reclamation Grand Coulee Control Center (GCCC) on all earthquakes with a magnitude of 4.0 or greater that occur from 39 to 52 degrees North latitude and
107 to 126 degrees West longitude (Pacific Northwest Water and Power Resources Service Region). In addition, any earthquake with a magnitude of 6.0 or greater that occurs anywhere in
the Pacific Northwest will be reported to the GCCC. (3) The Air Force Rescue Coordination Center ((AFRCC) located at Langley AFB, VA may request information concerning missing or overdue
aircraft through the FOC/FAOC. Often the AFRCC requests assistance from law enforcement agencies to determine if there has been any citizen reports of a crash or unusual occurrence.
NAWAS provides an effective means for the FOC/FAOC to disseminate the AFRCC request for information to the State Warning Point(s) in the area of the event. Upon receipt of the AFRCC
request, the SWP relays the message to its local warning points. Conversely, SWPs receiving information from their local warning point concerning an aircraft incident should immediately
relay it over NAWAS to their assigned FEMA Operations Center. The FOC will then notify the AFRCC as prescribed in established procedures. The AFRCC has a coordinating officer that coordinates
memorandums of understanding (MOUs) with each State as to how they want this information processed. (4) CNN, the Weather Channel, and other national news services are other sources of
warning warning for FEMA's Operations Centers. b. Enemy Attack. The FOC/FAOC automatically declares and disseminates the Attack Warning over NAWAS when the Commander-in-Chief, North
American Aerospace Defense Command (CINCNORAD) declares Air Defense Emergency (ADE) Warning RED. ADE RED signifies that an attack upon the United States is imminent or taking place.
Only CINCNORAD is authorized to declare ADEs. Additionally, there are limited threat scenarios by which terrorists or countries of concern may attempt to harm U.S. interests. These scenarios
may require an announcement of a limited Attack Warning to a specific area or region of the United States. Warnings are based on tactical and strategic intelligence data gathered and
evaluated by NORAD under its responsibility for the aerospace defense of North America. 1-5
March 30, 2001 FEMA Manual 1550.2 c. Accidental Missile Launch. An agreement between the United States and Russia exists to reduce the risk of nuclear war because of an accidental, unauthorized,
or any other unexplained incident involving a possible nuclear weapon detonation. In the unlikely event of such an incident (e.g., an accidental missile launch) that would threaten the
United States with a possible nuclear detonation, the FOC/FAOC transmits the accidental launch-warning message over the NAWAS. d. Radioactive Fallout. NAWAS would be used to convey this
information to the affected State(s). The State(s) would then pass this information on to local governments, which would issue fallout warnings and instructions to the public based on
local observations and information received from the State. e. Domestic Errant Missile Launch. The United States space program launches a variety of missiles from several launch locations
within its borders. There is potential for these missiles to go errant and not reach reach their intended objective. The FOC would notify the affected State(s) over the NAWAS based on
the information received from NORAD or a special conference established with the launch site. 1-9. DEFINITIONS. Terms and definitions appear in Appendix A. 1-6
FEMA Manual 1550.2 March 30, 2001 CHAPTER 2 ALERTING SYSTEM COMPONENTS 2-1. OVERVIEW. This chapter describes the systems that support Federal, State, and local authorities in meeting
their warning responsibilities. 2-2. DESCRIPTION OF NAWAS AND OTHER ALERTING SYSTEMS. a. Types of Warning Circuits. (1) National Control Circuit. The National Control Circuit plays an
essential role in starting a NAWAS alert in case of an accidental missile launch, an actual attack on the United States, or a natural/technological event. This Control Circuit links
the FOC, the FAOC, and the agencies indicated in the table below. The National Control Circuit does not provide direct links to the States or other Federal agencies; the ten Regional
Circuits provide these links. SUBSCRIBER NAME -(ROLL CALL NAME) CITY STATE NATIONAL EARTHQUAKE INFORMATION CENTER -(NEIC) GOLDEN CO WHITE HOUSE COMMUNICATIONS AGENCY -(WHCA) WASHINGTON
DC FEMA NATIONAL INTERAGENCY EMERGENCY OPERATIONS CENTER -(NIEOC) WASHINGTON DC NATIONAL HURRICANE CENTER-CENTER-WEATHER -(NHC) MIAMI FL FEMA ALTERNATE OPERATIONS CENTER -(FEMA ALTERNATE)
THOMASVILLE GA HYDRO-METEOROLOGICAL PREDICTION -(HYD -MET) CAMP SPRINGS MD COMMUNICATIONS LABORATORIES -(COMLABS) OWLS HEAD ME AVIATION WEATHER CENTER KANSAS CITY MO STORM PREDICTION
CENTER-WEATHER NORMAN OK FEMA OPERATIONS CENTER -(FEMA OPERATIONS) BLUEMONT VA US DEPT OF AGRICULTURE/ALT -(USDA/ALT) BELTSVILLE MD DISASTER COMMUNICATIONS/RED CROSS – (ARC) FALLS CHURCH
VA GODDARD SPACE FLIGHT CENTER -(NASA) GREENBELT MD U.S. NUCLEAR REGULATORY COMMISSION -(NRC) ROCKVILLE MD ENVIRONMENTAL PROTECTION AGENCY -(EPA) WASHINGTON DC GENERAL SERVICES ADMINISTRATION
-(GSA) WASHINGTON DC COAST GUARD COMMAND CENTER -(CG) WASHINGTON DC DEPARTMENT OF STATE -(DOS) WASHINGTON DC US DEPT OF AGRICULTURE -(USDA) WASHINGTON DC OFFICE OF PERSONNEL MANAGEMENT/OPM
SECURITY SERVICE -(OPM) WASHINGTON DC (2) Regional Circuits. The Regional NAWAS consists of ten separate circuits that the FOC or FAOC may activate individually or as a group. The FOC/FAOC
have access to all circuits, and can provide bridging support when any of the regions or States within different regions wants to communicate with each other. When conferenced, the regional
circuits link the FOC and FAOC with the ten FEMA Regions, the five FEMA Mobile Emergency Response Support (MERS) Operations Centers (MOCs), Federal Warning Points (FWPs) such as the
NWS terminals, and Primary/Alternate State Warning Points. Classified as Category 2 circuits, the regional circuits consist of approximately 300 terminals. 2-1
March 30, 2001 FEMA Manual 1550.2 (a) The FOC monitors and controls the Eastern States in FEMA Regions I, II, III, IV, and V. (b) The FAOC monitors and controls the Western States in
FEMA Regions VI, VII, VIII, IX, and X. (c) The MOCs monitor their assigned regional circuits and react to NAWAS traffic as required. (3) State Circuits. State warning circuits connect
to the regional warning circuit at the State Warning Point (SWP). Within each primary and alternate SWP location is a bridge unit that conferences the regional circuit and State NAWAS
circuit. Classified as Category 3 Circuits, the NAWAS State circuits consist of approximately 1,700 terminals. The SWP supervises/controls the NAWAS within their respective State except
during an Attack Warning and emergency announcements by the FOC/FAOC. No relay of information is required under normal configuration. Information originating at a local warning point
within the State requiring transmission out of the State must be relayed by either the primary or the alternate SWP. (4) Washington D.C. Area Control Circuit (ACC). The Washington D.C.
ACC is not directly tied to the NAWAS circuits. However, when the Washington D.C. Control Point receives warning information from the FOC/FAOC over the Region III NAWAS circuit, the
two circuits are manually bridged and the broadcast automatically goes out over the Washington D.C. ACC. After the FOC/FAOC completes the broadcast, the Washington DC Control Point will
roll call circuit subscribers. The Washington D.C. Office of Emergency Preparedness, Control Point manages this circuit on a daily basis and is staffed 24 hours a day. The FOC acts as
the alternate operations center for passing emergency information to all circuit subscribers. Those subscribers include, but are not limited to, the White House, Secret Service, Capital
Police, Department of Defense, Department of State, Dulles and National airports, military facilities, and surrounding State and county emergency operations centers. (5) Conferencing
Capability. The FOC/FOC/FAOC have conferencing capabilities. They include but are not limited to the conferencing/bridging of NAWAS circuits (Region/State), Region/State circuits to
Control Circuit, NAWAS circuits and commercial numbers, multiple commercial numbers, and predefined dial-in conferences (meet-me conferences). The FOC has a preset conference that bridges
the National Control Circuit, the ten FEMA Regions and the Washington D.C. Area Control Circuit that can be used in a national emergency. The FAOC has a preset conference for tsunami
traffic. b. Key Operational Sites. Key operational sites using NAWAS are described in the following paragraphs. 2-2
FEMA Manual 1550.2 March 30, 2001 (1) FEMA Operations Centers. The FEMA Operations Center (FOC) and the FEMA Alternate Operations Center (FAOC) are equipped and staffed to transmit warnings
and emergency information to all or selective warning points on the NAWAS. The Defense Red Switch Network (DRSN) links the FOC and FAOC to the Cheyenne Mountain Air Force Station (CMAS),
Colorado Springs, Colorado. This switch gives the FOC and FAOC connectivity to the NORAD Command Center (NCC) over the Command Center Operations Loop. There is also a separate hotline
to the NCC Missile Officer. The National Military Command Center (NMCC) provides threat information to the FOC/FAOC over event/threat conferences using the DRSN. Both the FOC and the
FAOC are subscribers on the NORAD Alert System (NAS), which is used to distribute emergency action messages regarding Emergency Conditions (EMERGCONS) such as Air Defense Emergency Warning
Red and Defense Readiness Conditions (DEFCONS). Upon receipt of information from NORAD, the FOC and FAOC transmit it over NAWAS as required. (2) Washington D.C. Control Point. Staffed
24 hours a day, the D.C. Control Point monitors the Region III NAWAS circuits and manages the Washington D.C. Area Control Circuit for federal and city emergencies. (3) Regional Operations
Centers (ROCs)/Regional Communications Centers. Staffed during emergencies, special exercises and tests these centers coordinate with their assigned States. (4) Mobile Emergency Response
Support (MERS) Detachments Operations Centers (MOCs). Staffed 24 hours a day these centers monitor the NAWAS circuits of their assigned Regions and react to NAWAS traffic as required.
Upon disruption of communications at the FOC/FAOC, the MOCs may take over warning responsibility of the States within their assigned regions. (5) NAWAS Primary and Alternate State Warning
Point (SWP). In each State, one Warning Point is designated as the Primary SWP (PSWP) and exercises operational control of NAWAS within that State. The PSWP is staffed 24 hours a day
and relays appropriate State-related emergency information to its assigned FEMA Operations Center (FOC/FAOC) as applicable. Each State has an Alternate SWP (ASWP) usually located in
the State Emergency Operations Center (SEOC). The ASWP assumes the functions of the PSWP if it is not operational. The ASWP would also assume primary responsibility in an increased readiness
situation when staffed 24 hours a day. (6) National Weather Service (NWS) Stations. These locations provide weather forecasts and warnings to various users on the National and State
circuits. They may also provide other warnings as required, i.e. Attack Warning. 2-3
March 30, 2001 FEMA Manual 1550.2 (7) Local NAWAS Primary Warning Point (PWP). These locations must be staffed 24 hours a day and are responsible for further dissemination of the warning
to local government officials. State/local law enforcement dispatch centers and fire dispatch centers are often selected as PWPs. (8) NAWAS Extensions. NAWAS extensions are available
to State and local emergency management authorities subject to criteria described in Chapter 3 -Eligibility Criteria. These extensions can provide warning to other State and local warning
locations. (9) NAWAS Duplicate Warning Points. Used when the PWPs are at risk because of potential or actual emergency conditions. They must be in a protected site, such as an Emergency
Operations Center (EOC) and are generally in the same building as a primary or alternate warning point, but in a more protected area such as the basement. c. State Warning System. States
distribute warnings received over NAWAS over State-controlled warning/communications systems to alert
those political jurisdictions not directly served by the NAWAS. d. Local Warning Systems. These include local government-controlled warning or communications to other local jurisdictions
not having a NAWAS terminal. These systems are used to relay warning and emergency information to local government officials, the public, schools, and institutions that are within the
government's area of responsibility. They include outdoor and indoor warning systems and input to the local government portion of the Emergency Alert System (EAS). e. Emergency Preparedness
Warning Signals. FEMA established the signals for outdoor warning devices that alert the public and indicate the immediate action people should take in an emergency. FEMA recognizes
that there has been a reduction in the number of active siren systems throughout the warning community. However, for those communities that still operate sirens as well as other systems,
the following apply to warn the public to take immediate action. (1) Attention or Alert Warning Signal. A 3 to 5 minute steady signal from sirens, horns, or other devices. Local government
officials may authorize use of this signal to alert the public of peacetime emergencies. Besides any other meaning or requirement for action as determined by local government officials,
the Attention or Alert signal will indicate to all persons in the United States, "Turn on your radio or television and listen for essential emergency information". (2) Attack Warning
Signal. A 3 to 5 minute wavering tone on sirens or a series of short blasts on horns or other devices. The Attack Warning signal means 2-4
FEMA Manual 1550.2 March 30, 2001 detection of an actual attack or accidental missile launch. Take protective action immediately. The Attack Warning will be repeated as often as deemed
necessary by local government authorities to obtain the required response by the population, including taking protective action related to the arrival of fallout. This signal will have
no other meaning and will be used for no other purpose. 2-3. LOCAL WARNING SYSTEM TESTS. Local warning systems should be tested on a periodic basis to include the fan-out warning and
the alerting of key officials and agencies. It is especially important that local warning devices be tested to ensure they are operating properly and to help the public recognize different
warning signals. FEMA recommends regularly scheduled tests with local political subdivisions accompanied by advance publicity to inform the public of the tests. 2-4. EMERGENCY ALERT
SYSTEM (EAS). a. The National EAS. The national level EAS provides the President with a readily available and reliable means of emergency communications with the American people. It
provides a capability in grave emergencies when national communications resources may have been damaged and the survival of the Nation is threatened. Provided on a voluntary, organized
basis, the EAS uses commercial radio and television broadcast services. When directed by the President, the FOC/FAOC activates the national level EAS and informs the State and local
governments of the EAS activation over NAWAS. Upon receipt of this announcement, local authorities will prepare to activate alerting devices that would cause the public to turn on their
radio or television sets to receive a Presidential message. It also advises State and local authorities that the EAS is not available for their use until deactivation of the national
level activation. b. State and Local EAS. The State and local EAS may be used to broadcast information on disasters or emergencies. Such use is encouraged especially for weather warnings
and other natural and technological disaster information. 2-5. EXERCISES. Federal, State and local agencies should exercise components of the alert system to ensure proper operation
and understanding of operational procedures. Exercises may be scheduled separately according to the needs of each part of the system or in combination by mutual agreement of responsible
authorities. 2-6. EMERGENCY INFORMATION COMMUNICATED BY NORTH AMERICAN AEROSPACE DEFENSE COMMAND (NORAD)/USSPACECOM. a. Possible Fire Report (PFR). The North American Aerospace Defense
(NORAD) Command sensors can detect fires or other unusual static heat sources throughout the 50 States. This information can provide initial warning to local authorities of a natural
or technological disaster. Confirmation of these reports is beneficial to both local authorities and the NORAD Command Center (NCC). Upon 2-5
March 30, 2001 FEMA Manual 1550.2 receipt of SWP confirmation and/or information relating to the PFR, the FOC provides the information to the NCC, FEMA Headquarters, or other agencies
as deemed necessary. NORAD has agreed to notify the FOC of such detection so that the FOC/FAOC may issue the following statement to the SWP(s) located near the sighting: "This is the
FEMA (Alternate) Operations Center. A possible fire has been reported at ______ degrees, ______minutes North, and ______degrees, ______minutes West. This is approximately______ miles
(North/South/East/West) from ____________ near ____________. Are you aware of any activity in this area? Do you have any patrols in the area to confirm this report?" "Note: This report
is NOT, REPEAT, NOT to be construed as a request for State or local authorities to take extraordinary means to search for a fire or incident. We simply request confirmation if resources
permit". b. Atmospheric Space Debris Reentry. The FOC/FAOC handles information concerning the reentry reentry of space debris as follows: (1) The United States Space Command (USSPACECOM).
The USSPACECOM Space Surveillance Center (SSC) provides Trajectory Impact Prediction (TIP) messages concerning space debris to many locations including the FOC/FAOC, which monitor the
data for the FEMA Director. Space debris includes rocket bodies, satellites, platforms, or other objects launched by any country. Most debris burns up during reentry, however some objects,
owing to their size and structure, survive reentry and impact the surface of the earth. There may be sightings and soundings (sonic booms) associated with the reentry. (2) The FEMA Operations
Center (FOC). The FOC passes reentry predictions involving the Continental United States (CONUS) and earth-trace information to the FEMA staff. The following is a sample of a typical
space debris announcement passed to the affected State Warning Points. "This is the FEMA (Alternate) Operations Center. (Satellite name) is in its final orbit and is expected to reenter
the Earth's atmosphere within the next 2 hours. The US Space Command will report on the probability of the satellite entering the atmosphere over North America within this 2-hour period.
Some satellite pieces may survive reentry; however, a precise impact location will not be available until post event computer data are processed or sightings and/or soundings are reported
and verified". (3) Impact Predictions. Precise impact predictions are not possible because of the shape and attitude of the object and atmospheric conditions at the time. Should debris
survive reentry and impact the United States or its possessions, NORAD/USSPACECOM will provide advisory messages to the FOC/FAOC containing information as to material on board and care
in approaching and handling. Coordinating Federal efforts in cleanup where radioactive debris is involved is the responsibility of FEMA. 2-6
FEMA Manual 1550.2 March 30, 2001 (4) Relay of Reports. The FOC/FAOC relays all reports of sightings, soundings, or impact information to the NORAD Command Center. c. Declaration/Dissemination
of an Attack Warning. NORAD notifies the FOC/FAOC of an actual attack upon the United States. All warning systems mentioned in the preceding sections would be used to disseminate the
Attack Warning. d. Additionally, the National Weather Service (NWS) offices that receive the Attack Warning over NAWAS would further distribute the warning over the National Oceanic
and Atmospheric Administration (NOAA) Weather Radio System and NOAA Weather Wire Service. Listed below are procedures for distributing the Attack Warning. (See Appendix C for detailed
procedures and terminology.) (1) FEMA Operations Centers. The FOC/FAOC receives integrated tactical warning and attack assessment information (ITW/AA) from the NORAD/USSPACECOM. They
also receive correlated event/threat information from the National Military Command Center (NMCC). After analyzing this information, the FOC/FAOC are responsible for declaring and disseminating
the Attack Warning over the NAWAS. (2) Warning Points. State and local warning points immediately forward the emergency information they receive over the NAWAS to local jurisdictions
by means of State and local warning/communications system and alert key government officials. The National Weather Service (NWS) distributes the Attack Warning to local jurisdictions
over its communications system. (3) Local Authorities. Local authorities sound the Attack Warning signal on public warning devices and distribute the Attack Warning declaration to the
public, news media, institutions, government agencies and industry. e. Termination of an Attack Warning. When ordered by the Director of FEMA or his/her authorized representative, the
FOC/FAOC announces over the NAWAS the termination of the Attack Warning. Local government officials may tailor the content of the message transmitted to communities to reflect existing
conditions. (See Appendix E for termination procedures.) 2-7
March 30, 2001 FEMA Manual 1550.2 CHAPTER 3 ELIGIBILITY REQUIREMENTS 3-1. BACKGROUND. This chapter reflects the eligibility requirements needed to ensure optimum use of the limited resources
available to support NAWAS operations. FEMA will use these eligibility requirements to maintain existing terminals and establish new terminals as available funding permits. 3-2. PRIORITY
CRITERIA. The following paragraphs define the priority criteria for NAWAS terminals. a. Priority 1. The terminal must be on the backbone (Federal Circuit) of the NAWAS circuit. These
drops include the FOC and FAOC, the FEMA MERS Operations Centers (MOCs), the ten FEMA Regions, and the Primary and Alternate State Warning Points. (Category 1 and 2 circuits) b. Priority
2A. (1) Primary and Alternate State Warning Points (State NAWAS circuits)1 (2) Local government Primary Warning Points staffed 24 hours a day with the capability and responsibility to
activate indoor and outdoor warning devices, or the local EAS activation and local government fan-out warning. (Category 3 circuits) c. Priority 2B. (1) Local government primary warning
points that are staffed 24 hours a day and have the responsibility for warning fan-out only. (Category 3 Circuits) (2) Federal, State and local warning points that have duplicate drops
and incur no recurring monthly charge. (Category 3 Circuits) (3) NAWAS extensions.2 (Category 3 Circuits) 1 Two NAWAS terminals are found at the State Warning Point. One terminal is
connected to the Federal circuit. The other terminal is connected to the State circuit, which supports warning dissemination to the remaining State and local NAWAS terminals defined
as Category 3. 2 NAWAS extensions are located at local government sites and do not qualify for Federal NAWAS funding. The cost of maintaining these extensions is the responsibility of
the local government. 3-1
FEMA Manual 1550.2 March 30, 2001 d. Priority 3. Federal agency NAWAS drops that are staffed 24 hours a day and have the responsibility for dissemination of warning information. Examples
are the National Weather Service drops that have a NOAA weather radio and the Tsunami Warning Centers. (Category 3 Circuits) e. Priority 4. (1) Federal, State and local NAWAS terminals
that are alternate warning points and incur a monthly recurring charge. (Category 3 Circuits) (2) Federal, State and local NAWAS terminals that are alternate warning points and staffed
during normal work hours (Monday through Friday). (Category 3 Circuits) f. Priority 5. Normally unstaffed locations. (Category 3 Circuits) 3-3. ELIGIBILITY CRITERIA. The following eligibility
criteria are used to determine whether an applicant should receive a NAWAS terminal: a. FEMA Regions and MOCs automatically qualify based on the FEMA All-Hazards warning mission. Each
location should develop its own warning plans and procedures. b. Warning Plan. A State or or local government applying for a new NAWAS terminal should reference an approved warning plan
or warning annex to a local government’s Emergency Operations Plan (EOP), which defines responsibility for distributing a warning. The applicant must have the communications and warning
resources available and operational to ensure effective dissemination of the warning to other jurisdictions and the civilian population as described in the warning plan. The State or
local Warning Plan must be consistent with the Warning Plan prepared by the next highest governmental authority. c. Population. The warning point should serve a population of at least
25,000, and be located at least 25 miles away from an existing NAWAS primary warning point. d. Facility Operations. (1) Primary Warning Point -Must be staffed 24 hours a day. (2) Federal
Warning Point -Must be staffed 24 hours a day. (3) Alternate Warning Point -Must have an alert plan for recall of key personnel for activation of the facility in an emergency and the
assumption of all warning point responsibilities. 3-2
March 30, 2001 FEMA Manual 1550.2 e. Emergency Power. The primary Warning Point must have emergency backup power. 3-4. OPERATIONAL REQUIREMENTS AND FUNDING INFORMATION. a. State Government
Installations. These include terminals in Primary and Alternate SWP, and the Governor's home or office. Installation charges and recurring costs for SWP and Governor's installations
are 100 percent FEMA funded. They must meet the following operational requirements: (1) Primary SWP (PSWP). (a) Act as PSWP for receipt and dissemination of warning and other emergency
information as prescribed in a State warning plan, annex, or similar document. (b) Act as the network control for the State portion of NAWAS. Ensures each station acknowledges receipt
of information intended for it, conducts tests, and receives and logs NAWAS equipment outage reports received from primary warning points within the State. (c) The NAWAS equipment location/SWP
facility must have 24-hour staffing. (d) Comply with operating procedures in this manual and participate in tests as prescribed by FEMA. (2) Alternate SWP (ASWP). (a) Provide backup
facilities and staffing for the PSWP during emergencies as prescribed in a current State warning plan, annex, or similar document. (b) Provide equipment in a protected EOC or facility
with procedures established and on hand to obtain an extended fuel supply. (c) Comply with operating procedures and participate in tests as prescribed by FEMA.(d) Provide reasonable
security for FEMA owned NAWAS equipment. 3-3
FEMA Manual 1550.2 March 30, 2001 (3) Governor's Office Installations. (a) Install only on State NAWAS circuits. (b) Provide reasonable security for FEMA owned NAWAS equipment. (c) Tested
weekly by ASWP to ensure equipment operability. b. Local Government Installations. This includes Primary and Alternate Warning Points. Installation charges and recurring costs for these
points are 100 percent FEMA funded. To be eligible as a Primary Warning Point, the local government must have a warning responsibility that covers one or more political subdivisions
(e.g., county or parish) and/or a jurisdiction of 25,000 or greater population. The warning point must be at least 25 miles from the closest primary warning point, unless the Chief,
Operations Centers Branch (OCB), Operations and Planning Division, Response and Recovery Directorate grants a waiver. The following requirements must be met: (1) Primary Warning Point.
(a) Provide equipment in a government facility with emergency service responsibility, such as police or fire, for further dissemination of warning as prescribed in the current local
warning plan, annex, or similar document. (b) Provide 24-hour staffing of facility where NAWAS equipment is installed. (c) Comply with operating procedures in this manual and participate
in tests as prescribed by FEMA and the applicable State. (2) Alternate Warning Point. (a) Provide equipment in a protected EOC or facility as prescribed in the current local warning
plan, annex, or similar document. The EOC or facility must have emergency backup power with procedures established and on-hand for obtaining an extended fuel supply. (b) Provide staff
and communications as a backup for the Primary Warning Point during emergencies. (c) Comply with operating procedures in this manual and participate in tests as prescribed by FEMA and
the applicable State. 3-4
March 30, 2001 FEMA Manual 1550.2 (d) Provide reasonable security for FEMA owned NAWAS equipment. (3) NAWAS Extensions. (a) Priority for approval of service is based on such factors
as ability to comply with criteria and urgency of warning requirements. State and local governments are billed directly by the appropriate serving telephone company for NAWAS extensions
and are not eligible for 100 percent FEMA funding. However, State and local offices of emergency management may apply their Emergency Management Performance (EMP) funds to pay for up
to 50 percent of extension costs. (b) To be eligible for a NAWAS extension, the user must meet the following criteria: · Furnish additional fan-out warning to other emergency entities
as provided for in approved local warning operating procedures. · Comply with operating procedures established in this manual and participate in tests as prescribed by FEMA and the
applicable State. · Provide reasonable security for FEMA owned NAWAS equipment. c. Federal Agency Installations. NAWAS service is provided to select Federal agency installations that
can supplement NAWAS through their own alerting systems. NAWAS service may also be approved for Federal Agency and military installations that have a significant population or work force
and an on-site capability for distributing NAWAS warning messages. (1) The Chief, Operations Centers Branch (OCB), Operations and Planning Division, Response and Recovery Directorate
must approve requests for installations and discontinuance of Federal agency service. If the decision is made to approve new service, based on demonstrated operational need, information
will be obtained as to availability of funds from the Policy and Oversight Division, Information Technology Services Directorate. Where it is shown that NAWAS service will enhance the
effectiveness and responsiveness of a Federal agency's day-to-day operations, FEMA may approve a NAWAS extension. However, the agency concerned must pay for the NAWAS installation and
recurring costs. (2) To obtain NAWAS service, the Federal agency must: (a) Prepare a warning point standard operating procedure (SOP) that outlines, at a minimum, the responsibilities
and actions to be taken by 3-5
FEMA Manual 1550.2 March 30, 2001 warning point personnel upon receipt of NAWAS information or upon activation of the EAS by the President of the United States. (b) Provide reasonable
access security for FEMA owned NAWAS equipment. (c) Comply with FEMA operational procedures in this manual for NAWAS, including agreements for circuit testing. Locations staffed only
during emergencies are granted waivers to circuit testing. However, a weekly check of the equipment is required to ensure equipment operability. 3-5. COMMITMENTS. In assessing eligibility
for NAWAS terminal installation and support, FEMA will review the following commitments: a. Compliance with the NAWAS Operating Procedures described in this manual and participation
in tests as prescribed by FEMA and applicable State or local government authority. b. Provisions of reasonable access security for FEMA owned NAWAS equipment. c. Immediate priority for
receipt and further dissemination of NAWAS information. d. Preparation of a warning point SOP that outlines as a minimum the responsibilities and actions to be taken by warning point
personnel with respect to an All-Hazards warning, accidental missile launch, and/or activation of the EAS by the President. 3-6. STATE AND LOCAL GOVERNMENT APPLICATION PROCESS. Potential
subscribers should examine their requirements in relation to the types of NAWAS service and request the minimal type of service most suited to their needs. When requesting NAWAS service,
use the following procedures: a. How to Apply. (1) State governments must apply in writing for NAWAS service to the FEMA Regional office serving their areas. (2) Local governments must
apply in writing for NAWAS service through their respective State emergency management agencies. After approval by the State, forward requests to the appropriate FEMA Regional office.
3-6
March 30, 2001 FEMA Manual 1550.2 b. Information Requested. Each request must include the following information: (1) A brief description of the service needed and a statement on how
the applicant meets the criteria and requirements for the service. (2) Complete address, including room numbers, and telephone number(s) of location where installation of equipment is
to occur. (3) Name, address, and telephone number of a person to be contacted regarding installation. (4) A brief description of the physical facility in which the NAWAS equipment is
to be installed, i.e. EOC, communications center, etc. (5) Information whether or not emergency power is available. (6) A record that the request has been staffed and approved by the
State’s emergency management office, and includes a complete billing address and telephone number for an extension user for coordination. 3-7. FEMA REVIEW AND IMPLEMENTATION PROCESS.
Staff at FEMA Headquarters will use the following procedures when reviewing NAWAS applications: a. Review applications against the priority criteria defined in Section 3-2. Approval
authority for installation and/or relocation has been delegated to the Chief of the Operations Centers Branch (RR-OP-OC). All requests will be submitted to the Chief, Operations Centers
Branch (RR-OP-OC), P.O. Box 129, Berryville, VA 22611. The Chief, OCB will coordinate all requests with the Director, Operations and Planning Division (RR-OP) Response and Recovery Directorate.
b. If determined by the Operations and Planning Division that approval of the application is consistent with the operational needs of NAWAS, the application will be forwarded to the
Information Technology Services (ITS) Directorate. ITS then determines if funds are available to support the installation of the terminal. c. If funds are available, ITS staff will arrange
for installation of the terminal. Installation will be coordinated with the FOC and FAOC to ensure they are aware of the new terminal. d. If no funds are available, inform the State
and give them the opportunity to suggest the elimination of other terminal(s) of a lower priority within its jurisdiction to allow for funding of the new terminal. 3-7
FEMA Manual 1550.2 March 30, 2001 e. NAWAS extensions are approved by the appropriate Regional Director and reported to the FOC or FAOC, depending on their location/region of assignment.
3-8. TIME NEEDED TO COMPLY WITH REPORTING REQUIREMENTS. The Office of Management and Budget (OMB) has approved FEMA's request to collect information from Federal, State, and local government
agencies and military installations for approval of NAWAS service. It is estimated to take an average of one (1) hour for each Federal, State, local agency, or military installation
to complete a request for service. The estimate includes the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing
and reviewing the request. 3-8
March 30, 2001 FEMA Manual 1550.2 3-9. SUMMARY OF ELIGIBILITY REQUIREMENTS. INSTALLATION TYPE 100% FEDERAL FUNDING 24 HOUR SERVICE EMERGENCY POWER WARNING DUTIES PROCEDURES & TEST TERMINAL
LOCATION STATE GOVERNMENT 1. State Warning Point -SWP Yes Yes Yes Yes Yes Anywhere 2. Alternate SWP Yes No Yes Yes Yes Protected Site (EOC) 3. Governor’s Installations Yes No No No No
Governor’s office or residence LOCAL GOVERNMENT 1. Primary Warning Point Yes Yes No Yes Yes Government Facility 2. Alternate Warning Point Yes No Yes Yes Yes Protected Site (EOC) 3.
NAWAS Extensions No No No Yes Yes Anywhere FEDERAL AGENCY Yes Yes No Yes Yes Not Applicable Figure 3-1: Eligibility Requirements 3-9
FEMA Manual 1550.2 March 30, 2001 CHAPTER 4 EQUIPMENT OPERATION 4-1. OPERATION OF EQUIPMENT. a. Local Warning Point Equipment. Most local warning points within the State have a model
207 instrument and use voice paging, as they do not have a ring capability. They must call the primary or alternate SWP and request a ring on the circuit if the local point they are
calling fails to respond to a voice call. When the handset is removed from its stored position the internal speaker is muted from the circuit. Replacing the handset back in the cradle
can restore normal operation and speaker monitoring. All local warning points are provided the following: (1) A wall mounted or desk-type unit and handset with push-to-talk bar that
should be depressed only while speaking. (2) Volume control on the front panel that adjusts as necessary to suit the individual/environment. b. State Warning Point (SWP) Equipment. A
model 204 instrument similar to that described above is provided to each SWP. In addition to this equipment there are two FEMA owned terminals. The first contains the bridging mechanism
(labeled S/N 205-XXXX) connecting the FOC/FAOC, the State's assigned FEMA Region/MERS Operations Center (MOC) and the SWP. This instrument ensures the SWP can transmit or receive information
from each of these entities. SWPs are always connected to these FEMA locations; the local warning points are not connected at all times. The second terminal (labeled S/N 209-XXXX) is
used to signal within the State. The SWP uses a signaling key to alert all local warning points on the State warning circuit. 4-2. WARNING CIRCUIT SIGNALING. The FOC/FAOC, FEMA Regional
Centers, FEMA MERS Operations Centers, SWPs, and the National Weather Service (NWS) terminals can generate audible alert tones even when the handset is off-hook. These locations may
also use voice paging. a. Warning Points to State Warning Points. With the exception of certain National Weather Forecast Offices, warning points wishing to contact the SWPs and/or other
NAWAS terminals within the State use voice paging. b. State Warning Points to Warning Points. If a SWP desires to signal another warning point within the State, they must depress the
signaling key. This will generate an alert tone at each NAWAS warning point or extension within the State. 4-1
March 30, 2001 FEMA Manual 1550.2 c. FEMA Regional Center (FRC) and MERS Operations Center (MOC). Each center is equipped with a model 204-XXXX terminal set which provides the capability
to generate an alert tone at all locations within their respective FEMA region. d. FEMA Operations Center (FOC) and FEMA Alternate Operations Center (FAOC). The FOC/FAOC can generate
an alert tone to all NAWAS warning points simultaneously or selectively to specific States/locations. They may also use voice paging. 4-3. TROUBLE REPORTING. a. Reporting Problems. Report
equipment or circuit problems as indicated below. When contacting AT&T call 1-800-332-4387 and select/press (1) for "Trouble on digital or analog data". Location With Problem: Reports
to: Reports to: Local Warning PSWP AT&T Point PSWP AT&T Advise FOC or FAOC FEMA Regions/MOCs AT&T Advise FOC or FAOC FOC/FAOC AT&T Advise FOC or FAOC NOTE: PSWPs East of the Mississippi
River (FEMA Regions 1 through 5) report to the FOC at (800) 634-7084. Users West of the Mississippi River (FEMA Regions 6 through 10) report to the FAOC at (800) 792-6196. b. Information
Required By The AT&T Call-Receipt Clerk. (1) Circuit number. (2) Individual reporting troubles and telephone number. (3) Trouble location and address. (4) Site contact and telephone
number. (5) Trouble description. 4-2
FEMA Manual 1550.2 March 30, 2001 c. Restoration of Service. Report restorations as follows: Location: Reports to: Local Warning Point PSWP over NAWAS PSWP Local Warning Points and FOC/FAOC
over NAWAS FEMA Regions/MOC FOC/FAOC over NAWAS d. NAWAS Terminal Malfunctions. Report as indicated after performing a self test as described in Appendix I: Location: Reports to: Warning
Point PSWP PSWP/MOCs
FOC FAOC e. Information Required. (1) Serial Number 2XX-XXXX. (2) Individual reporting trouble & their telephone number. (3) Trouble location/address. (4) Trouble description. 4-4. MOVEMENT
OF NAWAS EQUIPMENT. DO NOT MOVE NAWAS equipment, to include extension equipment, WITHOUT PRIOR APPROVAL FROM FEMA. Should it become necessary to move NAWAS equipment within the warning
point or to another building, the warning point supervisor will contact the State Emergency Management Officer to coordinate the move through channels with their assigned FEMA region.
The appropriate FEMA region will make arrangements and advise the the FOC and FAOC of the proposed move. Allow ninety working days for the FEMA region to issue work orders through channels
to complete the equipment move. 4-5. OWNERSHIP OF NAWAS EQUIPMENT. All NAWAS equipment is the property of FEMA. Broken and/or excess equipment should be returned to the FEMA Mt. Weather
Emergency Assistance Center (MWEAC). Address packages containing NAWAS equipment to: 4-3
March 30, 2001 FEMA Manual 1550.2 FEMA Telecommunications Service Center (Bldg. 413) 19844 Blue Ridge Mountain Road Bluemont, VA 20135 Address questions regarding the return of NAWAS
equipment to the FEMA liaison at the MWEAC from 8 to 5 Eastern Time, Monday -Friday, telephone (540) 542-2068 or email at nawas-tsc@fema.gov. 4-6. NAWAS DATABASE. The FOC, FAOC and FEMA
Telecommunications Service Center maintain a database of all NAWAS circuits, equipment, their locations, and individual point of contacts. Each NAWAS location should provide at least
one 24-hour point of contact number for this database. Please forward any changes in equipment location, contacts or telephone numbers to nawas-tsc@fema.gov. 4-4
FEMA Manual 1550.2 March 30, 2001 CHAPTER 5 NAWAS TERMINALS 5-1. GENERAL. The Communications Laboratories (ComLabs) Micro Controller Unit (MCU) terminal is a four wire telephone instrument
designed to terminate telephone company (TELCO) provided, private line, category two, voice grade circuits. All circuitry is contained in the terminal unit and is suitable for either
desk or wall installation. Perform installation by plugging in the modular jack in the same manner, as you would install a residential telephone. A 14-volt AC transformer that plugs
into any AC outlet normally powers the terminal. If required, 24 volts DC can also power the terminal. The terminal includes an internal amplifier, speaker, volume control, visual warning
indicator (light), push-to-talk button on the hand-set; and all circuitry required for decoding an alert signal. The MCU terminal supports two, three, or four digit individual addressing,
group codes A0 to A9, multiple group inclusion A1 through A4, all call, ring back confirmation tones, and selectable privacy. a. The FOC/FAOC, FEMA Regional Centers, MERS Operations
Centers, Primary State Warning Points, and the National Weather Service (NWS) stations can generate an alert tone on the NAWAS. The terminal will ring for approximately nine seconds
to alert station personnel that a message follows. The light on the terminal will illuminate and remain illuminated until the user removes the handset from the cradle or the initiating
party resets it. b. After receipt of an alert tone, station personnel should monitor the network for the announcement that follows. The user should adjust the front-panel volume control
as necessary to suit the environment. Once called, the user can reply by lifting the handset and depressing the push-to-talk bar while speaking. Do not press the push-to-talk while receiving
traffic. When removed from the cradle the handset causes the muting of the internal speaker in the terminal. Replacing the handset restores normal operation and speaker monitoring. c.
One feature of the terminal is the user "self test" which allows a quick and simple assessment of instrument integrity. (Appendix I explains this procedure.) This test is essentially
a loop-back of the transmit and receive functions. The user being able to hear himself/herself in the earpiece of the handset and the internal speaker contained in the terminal indicates
a successful test. 5-2. INSTALLATION. There are two stages of NAWAS terminal installation. The first stage includes installation of the new circuit by the telephone technician. The user
performs the second stage by connecting the NAWAS terminal to the network by plugging the telephone into the RJ-14C jack installed by the technician. 5-1
March 30, 2001 FEMA Manual 1550.2 a. AT&T is only responsible for the circuit to the demark point. A designated local contractor is responsible from this point to the RJ-14C jack. b.
Each user must connect the terminal to the circuit immediately following the completion of the technician's work. Perform a full functional test with the FEMA Operations Center or the
State Emergency Operations Center (SEOC). This ensures proper installation of the jack before the technician departs. 5-3. TERMINAL MODELS. There are several different types of terminals
used at the various warning points. The following figure summarizes the model type and location where it is used. Model explanations appear in detail beginning with item 5-4. LOCATION
204 205 207 208 209 210 State X X X X Primary X X X X Alternate X X X X MOC X NWS X X X X Figure 5-1: Terminal Models 5-4. COMLABS MODEL 204-XXXX MCU (KEYPAD) TERMINAL. Micro Controller
Unit terminal designed to expand the use of the Regional circuits on the NAWAS. They are used in conjunction with the 205-XXXX bridging equipment at each Primary/Alternate State Warning
Point. By using the keypad, the terminals can contact users on each State circuit by activating the bridge for each State and then signaling all users in the State by pressing the "*"
button. Additionally selective signaling capabilities enable each terminal to dial both individual and group stations of other users on the regional circuits. 5-5. COMLABS MODEL 205-XXXX
NAWAS SYSTEM BRIDGE (ONE OR TWO WAY. This bridging unit allows State terminals to initiate a bridge connection with the Region circuit. To enable the State circuit to bridge switch #2
should be in the CLOSED (ON) position. To disable the State circuit from bridging, switch #2 should be in the OPEN (OFF) position. 5-6. COMLABS MODEL 207-XXXX STANDARD TERMINAL. Standard
terminal found at State and NWS locations. Set-up of this terminal is a simple procedure. Immediately upon receipt of the terminal package, inspect it for shipping damage. Report any
damages to to the appropriate FEMA Operations Center or State EOC as soon as possible. The package should include one of each of the following items: telephone base housing; push-to-talk
handset; AC transformer with power cord; 14' telephone line cord; 12' coiled handset cord, and Operators manual. 5-2
FEMA Manual 1550.2 March 30, 2001 a. Insert the modular plug of the coiled handset cord into the receptacle located on the left side of the terminal. Connect the other end of the coiled
cord to the receptacle located in the base of the terminal handset. b. Insert one end of the 14' line cord into the receptacle located on the rear of the terminal instrument. Connect
the other end of the cord to the RJ-14C jack installed by the telephone company. The modular line cord is a standard 4-conductor line cord; use longer lengths if required. c. Plug the
AC power cord into the jack provided on the rear of the terminal. d. Plug the AC transformer into an AC outlet that has power supplied on a 24-hour basis. e. Test the terminal by establishing
communications with the FOC/FAOC, FEMA Region, or EOC. Should the terminal not work properly, perform the Self-Test. (Refer to either the pull out card located under the terminal or
the procedures in Appendix I). 5-7. COMLABS MODEL 208-XXXX NAWAS SYSTEM BRIDGE. Old one-way bridge used at some alternate warning points. 5-8. COMLABS MODEL 209-XXXX SIGNALING UNIT.
This unit is designed to allow State Warning Points (SWPs) to transmit an alert signal to those stations served by their statewide warning circuit. It is identical to the standard NAWAS
terminal except for the addition of two front-panel push buttons labeled “SIGNAL” and “RESET". a. These two push buttons are operational when the DISCONNECT/MANUAL switch located on
the 204-XXXX terminal is in the MANUAL position. The normal position of the DISCONNECT/MANUAL switch is in the DISCONNECT position. This position allows the Federal/State bridge to connect
and disconnect automatically upon receiving the corresponding code. b. The MANUAL position should only be used if there is a failure of the DISCONNECT position. The SWP generates the
alert signal by depressing the button labeled "SIGNAL". The terminal controls the duration of the signal transmitted. Once the signal is sent, the terminals in the field will activate
their warble warble tone alert ringer, and continue for approximately 9 seconds. The red light on the front panel of the receiving terminals will illuminate and remain on until it resets.
The system will reset upon receipt of the reset signal. c. To reset the terminal, remove the handset from the cradle and replace it. The button labeled "RESET" will turn off both the
audible signal and the red lamp on the front of the terminal if it does not time out after 9 seconds. By depressing the signal 5-3
March 30, 2001 FEMA Manual 1550.2 button, followed by the reset button, the warning point has the ability to control the duration of the alert signal. This allows the warning point to
"ring" the stations on the NAWAS for a shorter duration than the standard 9 seconds. 5-9. COMLABS PREMISE BRIDGE MODEL 210-XXXX. When connecting more than three and up to five terminals
on the same circuit install this six-port bridge. Locations where these are used include some FEMA Federal Regional Centers (FRCs), the Mobile Emergency Response Support (MERS) Operations
Centers, the National Weather Service (NWS) and the National Hurricane Center (NHC). The Warning Point can respond from any position within the facility because each terminal functions
as an individual unit. To install the bridge, plug one end of a telephone cord into the RJ-14C jack, and the other end into the first port on the terminal bridge marked "circuit". Plug
the terminal bridge AC transformer into any standard electrical outlet. To connect five NAWAS terminals into the bridge, plug the individual terminals into one of the five terminal ports
on the terminal bridge. 5-10. CONNECTING 205 (BRIDGING) TO 209 (SIGNALING) SETS. a. Install power supplies by inserting the power plug in the rear of the units. b. Install a 14' modular
cord between the modular jack on the rear of the Signaling (209-XXXX) terminal (the one with the two push buttons located on the front panel labeled "SIGNAL" and "RESET") and the modular
jack labeled phone on the rear of the Bridging (204-XXXX) terminal. c. Install a modular line cord from the TELCO provided RJ 14C jack on the Regional circuit to the modular jack labeled
"REGION" on the rear of the bridging (208-XXXX) terminal. d. Install a modular line cord from the TELCO provided RJ 14C jack on the State circuit to the modular jack labeled "STATE"
on the rear of the bridging (204-XXXX) terminal. e. The switch on the bridging terminal labeled "AUTOMATIC" and "MANUAL" should be left in the "AUTOMATIC" position at all times, unless
the the "AUTOMATIC" feature is inoperative. The switch allows the State Primary/Alternate Warning Points to connect the REGION and STATE circuits. 5-11. DIALING CODES. To streamline
weather warnings and coordination on the NAWAS, many NOAA terminals were converted from the State side of the circuit to the Federal side. This allows each NOAA terminal to direct dial
any location within its region. Appendix J lists the National Weather Service stations and Primary State Warning Points on the Federal/National side of the circuit. 5-4
FEMA Manual 1550.2 March 30, 2001 a. The NOAA terminals have two-way communications with a single State or NOAA terminal. They can group call multiple States and/or multiple other NOAA
terminals and connect with the Federal terminals. Primary State Warning points have been provided with bridging equipment to contact users on each State circuit. To use this system,
activate the bridge for the State with the corresponding four digit code and signal all users in that State by pressing the "*" button. b. The NAWAS numbering plan allows two-digit alphanumeric
dialing for group (conference) calls and four-digit numeric dialing to reach individual terminals on the regional circuit. The two-digit code for each State comes from the standard Federal
Information Processing System (FIPS). (The table in Appendix J displays the FIPS Codes and four digit-dialing plans.) c. The FOC/FAOC have the ability to cancel any activated bridges.
An activated bridge is a connection that combines two circuits. The Control Circuit allows the NOAA Centers to dial each other directly using the multi-addressing terminals. d. Local
Warning Points desiring to contact a NOAA terminal will contact their Primary State Warning Point. The Primary SWP connects the NOAA terminal to the local terminal by bridging via a
4-digit code. The local terminal may then communicate with the NOAA terminal. 5-12. FOUR DIGIT DIALING. The first two digits of each terminal address represent the State according to
the standard FIPS codes illustrated in Appendix J. The third and fourth digits of the terminal address, listed below, specify certain standardized function/endpoints within each State:
a. XX01 -NAWAS System Bridge Primary Warning Point. -Terminal model 205-XXXX. XX05 -Regional Terminal (PWP). -Terminal model 204-XXXX. b. XX02 -NAWAS System Bridge Alternate Warning
Point -Terminal model 205-XXXX. XX06 -Regional Terminal (AWP). -Terminal model 204-XXXX. c. XX10 through XX49 -National Weather Service (NWS) terminals. d. XX50 through XX99 -Non NWS
terminals. 5-5
5March 30, 2001 FEMA Manual 1550.2 5-13. CONFERENCE GROUP DIALING PLAN. The 2-digit alphanumeric dialing plan for conference calling follows: A1 -Activates general-purpose terminals
on the Regional circuit. A2 -Activates all NOAA (NWS) terminals on the Regional circuit. A8 -Activates all NAWAS State Bridges within the Regions. Depressing the "*" button after the
A8 allows two way access with all users in each State. A* -Alerts all Regional and State terminals on the system. A# -Resets all Regional and State terminals that have been alerted.
# -Resets the module (turns off lights) on the State circuit only. C -Resets all older terminals. C10 -Activates a terminal speaker by depressing “C10". The handset must be in the cradle.
5-14. CALLING PROCEDURES. The "XX" in the following equates to the two-digit FIPS code for the State you wish to call. a. To call all local warning points within a particular State dial
XX01 and press the "*" button. To end the call dial A#. b. To call the SWP dial XX05. To end the call, hang up. c. To call all local warning points within a State and the Primary Warning
Point dial XX05 XX01 and press the "*" button; to terminate the call dial A#. 5-15. CALLING NOAA TERMINALS AND SWPS INDIVIDUALLY. a. Lift the handset and dial the appropriate code. b.
Two beeps indicate a ring at the station dialed. c. Depress the push-to-talk button and speak into the handset. If you talk before the called terminal lifts the handset from their cradle,
they will hear you on the speaker of their telephone. Otherwise, they will hear you on the handset. d. When finished, dial A#C to clear all connections you have established. 5-6
FEMA Manual 1550.2 March 30, 2001 5-16. CALLING ALL USERS WITHIN A STATE. a. Lift the handset and dial the code (XX01) for the State bridge, followed by the "*" button. The star activates
the ring on the State circuit. The Primary Warning Point (PWP) will hear the conversation in the speaker of the MCU terminal. If you wish to signal the PWP so that the ringing tone and
light alert them, you must dial an additional 4-digit code. b. Press the push-to-talk button to talk to all of the parties connected. c. The speakers on both terminals at the primary
warning point are suppressed to avoid interference problems during activation of the two-way bridge. Consequently, the only way to alert the primary warning points itself and make it
part of the party line conversation is to specifically dial the 4-digit code for that terminal. All the codes can be dialed in sequence, the only constraint being that the bridge code
(XX05) must be dialed prior to the (*). (1) To signal all users on a State circuit including the PWP dial the following: XX01 followed by XX05 followed by the "*". (2) To signal ALL
users on a State circuit EXCEPT for the PWP dial XX01 followed by the "*". (3) When finished, dial A#C to clear all the established connections. 5-17. CALLING A GROUP OF SIMILAR OFFICES.
a. Lift the handset and dial the group number for the intended group (i.e., “A2” for NOAA terminals). b. Talk to the members of the group in a conference call. c. When finished, dial
A#C to clear all connections you have established. 5-18. USERS WITHIN A STATE CALLING A NOAA OFFICE. a. Local terminals that need to contact a NOAA station on the Regional circuits must
first call the State PWP and request activation of a two-way bridge. The PSWP can then either manually activate the bridge or call the NOAA station on the Regional circuit and request
that they activate the bridge by dialing the appropriate individual or group code. 5-7
March 30, 2001 FEMA Manual 1550.2 b. In the event, the PSWP does not respond, request the Alternate SWP call the NOAA station and have them initiate activation of the bridge and communication
with the local terminal. c. When the State and regional circuits are bridged, all users on both circuits will hear the transmission. However, the transmission will not be broadcast over
the speaker on the State terminal making the broadcast. Because of this feature, the bridge can only be tested calling users on either the regional or State circuit and having them respond
via the handset. Neither of the speakers will broadcast a conversation that occurs using a terminal connected to the regional circuit. 5-8
FEMA Manual 1550.2 March 30, 2001 CHAPTER 6 ROUTINE OPERATING PROCEDURES 6-1. GENERAL. This chapter provides routine recommended procedures for personnel who operate NAWAS equipment
at the warning points and other locations. 6-2. WARNING POINT CONTROL LOG. a. Each warning point should maintain a complete and accurate record of daily NAWAS events. Entries should
include, but are not limited to, the following: (1) Date and time call received. (2) Type of call and summary of message. (3) Equipment and/or circuit malfunction. (4) Time of reporting
malfunction. (5) Time malfunction cleared. b. Maintain logs as required. 6-3. WARNING CIRCUIT. a. All locations connected to the circuit hear ALL voice transmissions. To ensure the immediate
availability of NAWAS for emergency operations, strict control of the circuit is required at all times. b. All warning centers/points will continuously monitor the circuit and, when
necessary, take immediate action to stop unauthorized use of the circuit. 6-4. CIRCUIT TESTS. a. Test Schedule. The Chief, FEMA Operations Centers Branch prescribes procedures for conducting
tests of the NAWAS warning circuits. State Warning Point tests occur twice a day, with initiation of the test alternating between the FOC and FAOC. The tests will be conducted between
the hours of 1200 -1400 Eastern Time and 2200 -2400 Eastern Time. Tests of the National Weather Service (NWS) stations occur once a day. The Western NWS stations test occurs at 1330
Eastern Time and the Eastern NWS stations test occurs at 2030 Eastern Time. 6-1
March 30, 2001 FEMA Manual 1550.2 NOTE: Stations not tested on a regular basis such as the National Hurricane Center, Pacific and Alaska Tsunami Warning Centers, and FEMA Pacific Area
Office, are encouraged to initiate a test call to the FOC/FAOC to ensure their equipment/circuit is working properly. ASWPS are also encouraged to test their equipment/circuit with their
respective SWP. b. Responsibilities. Normally the FOC conducts tests with FEMA Regions 1 through 5 and the FAOC conducts tests with FEMA Regions 6 through 10. However, both Operations
Centers have the capability to conduct the test(s) with either side and/or all Regions simultaneously. The procedure for the national SWP test follows. The procedures for the NWS are
similar with the main difference being in the terminology. (1) After connecting the appropriate regional circuits (1-5 or 6-10), the FEMA Operations Center initiating the test sends
an alert tone. All warning points and NAWAS extensions receive the alert tone and hear the Operations Center announcement. The FOC/FAOC will announce: SWP TEST TERMINOLOGY: "This is
the FEMA (Alternate) Operations Center with a test of the National Warning System. I say again. This is the FEMA (Alternate) Operations Center with a test of the National Warning System.
Stations standby for roll call". NWS TEST TERMINOLOGY: "This is the FEMA (Alternate) Operations Center with a NAWAS test for the National Weather Service Stations. I say again. This
is the FEMA (Alternate) Operations Center with a NAWAS test for the National Weather Service Stations. Stations standby for roll call". (2) The FOC/FAOC may disconnect the warning points
below the State level then poll each station. Each will acknowledge by stating: "(Name of station) Test." i.e., "OHIO TEST". (3) The FOC/FAOC recalls any station not acknowledging at
the end of the poll by stating, "Re-polling (Name of station)". (4) The FEMA Operations Center that initiated the test will then end the test by stating: "This is the end of the test.
FEMA (Alternate) Operations Center Out at (Time) Zulu". (5) The FOC/FAOC disconnects the conference. 6-2
FEMA Manual 1550.2 March 30, 2001 (6) Should a station fail to acknowledge after recall, the FOC/FAOC will call that location by selecting the regional circuit and dialing the four-digit
code (if applicable). If no contact over 4-digit dial, contact the station(s) by telephone. If it is determined that there is a line trouble, report the failure to the AT&T call-receipt
clerk (1-800-332-4387 – select/press 1 for "Troubles on digital or analog data".) for repair. If the local telephone instrument is defective, inform the appropriate FEMA Operations Center
after performing a self-test. (See Appendix I -Terminal Self-Test). 6-5. CALLING PROCEDURES. To voice page the FOC on the NAWAS circuit use "FEMA OPS" to call them. To voice page the
FAOC use "FEMA ALTERNATE".. Use the following procedures to call one or more locations. a. CALLING PARTY: Ensure the circuit is not in use, then initiate an alert or voice page. NOTE:
If a station has emergency traffic they may break into the test and state that they have emergency traffic to pass; e.g., National Weather Service severe weather warnings. b. CALLING
PARTY: Announces: "Location(s) this is (calling party)". For example, announce: "FEMA Ops this is FEMA Region 1". OR "California, Oregon and Washington, this is the FEMA Alternate".
OR "(Local warning point) this is the State Warning Point". OR "State Warning Point this is (local warning point)". c. CALLED LOCATION: Responds: "This is (location) go ahead". For example:
"This is California, go ahead". NOTE: In the event the warning point initiating the call is unable to receive an acknowledgment from the warning point being called, the SWP can be requested
to signal on the circuit to alert the called warning point. 6-3
March 30, 2001 FEMA Manual 1550.2 d. CALLING PARTY: Passes the message to the called location(s). e. CALLING PARTY: Ask the called location(s) if they copied the message. "California
did you copy". f. CALLED LOCATION: Responds/acknowledges the message by stating: "(Location) copies." -in this example "California copies". NOTE: If there are several stations receiving
the message, suggest you conduct a poll of all stations to ensure receipt and understanding of the message. g. CALLING PARTY: Terminates the transmission by stating: "(Calling Party)
out at (time) Zulu". For example, "FEMA Operations Center out at 1756 Zulu". 6-6. TIME USAGE AND CONVERSION. a. All times used in NAWAS transmissions from the FOC/FAOC will be in Greenwich
Means Time (GMT), Universal Coordinated Time (UCT) or 24-hour Zulu time to prevent any misunderstanding of when an event occurs. These terms are interchangeable. They may be derived
from the U.S. time zones in the following manner -add:(1) Five hours to Eastern Standard Time (EST). (2) Six hours to Central Standard Time (CST). (3) Seven hours to Mountain Standard
Time (MST). (4) Eight hours to Pacific Standard Time (PST). (5) Nine hours to Yukon Standard Time/Alaskan Standard Time (AST). (6) Ten hours to Hawaiian Standard Time (HST). NOTE: During
daylight savings time add 1 hour less to your 24-hour time to obtain GMT (Zulu)/UCT time. For example, if you were located in the Eastern Time zone during daylight savings time (DST)
you would add 4 hours to local time to obtain GMT (ZULU)/UCT time. Arizona and Hawaii do not change to DST. 6-4
FEMA Manual 1550.2 March 30, 2001 Time conversion chart: TIME CONVERSION CHART GREENWICH MEANS TIME (ZULU) EASTERN STANDARD TIME CENTRAL TIME MOUNTAIN TIME PACIFIC TIME ALASKAN TIME
HAWAIIAN TIME 0001 1900/7 PM 1800/6 PM 1700/5 PM 1600/4 PM 1500/3 PM 1400/2 PM 0100 2000/8 PM 1900/7 PM 1800/6 PM 1700/5 PM 1600/4 PM 1500/3 PM 0200 2100/9 PM 2000/8 PM 1900/7 PM 1800/6
PM 1700/5 PM 1600//4 PM 0300 2200/10 PM 2100/9 PM 2000/8 PM 1900/7 PM 1800/6 PM 1700/5 PM 0400 2300/11 PM 2200/10 PM 2100/9 PM 2000/8 PM 1900/7 PM 1800/6 PM 0500 2400/Midnight 2300/11
PM 2200/10 PM 2100/9 PM 2000/8 PM 1900/7 PM 0600 0100/1 AM 2400/Midnight 2300/11 PM 2200/10 PM 2100/9 PM 2000/8 PM 0700 0200/2 AM 0100/1 AM 2400/Midnight 2300/11 PM 2200/10 PM 2100/9
PM 0800 0300/3 AM 0200/2 AM 0100/1 AM 2400/Midnight 2300/11 PM 2200/10 PM 0900 0400/4 AM 0300/3 AM 0200/2 AM 0100/1 AM 2400/Midnight 2300/11 PM 1000 0500/5 AM 0400/4 AM 0300/3 AM 0200/2
AM 0100/1 AM 2400/Midnight 1100 0600/6 AM 0500/5 AM 0400/4 AM 0300/3 AM 0200/2 AM 0100/1 AM 1200 0700/0700/7 AM 0600/6 AM 0500/5 AM 0400/4 AM 0300/3 AM 0200/2 AM 1300 0800/8 AM 0700/7
AM 0600/6 AM 0500/5 AM 0400/4 AM 0300/3 AM 1400 0900/9 AM 0800/8 AM 0700/7 AM 0600/6 AM 0500/5 AM 0400/4 AM 1500 1000/10 AM 0900/9 AM 0800/8 AM 0700/7 AM 0600/6 AM 0500/5 AM 1600 1100/11
AM 1000/10 AM 0900/9 AM 0800/8 AM 0700/7 AM 0600/6 AM 1700 1200/Noon 1100/11 AM 1000/10 AM 0900/9 AM 0800/8 AM 0700/7 AM 1800 1300/1 PM 1200/Noon 1100/11 AM 1000/10 AM 0900/9 AM 0800/8
AM 1900 1400/2 PM 1300/1 PM 1200/Noon 1100/11 AM 1000/10 AM 0900/9 AM 2000 1500/3 PM 1400/2 PM 1300/1 PM 1200/Noon 1100/11 AM 1000/10 AM 2100 1600/4 PM 1500/3 PM 1400/2 PM 1300/1 PM
1200/Noon 1100/11 AM 2200 1700/5 PM 1600/4 PM 1500/3 PM 1400/2 PM 1300/1 PM 1200/Noon 2300 1800/6 PM 1700/5 PM 1600/4 PM 1500/3 PM 1400/2 PM 1300/1 PM 6-5
FEMA Manual 1550.2 March 30, 2001 CHAPTER 7 EMERGENCY OPERATING PROCEDURES 7-1. GENERAL. This chapter provides procedures for warning points that are responsible for receiving warning
information and relaying it throughout their area of responsibility. To accomplish this mission in an efficient manner, warning point personnel must be thoroughly familiar with their
emergency operating procedures and State/local emergency plans. 7-2. ALTERNATE PROCEDURES. Communication difficulties may occur during the dissemination of a warning or other emergency
information. The FOC/FAOC, FEMA MERS Operations Centers, and/or FEMA Regions will use any means available to relay the information to the warning points. 7-3. DECLARATION/DISSEMINATION
OF ATTACK WARNING. The FOC/FAOC automatically declares and disseminates the Attack Warning over NAWAS when the Commander-in-Chief, North American Aerospace Defense Command (CINCNORAD)
declares Air Defense Emergency (ADE) Warning RED. ADE RED signifies that an attack upon the United States is imminent or taking place. Additionally, there are limited threat scenarios
by which terrorists or countries of concern may attempt to harm U.S. interests. These scenarios may require an announcement of a limited Attack Warning to a specific area or region of
the United States. The Attack Warning will be disseminated immediately over NAWAS. When directed by the President/White House Communications Agency (WHCA) Communications Officer, the
FOC/FAOC will activate the national level Emergency Alert System (EAS) to alert designated news/broadcast agencies. (Appendix C provides procedures for declaration/dissemination
of the Attack Warning.) 7-4. TERMINATION OF ATTACK WARNING AND NATIONAL LEVEL EAS OPERATION. The Director of FEMA or his/her authorized representative declares the termination of Attack
Warning. The FOC/FAOC will then transmit this message over NAWAS. (Appendix E provides procedures for termination of an Attack Warning and/or National level EAS operation.) 7-5. ACTIVATION
OF NATIONAL LEVEL EAS. Upon activation of the national level EAS, the FOC/FAOC makes a special EAS announcement over NAWAS to all warning points. All warning points should immediately
relay this announcement throughout their area of responsibility according to the State and local emergency preparedness plans. Normally, activation of the national EAS occurs in conjunction
with an Attack Warning announcement. (Appendix D provides procedures and terminology for the national level EAS activation.) 7-1
March 30, 2001 FEMA Manual 1550.2 7-6. SPECIAL EMERGENCY INFORMATION. a. Peacetime Disasters. (1) Use the NAWAS to relay special emergency information concerning a potential or actual
disaster. This includes earthquakes, fires, tidal waves, severe weather, hurricanes, tornadoes, etc. The information may originate from either above or below a warning point. In either
case, the warning point will relay the information according to established procedures. All messages should be short but give essential details. (2) The type of information needed for
a potential or actual emergency appears in Appendix F. b. Accidental Missile Launch Warning. (1) NORAD detects ballistic missile launches worldwide. If a missile is accidentally launched
and threatens the U.S., NORAD would provide FEMA with that warning and whether the missile was nuclear capable. The FOC/FAOC would in turn pass the warning information over the NAWAS.
(2) An accidental nuclear detonation may occur without warning. Should this occur, the FOC/FAOC are authorized to disseminate fallout warning information to localities using applicable
NAWAS messages provided in Appendix G. 7-7. REPORTING TRANS-ATTACK AND POST-ATTACK INFORMATION. a. Nuclear Detonation (NUDET) Information. (1) State Warning Points report trans-attack
and post-attack information to their respective FEMA Operations Center or MERS Operations Center in the form of NUDET and/or other types of FLASH reports. (Appendix G provides the format
and type of information required in these reports.) (2) To transmit the mass data required for precise location of ground zero, detailed fallout pattern plotting, and analysis of the
fallout threat States may use the Incident Command Reporting System (ICRS), facsimile systems or electronic mail. There is a need for prompt reports on locations of detonations if an
enemy attack with nuclear weapons occurs. From these reports and fallout wind vector data, fallout area forecast plots can be developed to prepare warning for issuance to areas expected
to be subjected to the fallout effects. (3) States transmit Flash NUDET reports on nuclear detonations over NAWAS. These are one-time initial reports from the local level (civil and
military) which 7-2
FEMA Manual 1550.2 March 30, 2001 indicate only the area hit and the time of detonation, unless information that is more specific is immediately available. Reports should be forwarded
to the State Warning Point for relay to their respective FEMA Operations Center and/or MERS Operations Center.b. Fallout Information. Local, State and Federal warning points may use
the NAWAS to broadcast fallout information. If requested and if information is available, the FOC/FAOC will relay information over NAWAS. 7-3
March 30, 2001 FEMA Manual 1550.2 APPENDICES
FEMA Manual 1550.2 March 30, 2001 APPENDIX A DEFINITION OF TERMS
March 30, 2001 FEMA Manual 1550.2 APPENDIX A DEFINITION OF TERMS Air Force Rescue Coordination Center (AFRCC). Located at Langley Air Force Base (AFB), Virginia. The AFRCC requests information
relating to missing or overdue aircraft from the FOC/FAOC. The FOC/FAOC in turn uses the NAWAS to request information from the State Warning Point(s) in the area of the event. The State(s)
may then pass the information to agencies on their statewide NAWAS circuit for assistance. Note: The AFRCC has a coordinating officer that coordinates memorandums of understanding (MOUs)
with each State as to how they want the information processed. Alternate Warning Point. See Warning Point. Emergency Alert System (EAS). Formerly known as the Emergency Broadcast System
(EBS). This is a nationwide network of broadcast stations and cable systems that allows the President to communicate with the public in the event of an attack, a threat of war, and a
state of public peril, disaster, or other national emergency. The authority to activate the national level EAS rests solely with the President of the United States. Upon activation,
participating broadcast stations and cable systems must preempt normal programming to carry the Presidential messages live. Emergency Operations Center (EOC). A site from which civil
government officials can exercise direction and control of emergency operations. EOCs can be found at the Federal, State, and local levels of government. Federal Emergency Management
Agency (FEMA) Operations Center(s). The primary FEMA Operations Center is located at the FEMA Mount Weather Emergency Assistance Center (MWEAC) in Bluemont, Virginia. The FEMA Alternate
Operations Center (FAOC) is located within the Mobile Emergency Response Support (MERS) Detachment’s Operations Center (MOC) in Thomasville Georgia. The FAOC has the capability to function
as the primary operations center if the situation dictates. Both of these centers operate 24 hours a day. Federal Warning Point (FWP). NAWAS terminals located at a Federal installation
installation and having a responsibility for further dissemination of critical emergency information, including Attack Warning. An example of a FWP is the National Weather Service (NWS)
stations. Flash Report. A short message that gives the first available details of an incident such as a bombing, disaster, etc. Greenwich Mean Time (GMT). This is the mean solar time
at the Greenwich Prime Meridian, Greenwich England. Also called Zulu time or Universal Coordinated Time (UCT). A-1
FEMA Manual 1550.2 March 30, 2001 Local Warning Point. A facility in a city, town, or community that receives warnings and activates the public warning system in its jurisdictional area
of responsibility. Mobile Emergency Response Support (MERS) Detachment. There are five geographically located detachments. They are located in Bothell, Washington; Denton, Texas; Denver,
Colorado; Maynard, Massachusetts; and Thomasville, Georgia. These FEMA assets provide prompt and rapid multi-media communications, information processing, logistics, and operational
support to federal, State, and local agencies during emergencies and disasters for government response and recovery operations. All MERS Detachments are self-sufficient and require no
outside support for communications, logistics, operations or maintenance of all assigned systems and associated ancillary devices. MOC. There are five FEMA Mobile Emergency Response
Support (MERS) Operations Centers (MOCs) that are staffed 24-hours a day. They are located at each of of detachment locations mentioned above. In addition to their normal operations
center duties they function as point of contacts for the FEMA Regions during non-duty hours for both NAWAS and other State incidents. Each MOC is responsible for two FEMA Regions. (See
map in Appendix L for regional responsibilities.) National Control Circuit. The National Control Circuit links the FOC, the FAOC, various National Weather Service Headquarter Offices,
the National Earthquake Information Center (NEIC), Golden, Colorado, the White House Communications Agency (WHCA), and the Red Cross/Disaster Communications. National Military Command
Center (NMCC). This is the primary military operations center to execute the responsibilities assigned to the National Military Command System (NMCS). The NMCC is staffed 24 hours a
day. National Military Command System (NMCS). Provides the National Command Authorities (NCA) and the Joint Chiefs of Staff (JCS) with means for making accurate and timely decisions,
including the communications required for rapid and reliable transmission of those decisions to all U.S. Military Forces under conditions of peace and war. NAWAS Extension. A NAWAS terminal
not meeting the eligibility criteria for full FEMA funding but having a warning responsibility may qualify for 50 percent reimbursement of recurring charges. National Weather Service
(NWS). The NWS is part of the National Oceanographic and Atmospheric Administration (NOAA). Recently, most of the NWS links to NAWAS were reconfigured to link to the NAWAS regional circuit,
as a way to enhance the speed with which critical weather information is disseminated to various users. The A-2
March 30, 2001 FEMA Manual 1550.2 enhancement also allows NWS links to have two-way communications with users on the State circuits. North American Aerospace Defense (NORAD) Command
Center. This center is located at Cheyenne Mountain, Colorado Springs, Colorado. NORAD relays real-time warning information to the FOC and FAOC. This information includes attacks, accidental
missile launches, and possible fire reports. NUDET. Nuclear detonation. Possible Fire Report (PFR). NORAD sensors detect fires and other unusual heat sources throughout the 50 States.
NORAD notifies the FOC/FAOC so that they can relay the information to the affected area (SWP) by means of NAWAS. Priority Criteria. Criteria established to determine eligibility for
new NAWAS service, or maintenance of existing service. Regional Circuits. Ten separate NAWAS regional circuits that may be bridged by the FOC and FAOC. These circuits include the ten
FEMA Regions, the FEMA MERS Operations Centers (MOCs), Federal Warning Points (FWPs), Primary and Alternate State Warning Points, and the NWS terminals. There are approximately 300 NAWAS
terminals on the Regional Circuits. Reentering Space Debris: The United States Space Command (USSPACECOM) at Peterson AFB, Colorado monitors all man-made space objects. The USSPACECOM
transmits record reports called Trajectory Impact and Prediction (TIP) on each object that they predict will reenter the Earth's atmosphere to the FOC and FAOC. For those objects that
reenter over the FEMA's area of responsibility, the FOC/FAOC will notify the affected State Warning Point(s). Regional Communications Center. These centers are located in the ten FEMA
Regions. Regional Warning Circuit. The portion of NAWAS, which lies within a FEMA region and connects the State warning points in that area with the region. Robert T. Stafford Disaster
Relief Act. The Stafford Act provides the authority for the Federal government to respond to disasters and emergencies, and to furnish assistance to save lives and protect public health,
safety, and property. The President uses the authority of the Stafford Act to declare major disasters and authorize the disbursement of funds to deal with the consequences of disasters.
Federal resources supplement the efforts and available resources of States, local governments, and disaster relief organizations in alleviating the damage, loss, hardship, or suffering
caused by natural or technological disasters. A-3
FEMA Manual 1550.2 March 30, 2001 State Emergency Operations Center (SEOC). A facility used by State personnel and emergency services to coordinate a State’s response during a time of
crisis/disaster. State NAWAS Circuit. The portion of NAWAS that connects all Warning Points within a State with the State Warning Point. Includes all terminals bridged to the Regional
Circuit through terminals located in the Primary and Alternate State Warning Points. State Warning Point (SWP). Each State has a Primary and Alternate SWP. The primary SWP is staffed
24 hours a day, and exercises operational control over NAWAS within the State. The Alternate SWP is generally located in the State EOC. Terrorism. The unlawful use of force against persons
or property to intimidate or coerce a government, the civilian population, or any segment thereof, in the furtherance of political or social objectives. United States Space Command (USSPACECOM).
Provides the FOC/FAOC with current predicted reentry information of space debris into the atmosphere. Warning Center. Any center (Federal, State, local) that is the source of first available
information concerning any type of warning to the population. Warning Point. A facility with the responsibility for receipt of warnings and other emergency information over NAWAS and
disseminating it in accordance with State and local emergency preparedness plans. Washington D.C. Control Point. The Washington D.C. Control Point is the 24-hour emergency operations
center that coordinates federal and city emergency operations in the Nation's Capital. Weapons of Mass Distruction (WMD). Weapons of mass destruction include any device that is intended,
or has the capability, to cause death or serious bodily injury to a significant number of people through conventional explosives effects, the release of toxic or poisonous chemicals
or their precucursors, a disease organism, or radiation or radioactivity. A-4
FEMA Manual 1550.2 March 30, 2001 APPENDIX B ACCIDENTAL MISSILE LAUNCH WARNING
March 30, 2001 FEMA Manual 1550.2 APPENDIX B ACCIDENTAL MISSILE LAUNCH WARNING OVERVIEW: The following NAWAS messages provide warnings to the civil population of an accidental missile
launch. 1. Accidental Missile Launch Warning Message. "Attention all Warning Points. This is the FEMA (Alternate) Operations Center with an Emergency Warning for the following (State(s),
City/County). An accidental missile launch threatens the following area(s) (State(s) at (local time). Advise population by all means available to take cover". (ROLL CALL AFFECTED STATES/AREAS)
Warning points not included in the threatened area(s) advise the population by all means available that protective action is not required at this time. Additional information will be
furnished when available. (ROLL CALL REMAINING WARNING POINTS) 2. Accidental Launch Nuclear Weapon Detonation Message. "Attention all Warning Points. This is the FEMA (Alternate) Operations
Center. An accidentally launched nuclear weapon detonated in (City, County, State) at at (Local Time). Radioactive fallout is possible! Persons in (City, Count, State) should be advised
to remain under cover and await further instructions from State or local authorities. Residents are advised to take protective actions in accordance with local community shelter plans
and to be alert for further instructions from State or local authorities. Residents in all other areas are advised that protective action is not required at this time". (ROLL CALL WARNING
POINTS) B-1
FEMA Manual 1550.2 March 30, 2001 3. Accidental Launch/Impact Without Nuclear Detonation Message. "Attention all Warning Points. This is the FEMA (Alternate) Operations Center. An accidentally
launched nuclear weapon impacted in (City, County, State) at (Local Time). A nuclear detonation did not--repeat--did not occur. Persons in (City, County, State) should be alert for further
instructions from State or local authorities. Residents in all other areas are advised that protective action is not required at this time". (ROLL CALL WARNING POINTS) B-2
March 30, 2001 FEMA Manual 1550.2 APPENDIX C ATTACK WARNING – DECLARATION/DISSEMINATION
FEMA Manual 1550.2 March 30, 2001 APPENDIX C ATTACK WARNING -DECLARATION/DISSEMINATION OVERVIEW: In accordance with FEMA policy, the Attack Warning will be automatically declared and
disseminated over NAWAS upon declaration of Air Defense Emergency Warning RED by CINCNORAD. Not every threat scenario requires NORAD to declare ADE Warning RED. If the threat were limited
to a specific area, the Attack Warning announcement would be tailored for that area. The FOC/FAOC will receive early notification over the NORAD Operations Loop and NMCC Threat Conference.
1. The operations center receiving the warning first will announce over NAWAS Control Circuit, "FEMA (Alternate) Operations Center, I have an emergency message". 2. Authenticate according
to established procedures. 3. The FOC or FAOC bridges the regional warning circuits into a nationwide configuration and disseminates the warning using the following terminology: "Attention
all stations. This is the FEMA (Alternate) Operations Center. Emergency. This is an Attack Warning. Repeat. This is an Attack Warning. Declaration time (Date) (Time) Zulu. FEMA (Alternate)
Operations Center acknowledge". NOTE: Normally, activation of the national EAS occurs in conjunction with an Attack Warning announcement. The announcement for a simultaneous Attack Warning
and EAS activation is indicated in Appendix D. 4. After receiving acknowledgment from the FEMA (Alternate) Operations Center, the FOC or FAOC separates the east and-west conferences.
The FOC and FAOC will then conduct a poll of their respective Regions/States. 5. Each station called should acknowledge by stating: "(Name of Location). Attack Warning received". Should
any station request a repeat during the poll, the FOC/FAOC will immediately repeat the message. 6. At the end of the poll, the FOC/FAOC will recall any station that did not acknowledge
the poll. Stations not answering the poll over NAWAS will be contacted by telephone or other means of communication. C-1
March 30, 2001 FEMA Manual 1550.2 7. As soon as the FOC/FAOC complete their poll of the SWPs. The SWP will immediately call the roll of warning points within the State, using the following
procedures: a. Pick up hand-set, depress the signaling key on the telephone instrument for 3 seconds, press the push-to-talk button, and state; "This is the (Name) State Warning Point.
Standby to acknowledge an Attack Warning". b. Each warning point will acknowledge the poll with its name followed by; "Attack Warning received". E.g., "PORTLAND. Attack Warning received".
c. Any warning point not answering the poll will be contacted by telephone or radio immediately after the poll, repeat the warning message and request acknowledgment. 8. Warning points
in accordance with State and local plans will further disseminate the Attack Warning and other emergency information. 9. Use the same procedures as in the initial attack to announce
subsequent attacks. C-2
FEMA Manual 1550.2 March 30, 2001 APPENDIX D ACTIVATION OF THE NATIONAL LEVEL EAS
March 30, 2001 FEMA Manual 1550.2 APPENDIX D ACTIVATION OF THE NATIONAL LEVEL EAS OVERVIEW: The Emergency Alert System (EAS) is designed for use by the President and other national,
State and local officials to reach the public promptly with emergency information preceding, during and following a national emergency. It is operated in accordance with instructions
issued by the Federal Communications Commission (FCC) and managed by the FCC in cooperation with the broadcast industry. FEMA has general oversight responsibility for the EAS throughout
the United States. The EAS is activated by an order from the President to the White House Communications Agency (WHCA) duty officer or the President's Communications Officer (PCO) through
the FOC/FAOC. The FOC and/or FAOC authenticate the request and establish the Primary Entry Point (PEP) conference. The national level EAS consists of a nationwide network of radio broadcast
AM and FM stations; TV broadcast stations (audio only) and cable systems (audio only). There are currently 34 national primary stations (excluding the FOC/FAOC) as listed on page D-3.
1. Upon notification that the EAS has been activated, the FOC or FAOC, as appropriate will notify the other Operations Center and authenticate using established procedures. 2. The FOC/FAOC
bridges the regional warning circuits, sends the alert tone, and announces: "Attention all stations. This is the FEMA (Alternate) Operations Center. The national level Emergency Alert
System has been activated. FEMA (Alternate) Operations Center acknowledge". 3. After receiving acknowledgment from the other operations center, separate the east-west conferences. The
FOC/FAOC will then conduct a poll of their respective Regions/State Warning Points. 4. Each station will acknowledge with, "(Name of Station). National level Emergency Alert System activated".
5. Should any station request a repeat during the poll, the FOC/FAOC will immediately repeat the message. The terminology for making this request is, "(Name of Station). Say again your
message". D-1
FEMA Manual 1550.2 March 30, 2001 6. At the end of the poll, the FOC/FAOC will recall any station not responding by the poll by the most expeditious means available. If an Attack Warning
is declared at the same time the national level EAS is activated, the Attack Warning message will be expanded to include the following: "Attention all stations. This is the FEMA (Alternate)
Operations Center. Emergency. This is an Attack Warning. The national level Emergency Alert System has been activated. Repeat. This is an Attack Warning. The national level Emergency
Alert System has been activated. Declaration time of the Attack Warning is (Time) Zulu. FEMA (Alternate) Operations Center acknowledge". 7. EAS Deactivation -Upon notification of EAS
deactivation, the procedure listed above will be used with the following change in terminology: "Attention all stations. This is the FEMA (Alternate) Operations Center. The national
level Emergency Alert System has been deactivated. Repeat. The national level Emergency Alert System has been deactivated. FEMA (Alternate) Operations Center acknowledge". D-2
March 30, 2001 FEMA Manual 1550.2 NATIONAL PRIMARY EAS STATIONS STATION CALL LETTERS LOCATION KALL (AM) HERRIMAN UT KBOI PEP KUNA ID KCBS NOVATO CA WHB (AM) KANSAS CITY KS KERR (AM)
POLSON MT KFLT PEP TUCSON AZ KFQD ANCHORAGE AK KFYR (AM) MENEKEN ND KIRO VASHON WA KKOB ALBUQUERQUE NM KKOH RENO NV KOA 850 PARKER CO KTRH DAYTON TX KTWO (AM) CASPER WY WABC (AM) LODI
NJ WBAP MANSFIELD TX WBAL RANDALSTOWN MD WBZ HULL MA WCCO COON RAPIDS MN WHAM (AM) CHILI NY WLS (AM) TINELY PARK IL WLW (AM) MASON OH WMAC MACON GA WQDR FM GARNER NC WRXL FM RICHMOND
VA WSM BRENTWOOD TN WSTA ST THOMAS VI WTAM (AM) BRECKSVILLE OH WWL 870 MARRARO LA WQTM CLERMONT FL HSCD HONOLULU HI FEMA ALTERNATE OPERATIONS CENTER (FAOC) THOMASVILLE GA FEMA OPERATIONS
CENTER (FOC) BLUEMONT VA WKAQ CATANO PR WCOS FM COLUMBIA SC KFWB LOS ANGELES CA D-3
FEMA Manual 1550.2 March 30, 2001 APPENDIX E ATTACK WARNING AND NATIONAL LEVEL EAS TERMINATION
March 30, 2001 FEMA Manual 1550.2 APPENDIX E ATTACK WARNING & NATIONAL LEVEL EAS TERMINATION OVERVIEW: After confirmation through National Command Authorities (NCA) that the threat no
longer exists, the Director of FEMA or his/her authorized representative will initiate the termination of the Attack Warning. ATTACK WARNING TERMINATION: 1. Announce on the Control Circuit:
"(FOC or FAOC), I have an emergency message". 2. Authenticate. 3. The FOC/FAOC then bridges the regional circuits, sends the alert and announces: "Attention all stations. This is the
FEMA (Alternate) Operations Center. The Attack Warning is terminated. Termination time (Time) Zulu. FEMA (Alternate) Operations Center acknowledge". 4. After receiving acknowledgment
from the FAOC, separate the east-west conference; release the local warning points within the States from the Federal side of NAWAS. The FOC/FAOC will then conduct a poll of their respective
Regions/SWPs. 5. Each station will acknowledge by stating: "(Name of Station). Attack Warning termination received". 6. Should any station request a repeat during the poll, the FOC/FAOC
will immediately repeat the message. The terminology for making this request is, "(Name of Station). Say again your message". 7. At the end of the poll, the FOC/FAOC will recall any
station not responding by the most expeditious means available. 8. As soon as the SWP has received the TERMINATION announcement, the operator will immediately call the roll of the warning
points within the State. Use the same procedures and terminology specified in the Attack Warning Dissemination procedure but substitute "Attack Warning TERMINATED" for the term "Attack
Warning". E-1
FEMA Manual 1550.2 March 30, 2001 SIMULTANEOUS ATTACK WARNING & NATIONAL LEVEL EAS TERMINATION: 1. When the national level EAS operation is terminated at the same time as the Attack
Warning, the operations centers will make the announcement as follows. Use the same procedures as those governing termination of the Attack Warning. 2. If terminated simultaneously (Attack
Warning and national level EAS) state the following: "Attention all stations. This is the FEMA (Alternate) Operations Center. The Attack Warning is terminated. The National level Emergency
Alert System has been deactivated. Repeat. The Attack Warning is terminated. The national level Emergency Alert System has been deactivated. Termination time of the Attack Warning is
(Time) Zulu." "FEMA (Alternate) Operations Center Acknowledge". E-2
FEMA Manual 1550.2 March 30, 2001 APPENDIX F EMERGENCY MESSAGES FROM LOCAL WARNING POINTS TO SWP/MOCS
March 30, 2001 FEMA Manual 1550.2 APPENDIX F EMERGENCY MESSAGES FROM LOCAL WARNING POINTS TO SWP/MOCS OVERVIEW. Upon receipt of these types of messages, the local warning point(s) should
relay it to the appropriate SWP(s). The SWP should in turn relay the message(s) to the FOC/FAOC. The FOC/FAOC will then ensure that the respective MERS Operations Center for that region/State
is notified of the event. 1. Potential Emergency. Messages should cover the following points: a. Source of warning. b. Type of destruction expected. c. Time the emergency is expected.
d. Probable area affected. e. Probable severity. f. Any local actions taken or to be taken. 2. Actual Emergency. Messages should cover the following points: a. Type of emergency. b.
Time of emergency. c. Area affected. d. Estimate of casualties as follows: (1) Dead. (2) Injured. (3) Homeless. e. Estimate of damage (report private and public damages separately).
F-1
FEMA Manual 1550.2 March 30, 2001 f. Local actions taken or to be taken. g. Outside assistance needed: (1) What type? (2) Where? (3) When? (4) What extent? NOTE: Each FEMA Operations
Center will carefully control the use of the NAWAS for emergency messages. Since NAWAS is a voice communications system, lengthy messages are not permitted over the circuits. F-2
March 30, 2001 FEMA Manual 1550.2 APPENDIX G NUDET AND OTHER FLASH REPORTS
FEMA Manual 1550.2 March 30, 2001 APPENDIX G NUDET AND OTHER FLASH REPORTS OVERVIEW. There is an urgent need for timely and authentic information in any type of emergency operation.
The following are suggested types of FLASH reports. 1. NUCLEAR DETONATIONS (NUDETS). a. Location-give coordinates by geographical reference, Universal Transverse Mercator, or latitude
and longitude. b. Size-small, medium, or large. c. Type of burst-air, surface, or water. d. Time of detonation. e. Source of information. f. Remarks. 2. Radiological Contamination. a.
Area involved. b. Exposure rate and time of exposure rate observation. c. Source of information. 3. Other. a. Subject. b. Time. c. Location and area involved. G-1
March 30, 2001 FEMA Manual 1550.2 APPENDIX H TSUNAMI PROCEDURES
FEMA Manual 1550.2 March 30, 2001 APPENDIX H TSUNAMI PROCEDURES OVERVIEW: The United States Department of Commerce, National Oceanic and Atmospheric Administration's (NOAA) National
Weather Service (NWS) operates and administers the tsunami-warning program for the United States. The Pacific Tsunami Warning Center (PTWC), Ewa Beach, Hawaii has mission responsibility
as the operational center for the Tsunami Warning System (TWS) in the Pacific, as the U.S. National Tsunami Warning Center for U.S. national interests throughout the Pacific basin and
also as the Hawaii Regional Tsunami Warning Center. The West Coast & Alaska Tsunami Warning Center (WC&ATWC), Palmer Alaska, has responsibility as the Alaska and U.S. West Coast Regional
Tsunami Warning Center within the United States and for the Canadian Province of British Columbia, which is located between the U.S. States of Alaska and Washington. 1. Dissemination
of tsunami messages occurs over several types of media to include NAWAS, the Internet, and satellite. The U.S. Department of Commerce Communication Plan for the Tsunami Warning System
contains details on this warning system. FEMA coordinates input to this plan for FEMA Regions and the West Coast States. NOTE: The WC&ATWC will only broadcast over NAWAS earthquake information
for earthquakes
6.5 or greater. However, they may transmit messages for those that are less than 6.5 over AUTODIN or the Internet at www.wcatwc.gov. 2. The FEMA Alternate Operations Center (FAOC) is
the primary point of contact for tsunami traffic. When contacted by the WC&ATWC over the Region X NAWAS circuit, the FAOC will activate a tsunami conference. If for some reason the FAOC
does not respond, contact the FEMA Operations Center via NAWAS. 3. The WC&ATWC will request a tsunami conference with Alaska, Washington, Oregon, and California. The FAOC will request
that the WC&ATWC terminate the call on the Region X circuit while the tsunami conference is brought online. NOTE: Hawaii receives earthquake notifications from the Pacific Tsunami Warning
Center. (a) The FAOC activates the tsunami conference. H-1
March 30, 2001 FEMA Manual 1550.2 NOTE: This conference includes: the States of Alaska, Washington, Oregon, California, and Hawaii; the Bothell MERS Operations Center (MOC); Coast Guard
Alameda and Seattle; Maritime Pacific Operations Center (MARPAC) British Columbia, the Provincial Emergency Preparedness (PEP) office in British Columbia, and the FEMA Operations Center.
If the situation dictates, any station(s) on the Region IX and X circuit can be voice paged during this conference. (b) Announce the following after activation of the conference: "This
is the FEMA Alternate Operations Center, this message is for Alaska, Washington, Oregon, and California. Please standby for a message from the Tsunami Warning Center". <REPEAT ONCE>.
"Stations standby for roll call". (c) Poll only the stations requested by the WC&ATWC on the initial roll call so that they can quickly transmit their message. After station acknowledgement,
advise the WC&ATWC to go ahead with their message. (d) When the WC&ATWC has completed their transmission, poll each station again to ensure receipt of the message and for them to ask
any questions. At this time the FAOC will also poll the Bothell MERS Operations Center (MOC), the FEMA Operations Center (FOC), Coast Guard Alameda and Seattle, Marine Pacific Operations
Center (MARPAC) British Columbia and Provincial Emergency Preparedness British Columbia (PEP BC). 4. In the event that the Tsunami Warning Center is unable to transmit over NAWAS for
any reason, then the FOC/FAOC will relay the message for them. NOTE: Notify the Bureau of Reclamation Grand Coulee Control Center (GCCC) on all earthquakes with a magnitude of 4.0 or
greater that occur from 39 to 52 degrees North latitude and 107 to 126 degrees West longitude (Pacific Northwest Water and Power Resources Service Region). In addition, any earthquake
with a magnitude of 6.0 or greater that occurs anywhere in the Pacific Northwest will be reported to the GCCC. H-2
FEMA Manual 1550.2 March 30, 2001 APPENDIX I TERMINAL SELF TEST
FEMA Manual 1550.2 March 30, 2001 APPENDIX I TERMINAL SELF-TEST 1. The self-test procedure is a loop-back of the transmit and receive functions of the terminal. It provides a high level
of assurance that the terminal is functioning properly. To perform the test: a. Adjust the volume control to the mid-range position. b. Lift the handset. Depress the push-to-talk bar
while speaking into the handset mouthpiece. You should hear your voice in the handset earpiece. c. Locate the black button, next to the power connector, on the rear of the telephone
next to the power connector. Hold this button down while simultaneously depressing the push-to-talk bar and speaking into the handset mouthpiece. You should hear your voice in the speaker.
d. To determine the proper operation of the tone generating circuitry, press and hold the test switch located on the rear panel of the terminal and depress individually the signal and
reset buttons on the front of the terminal. The self-test is completed when the user is able to hear the signal and reset tones through the terminal loudspeaker. e. A test is considered
successful when side-tone is heard while depressing the push-to-talk and the speaker's voice is also heard over the loudspeaker while the black button located on the rear of the terminal
is depressed. f. To test the terminal ALERT TONE, request the FEMA Operations Center (FOC), FEMA Alternate Operations Center, FEMA MERS Operations Centers, State Primary/Alternate Warning
Point or Emergency Operations Center (EOC) generate an alert tone to the network. The terminal should begin to ring and continue ringing for approximately 9 seconds. The red lamp should
illuminate and remain illuminated until removal of the handset from the cradle or the transmission of a reset signal from the Center that initiated the Alert Tone. 2. If the terminal
fails either the self-test or the Alert Tone test, check all the terminal connections. Verify that AC power is present at the AC outlet. Report terminal failures in accordance with procedures
procedures outlined in Chapter 2. I-1
March 30, 2001 FEMA Manual 1550.2 APPENDIX J FIPS CODES (NATIONAL WEATHER SERVICE STATIONS AND FEDERAL AND STATE WARNING POINTS)
FEMA Manual 1550.2 March 30, 2001 APPENDIX J FIPS CODES REGION STATE ABBREVIATION FIPS CODE PSWP/ASWP BRIDGE 01 Connecticut CT 09 05/06 01/02 01 Maine ME 23 ‘’ “ 01 Massachusetts MA
25 ‘’ “ 01 New Hampshire NH 33 ‘’ ‘’ 01 Rhode Island RI 44 ‘’ ‘’ 01 Vermont VT 50 ‘’ “ 02 New Jersey NJ 34 ‘’ ‘’ 02 New York NY 36 ‘’ ‘’ 02 Puerto Rico PR 72 ‘’ ‘’ 02 Virgin Islands
VI 52 ‘’ ‘’ 03 Delaware DE 10 ‘’ ‘’ 03 District of Columbia DC 11 ‘’ ‘’ 03 Maryland MD 24 ‘’ ‘’ 03 Pennsylvania PA 42 ‘’ ‘’ 03 Virginia VA 51 ‘’ ‘’ 03 West Virginia WV 54 ‘’ ‘’ 04 Alabama
AL 01 ‘’ ‘’ 04 Florida FL 12 ‘’ ‘’ 04 Georgia GA 13 ‘’ ‘’ 04 Kentucky KY 21 ‘’ ‘’ 04 Mississippi MS 28 ‘’ ‘’ 04 North Carolina NC 37 ‘’ ‘’ 04 South Carolina SC 45 ‘’ ‘’ 04 Tennessee
TN 47 ‘’ ‘’ 05 Illinois IL 17 ‘’ ‘’ 05 Indiana IN 18 ‘’ ‘’ 05 Michigan MI 26 ‘’ ‘’ 05 Minnesota MN 27 ‘’ ‘’ 05 Ohio OH 39 ‘’ ‘’ 05 Wisconsin WI 55 ‘’ ‘’ 06 Arkansas AR 05 05/06 01/02
06 Louisiana LA 22 ‘’ ‘’ 06 New Mexico NM 35 ‘’ ‘’ 06 Oklahoma OK 40 ‘’ ‘’ 06 Texas TX 48 ‘’ ‘’ 07 Iowa IA 19 ‘’ ‘’ 07 Kansas KS 20 ‘’ ‘’ 07 Missouri MO 29 ‘’ ‘’ 07 Nebraska NE 31 ‘’
‘’ 08 Colorado CO 08 ‘’ ‘’ 08 Montana MT 30 ‘’ ‘’ 08 North Dakota ND 38 ‘’ ‘’ 08 South Dakota SD 46 ‘’ ‘’ 08 Utah UT 49 ‘’ ‘’ 08 Wyoming WY 56 ‘’ ‘’ 09 Arizona AZ 04 ‘’ ‘’ 09 California
CA 06 ‘’ ‘’ 09 Hawaii HI 15 ‘’ ‘’ 09 Nevada NV 32 ‘’ ‘’ 10 Alaska AK 02 ‘’ ‘’ 10 Idaho ID 16 ‘’ ‘’ 10 Oregon OR 41 ‘’ ‘’ 10 Washington WA 53 “ “ NOTE: THE SWP AND BRIDGE SUFFIX CODES
ARE THE SAME FOR ALL LOCATIONS. J-1
March 30, 2001 FEMA Manual 1550.2 NATIONAL WEATHER SERVICE STATIONS (FEDERAL -EAST) LOCATION 4-DIGIT DIAL CODE * REGION 1 * TAUNTON MA 2510 GRAY ME 2311 ALBANY NY 3610 * REGION 2 * NEW
YORK CITY NY 3611 * REGION 3 * MOUNT HOLLY NJ 3410 STATE COLLEGE PA 4210/4212 PITTSBURGH PA 4211 STERLING VA 5110 BLACKSBURG VA 5114 WAKEFIELD VA 5115 CHARLESTON WV 5411 * REGION 4 *
BIRMINGHAM AL 0110 MOBILE AL 0111 TALLAHASSEE FL 1210 JACKSONVILLE FL 1212 MIAMI FL 1213 PADUCAH KY -Regions 4 & 5 (CROSSOVER) 2110 LOUISVILLE KY 2111 WILMINGTON NC 3710 CHARLESTON SC
4510 GSP SC (Greenville/Spartanburg) 4511 COLUMBIA SC 4512 MEMPHIS TN 4710 MORRISTOWN TN 4711 * REGION 5 * QUAD CITY IA 1910 CHICAGO IL 1710 FT WAYNE IN 1810 INDIANAPOLIS IN 1812 CHANHASSEN
MN 2710 DULUTH MN 2711 WILMINGTON OH 3910 LA CROSSE WI 5510 J-2
FEMA Manual 1550.2 March 30, 2001 NATIONAL WEATHER SERVICE STATIONS (FEDERAL -WEST) LOCATION 4-DIGIT DIAL CODE * REGION 6 * LAKE CHARLES LA 2210 SHREVEPORT LA 2211 AMARILLO TX 4810 MIDLAND
TX 4811 NORMAN OK 4010 TULSA OK 4011 SANTA TERESA NM 3510 SPRINGFIELD MO -Regions 6 & 7 (CROSSOVER) 2912/2911 JACKSON MS -Region 6 (CROSSOVER) 2810 * REGION 7 * GOODLAND KS 2010 PLEASANT
HILL MO 2910 HASTINGS NE 3110 OMAHA NE 3111 SIOUX FALLS SD 4611 LACROSSE WI -Regions 5 & 7 (CROSSOVER) 5511 * REGION 8 * GRAND JUNCTION CO 0810 BILLINGS MT 3010 RAPID CITY SD 4610 SALT
LAKE CITY UT 4910 * REGION 9 * PHOENIX AZ 0410 LAS VEGAS NV 3210 RENO NV 3211 MEDFORD OR -Region 9 (CROSSOVER) 4112 * REGION 10 * BOISE ID 1610 PENDLETON OR 4111 PORTLAND OR 4110 SPOKANE
WA 5310 J-3
March 30, 2001 FEMA Manual 1550.2 FEDERAL STATE WARNING POINTS (EAST) LOCATION 4-DIGIT DIAL CODE * REGION 1 * CONNECTICUT 0905 MAINE 2305 MASSACHUSETTS 2505 NEW HAMPSHIRE 3305 RHODE
ISLAND 4405 VERMONT 5005 MAYNARD MERS R1 (Host) 2551 REGION I -BOSTON N/A REGION I – MAYNARD 2550 NORTHEAST R.F.C. 2510 * REGION 2 * NEW JERSEY 3405 NEW YORK 3605 MAYNARD MERS R2 (Non-Host)
3650 V.I.T.E.M.A. 5205 REGION II -NEW YORK 3650 * REGION 3 * DELAWARE 1005 DISTRICT OF COLUMBIA 1105 MARYLAND 2405 N.C.S. N/A PENNSYLVANIA 4205 VIRGINIA 5105 WEST VIRGINIA 5405 REGION
3 -PHILADELPHIA 4250 MID ATLANTIC RFC 4210 SELINSGROVE N/A EICC N/A * REGION 4 * ALABAMA 0105 FLORIDA 1205 BREVARD COUNTY EOC (FL) N/A GEORGIA 1305 KENTUCKY 2105 MISSISSIPPI 2805 NORTH
CAROLINA 3705 SOUTH CAROLINA 4505 TENNESSEE 4705 NATIONAL HURRICANE CENTER 1211 (ACTIVE 6/1 -11/30) J-4
FEMA Manual 1550.2 March 30, 2001 * REGION 5 * ILLINOIS 1705 INDIANA 1805 MICHIGAN 2605 MINNESOTA 2705 OHIO 3905 WISCONSIN 5505 DENVER MERS R5 (Non-Host) 1750 REGION 5 -CHICAGO 1750
FEDERAL STATE WARNING POINTS (WEST) LOCATION 4-DIGIT DIAL CODE * REGION 6 * OKLAHOMA 4005 TEXAS 4805 NEW MEXICO 3505 ARKANSAS 0505 LOUISIANA 2205 DOE ALBUQUERQUE 3550 COAST GUARD NEW
ORLEANS N/A DENTON MERS R6 (Host) 4851 REGION 6 -DENTON 4850 * REGION 7 * NEBRASKA 3105 IOWA 1905 KANSAS 2005 MISSOURI 2905 DENTON MERS R7 (Non-Host) 2950 REGION 7 -KANSAS CITY 2950
* REGION 8 * NORTH DAKOTA 3805 SOUTH DAKOTA 4605 WYOMING 5605 COLORADO 0805 UTAH 4905 MONTANA 3005 DENVER MERS R8 (Host) 0851 REGION 8 -DENVER 0850 J-5
March 30, 2001 FEMA Manual 1550.2 * REGION 9 * CALIFORNIA 0605 NEVADA 3205 ARIZONA 0405 HAWAII 1505 COAST GUARD ALAMEDA 0610 BOTHELL MERS R9 (Non-host) 0650 REGION 9 -SAN FRANCISCO 0650
FEMA PACIFIC AREA OFFICE N/A PACIFIC TSUNAMI WARNING CENTER N/A * REGION 10 * WASHINGTON 5305 OREGON 4105 IDAHO 1605 ALASKA N/A COAST GUARD SEATTLE N/A GRAND COULEE N/A BOTHELL MERS
R10 (Host) 5351 REGION 10 -BOTHELL 5350 ALASKA TSUNAMI WARNING CENTER N/A J-6
FEMA Manual 1550.2 March 30, 2001 APPENDIX K FOC AND FAOC NAWAS BRIEFINGS
FEMA Manual 1550.2 March 30, 2001 APPENDIX K FOC AND FAOC NAWAS BRIEFINGS FEMA OPERATIONS CENTER NAWAS BRIEFING This is the Federal Emergency Management Agency Operations Center located
in Bluemont, Virginia. This center has an alternate operations center that is located in Thomasville Georgia. Both of these centers operate 24-hours a day. In the event of an enemy attack,
natural or technological disaster, these centers provide warning on a local, regional, or national basis using the National Warning System (NAWAS). There are approximately 1800 NAWAS
warning points throughout the United States. About 1400 of these are federal, state and local warning points, which are also staffed 24-hours a day. This concludes the briefing, FEMA
Operations Center out at ______________Zulu. FEMA ALTERNATE OPERATIONS CENTER NAWAS BRIEFING This is the Federal Emergency Management Agency Alternate Operations Center located in Thomasville,
Georgia. This center serves as the back up to the FEMA Operations Center, which is located in Bluemont, Virginia. Both of these centers operate 24 hours a day. In the event of an enemy
attack, natural or technological disaster, these centers provide warning on a local, regional, or national basis using the National Warning System (NAWAS). There are approximately 1800
NAWAS warning points throughout the United States. About 1400 of these are federal, state and local warning points, which are also staffed 24-hours a day. This concludes the briefing,
FEMA Alternate Operations Center out at _____________Zulu. K-1
March 30, 2001 FEMA Manual 1550.2 APPENDIX L FEMA REGIONS AND MERS DETACHMENTS REGIONAL RESPONSIBILITIES
FEMA Manual 1550.2 January 2001 APPENDIX L FEMA REGIONS & MOBILE EMERGENCY RESPONSE SUPPORT (MERS) DETACHMENT REGIONAL RESPONSIBILITIES DENTON MERS FEMA Regions VI & VII DENVER MERS
FEMA Regions VIII & V THOMASVILLE MERS & FEMA Alternate Operations Center FEMA Regions III & IV <NAWAS traffic West of the Mississippi River> MAYNARD MERS FEMA Regions I & II Region
II: NJ, NY, PR VI Region III: DC, DE, MD, PA, VA, WV X VIII IX VI VII V II Region V: IL, IN, MI, MN, OH, WI Region VIII: CO, MT, ND, SD, UT, WY Region X: AK, ID, OR, WA Region IV: AL,
FL, GA, KY, MS, NC, SC, TN Region VII: IA, KS, MO, NE Region VI: AR. LA, NM, OK, TX FEMA Operations Center Bluemont VA <NAWAS East of the Mississippi River> Washington D.C. Control Point
Region IX: III AZ, CA, HI, Guam, NV BOTHELL MERS FEMA Regions IX & X I Region I: CT, MA, ME, NH, RI, VT IV L-1
March 30, 2001 FEMA Manual 1550.2 THIS PAGE IS INTENTIONALLY LEFT BLANK
MONTANA EMERGENCY ALERT SYSTEM (EAS) STATE PLAN July 2008 EAS OPERATIONAL AREA INCLUDES ALL OF MONTANA
2 Table of Contents 1. INTRODUCTION......................................................................................................3 2. AUTHORITY………………………………………………………………………..4
3. DEFINITIONS ...........................................................................................................4 3.1. Designated Officials..................................................
..............................................4 3.2. Emergency Messages..............................................................................................4 3.3. Administrative
Message (ADR).............................................................................4 4. IMPLEMENTATION .........................................................................................
..5 4.1. Procedures for Designated Officials...................................................................... 5 4.2. Procedures for the National Weather Service…………………………………….5
4.3. Procedures for Broadcast and Cable System Personnel.........................................6 5. BACKUP PROCEDURES IF NOAA WEATHE RADIO (NWR) TRANSMITTERS ARE INPOERATIVE........................
..................................................................................8 6. AUTHENTICATION.................................................................................................8
7. REQUIRED WEEKLY AND MONTHLY TESTS...................................................8 ANNEX A: Authentication Numbers and Contacts for the EAS Alert Requests……….…..9 ANNEX B: National
Weather Services Montana Offices………………………..……….10 ANNEX C: LP1 Stations in the Montana…………………………….………….…………11 ANNEX D: Incident Commander/Designated Official Decision Tree……………….….…12
ANNEX E: EAS Activation Form for an Emergency Message……………………………13 ANNEX F: Emergency Message Descriptions………………………………...…………..14 ANNEX G: Approval……………………………………………………………………….15
3 1. INTRODUCTION This plan was prepared by the Montana State Emergency Response Commission (SERC) Emergency Alert System (EAS) sub-committee. It provides specific procedures for the
broadcast of warnings and emergency information to the general public throughout Montana, or any portion thereof. This EAS plan may be activated by designated local, state, or federal
officials in response to such emergencies as blizzards, tornadoes, severe thunderstorms, floods, or civil emergencies like chemical accidents, earthquakes, fires, nuclear attack, or
any other events which pose a danger to life or property. This plan supersedes previous EAS Plans implemented by various counties throughout Montana and the State EAS plan enacted in
2005. Acceptance of/or participation in this plan shall not be deemed as a relinquishment of program control, and shall not be deemed to prohibit a broadcast licensee from exercising
independent discretion and responsibility in any given situation. Stations originating EAS emergency communications shall be deemed to have conferred rebroadcast authority. FCC Rules
and Regulations provide the concept of the management of each broadcast station to exercise discretion regarding the broadcast of EAS emergency information and instructions to the general
public. 1.1. Summary of EAS Activation Process for Non-Weather Related Emergency Messages • Incident Commander or Designated Official identifies a risk to life or property that warrants
immediate notification of the general public. • Incident Commander or Designated Official creates a message for dissemination (see template in Annex E). • Message is relayed to appropriate
National Weather Service (NWS) office (Annex B). • NWS authenticates message by calling back and confirming message with dispatch or Designated Official (see Annex A for authentication
contact numbers). • NWS activates EAS by entering message into product with the relevant event code, and broadcasts message over appropriate NOAA Weather Radio (NWR) transmitters. •
Broadcasters receive authenticated message with tones from NWS transmission. These tones trigger EAS decoders at broadcast stations which may be set to broadcast the alerts automatically.
NOAA Weather Radio All Hazards receivers automatically alarm. 1.2 Summary of EAS Activation Process for Weather Related Emergency Messages • NWS identifies risk to life and property
that justifies immediate notification of the general public. • NWS issues appropriate warning, activates EAS, and broadcasts message over NOAA Weather Radio.
4 • Broadcasters receive authenticated message from NWS and automatically broadcast message over radio and television networks. NOAA Weather Radio All Hazards receivers automatically
alarm. 2. AUTHORITY Title 47 U.S.C. 151, 154 (i) and (o), 303 (r), 527 (g) and 606; and 47 C.F.R. Part 11, FCC Rules and Regulations, Emergency Alert System (EAS). 3. DEFINITIONS 3.1
Designated Officials: The following officials are the only “Designated Officials” who may authenticate activation of the EAS under this plan (phone numbers located in Annex A): • Incident
Commanders through local emergency dispatch (primary means of authentication for local activation is through dispatch) • County DES Coordinators (secondary means of authentication for
local activation) • Montana Department of Justice (DOJ) for Amber Alerts and Missing Endangered Person Advisories (MEPAs) • State Disaster and Emergency Services (DES) Duty Officer (for
statewide EAS activation other than Amber Alerts and MEPAs) • National Weather Service (NWS) for weather-related events 3.2 Emergency Messages: • Designated Officials should issue Emergency/EAS
Messages when they believe there is a risk to life and property that warrants immediate notification of the general public. • Emergency Messages are messages that may override all TV
and Radio broadcasting and alert/activate NOAA Weather Radio All Hazards receivers. • The list of available non-weather related EAS message headers has been expanded with this revision
of the plan to include more descriptive, event-specific message types. See Annex F for a list along with their basic definitions. 3.3 Administrative Message (ADR): • Administrative Messages
(ADR) should be used by Designated Officials to provide updated information about an event in progress, an event that has expired or concluded early, pre-event preparation or mitigation
activities, post-event recovery operations, or other administrative matters pertaining to the Emergency Alert System.
5 • The ADR will also be used for Missing Endangered Person Advisories initiated by Montana DOJ. • Administrative Messages will be sent to TV and Radio stations but should NOT override
TV and Radio broadcasting and should NOT activate NOAA weather radios. 4. IMPLEMENTATION 4.1.Procedures for Designated Officials • Designated officials will request activation of the
EAS through the National Weather Service (NWS) office that services the impacted county/counties via phone or other available communications. (Annex B lists NWS office areas of responsibility
and appropriate phone numbers). A fax with the broadcast information is desirable if possible. If the servicing office for your area cannot be reached, another office may be contacted.
Backup capabilities exist between all NWS offices. • For statewide EAS activation, state DES duty officer will contact the NWS at Great Falls, and they will forward the EAS request to
all other NWS offices throughout the state as necessary. • For Amber Alerts and MEPAs, Montana Department of Justice (DOJ) will be the initiating agency. DOJ will contact NWS Great Falls
for statewide or regional activations, and the NWS in Great Falls will enter those alerts. The event codes CAEMT and ADRMT will be used for the Amber Alerts and MEPAs respectively. •
Designated officials will use the following format when contacting the NWS: o “THIS IS (NAME/TITLE) OF (ORGANIZATION). I REQUEST THAT THE EMERGENCY ALERT SYSTEM BE ACTIVATED FOR (COUNTY(S))
BECAUSE OF (DESCRIPTION OF EMERGENCY).” • Designated Officials should provide emergency program material including a description of the emergency, actions being taken by local government,
and instructions to the public. Reference Annex E for sample format. Total time allotted for the message should be less than two broadcast minutes. Authentication procedures are defined
in Section 5. • Upon authentication, NWS officials will transmit the message provided by designated officials. 4.2. Procedures for the National Weather Service • The NWS will authenticate
all requests for EAS activation according to procedures outlined in Section 5. • When directed to do so by Designated Officials, the NWS will broadcast EAS coded messages for all the
appropriate counties in the operational area and transmit the message
6 over the NOAA weather radio. 4.3. Procedures for Broadcast and Cable System Personnel • Upon receipt of a request to activate the local EAS from the NOAA broadcast, the LP-1 (or alternate
LP-2) may proceed as follows: • Broadcast the following announcement: “WE INTERRUPT THIS PROGRAM BECAUSE OF A LOCAL EMERGENCY. IMPORTANT INFORMATION WILL FOLLOW.” • Transmit the EAS
header codes and Attention Signal. • Transmit the following announcement: “WE INTERRUPT THIS PROGRAM TO ACTIVATE THE EMERGENCY ALERT SYSTEM FOR (insert county list or areal description
here) BECAUSE OF A LOCAL EMERGENCY. IMPORTANT INSTRUCTIONS WILL FOLLOW.” ***Follow with emergency program...should be no more than 2 minutes in length.*** • To terminate the EAS message
(immediately or later), make the following announcement: “THIS CONCLUDES EAS PROGRAMMING. ALL BROADCAST STATIONS AND CABLE SYSTEMS MAY NOW RESUME NORMAL OPERATIONS.” • Transmit the EAS
End of Message (EOM) code. Important Note: For State and local emergencies, broadcasters and cable operators have the option of transmitting only the EAS header and EOM codes without
the Attention Signal and emergency message. This is acceptable so that EAS coded messages can be quickly relayed through areas unaffected by the emergency. All other broadcast stations
and cable systems that are monitoring their EAS receiver/decoders will be alerted by the header codes and attention signal. Each station and cable system upon receipt of the signal will,
at the discretion of management, perform the same procedures listed above by retransmitting the emergency message from the LP-1 or LP-2. • All broadcast and cable system stations are
requested to rebroadcast the following EAS coded messages. For descriptions of message types, see Annex F.
7 Message Type EAS PIL’s Child Abduction Emergency (Amber Alert) CAE Civil Danger Warning CDW Civil Emergency Message CEM Earthquake Warning EQW Evacuation Immediate EVI Fire Warning
FRW Hazardous Materials Warning HMW Law Enforcement Warning LEW Local Area Emergency LAE 911 Telephone Outage Emergency TOE Nuclear Power Plant Warning NUW Radiological Hazard Warning
RHW Shelter in Place Warning SPW Volcano Warning VOW Weather-Related Blizzard Warning BZW Flash Flood Watch FFA Flash Flood Warning FFW Severe Thunderstorm Watch SVA Severe Thunderstorm
Warning SVR Tornado Watch TOA Tornado Warning TOR • To avoid unnecessary escalation of public confusion, all stations and cable systems must be cautious in providing news and information
pertaining to the emergency. All messages must be based on definite and confirmed facts. The public must not be left to decide what is or is not fact. • Upon completion of the above
transmission procedures, resume normal programming. Appropriate notations should be made in the station and cable system records. A very brief summary may be sent to the FCC for information
purposes only. • NWS will relay Avalanche Warnings (AVW) from the relevant Avalanche Centers across the region on days of especially high avalanche danger. Normally these will not be
sent with tones to activate EAS, but could in certain life-threatening situations (e.g. avalanche threatening a town).
8 5. BACKUP PROCEDURES IF NWR TRANSMITTERS ARE DOWN In the event NWR transmitters are not operational, EAS alerts should be relayed by phone from the NWS to the relevant LP1 stations.
The LP1 stations will then relay the warning information to those stations that monitor them. The broadcaster should contact the NWS to authenticate such a verbal request by calling
the NWS station (Annex B). This additional authentication step is only necessary in this backup situation, when normal dissemination of warnings is prevented by NOAA Weather Radio (NWR)
transmitter outage. A list of LP1 stations in Montana is provided in Annex C. 6. AUTHENTICATION The NWS will verify the authenticity of any EAS activation request initiated outside the
NWS, by calling back and receiving confirmation from one of the Designated Officials listed in Annex A. This will normally be the county dispatch or Public Safety Answering Point (PSAP)
for the county, or the Duty Officer for the State in the case of state-wide activation. Amber Alerts and Missing Endangered Person Advisories will be authenticated through the DOJ help
desk. This list of contacts will be kept at the NWS offices, with updates provided to the NWS when available by State DES and DOJ. Broadcasters who receive the EAS activation signal
from the NWR transmission will not need further authorization. However, broadcasters should authenticate any request over the phone (in a situation where NWR transmitters are inoperative)
by calling back the NWS at the listed numbers (Annex B). 7. REQUIRED MONTHLY AND WEEKLY TESTS Required Monthly Test (RMT) of these EAS procedures shall be conducted on a random or scheduled
basis by the broadcasters from a point that would originate the common emergency message. Unless a scheduled State test is received from the State Primary, the Local Primary will originate
the Required Monthly Test (RMT). • Routine RMT Schedule: Odd months (Jan., Mar., May, July, Sept., Nov.) – 8:30 a.m. to sunset. Even months (Feb., April, June, Aug., Oct., Dec.) – Sunset
to 8:30a.m. • The test will be scheduled in advance by the LP-1. • All stations shall schedule Required Weekly Test (RWT). These tests are not forwarded or rebroadcast.
9 ANNEX A: Contact Numbers for Authentication of EAS Messages (phone numbers kept internal to NWS) 1) Primary Contact Numbers for Authentication: • PSAP/County Dispatch numbers for local
activations • DOJ Help Desk for all Amber Alert and Missing Endangered Person activations, statewide or regional • State DES Duty Officer for all other statewide activations 2) DES Directory•
These numbers are a secondary means of authentication and for communication. County coordinators may be part-time and more difficult to reach. Updates to this directory will be provided
by State DES.
ANNEX B: NATIONAL WEATHER SERVICE MONTANA OFFICES OFFICE PHONE FAX Missoula (Backup office is Great Falls): National Weather Service Forecast Office PO BOX 9350 Missoula, MT 59807-9350
1-800-676-6975 (406) 329-4718 (406) 329-4716 (406) 329-4842 Great Falls (Backup office is Missoula): National Weather Service Forecast Office 5324 Tri-Hill Frontage Road Great Falls,
MT 59404-4933 (406) 453-9642 (406) 453-8429 1-800-932-6694 (406) 453-3812 Billings (Backup office is Glasgow): National Weather Service Forecast Office 2170 Overland Ave Billings, MT
59102-6455 (406) 652-2314 (406) 652-1916 1-800-240-4506 (406) 652-3214 Glasgow (Backup office is Billings): National Weather Service Forecast Office 101 Airport Road Glasgow, MT 59230-2843
(406) 228-9622 (406) 228-9623 (406) 228-4042 (406) 228-2850 (406)228-9627 NWS Backup Capabilities: All NWS offices have primary and secondary backup capabilities for other NWS offices.
If you are unable to contact your primary NWS office, contact the appropriate backup office. If unable to contact the backup office, contact ANY of the NWS offices (starting with Great
Falls if possible)-all offices are able to
disseminate EAS messages throughout the state. NWAS and CJIN may also be used if the National Weather Service offices are unable to disseminate. 10
11 ANNEX C: BROADCAST STATIONS IN THE MONTANA EAS PLAN For a complete directory of Montana broadcasters see the following website sponsored by the Montana Broadcasters Association: http://www.mtbroad
casters.org/EAS "LP-1" STATION LIST Montana Call Sign Frequency Local Area Name City of License KMON 560 Cascade Great Falls KATL 770 Custer Miles City KCGM 95.7 Daniels Scobey KFLN
960 Fallon Baker KXLO 1230 Fergus Lewistown KGEZ 600 Flathead Kalispell KGLT 91.9 Gallatin/Park Bozeman KPRK 1340 Gallatin/Park Livingston KOJM 610 Hill Havre KPQX 92.5 Hill Havre KMTX
950 Lewis and Clark Helena KMTX-FM 105.3 Lewis and Clark Helena KLCB 1230 Lincoln Libby KGLE 590 Lower Yellowstone River Glendive KGGL 93.3 MLRMS Missoula KMMR 100.1 Phillips Malta KVCK
1450 Roosevelt Wolf Point KVCK-FM 92.7 Roosevelt Wolf Point KIKC 1250 Rosebud Forsyth KATQ 1070 Sheridan Plentywood KEMC-FM 91.7 South Central Billings KBOW 550 Southwest Butte KOPR
94.1 Southwest Butte KSEN 1150 Toole Shelby KLAN 93.5 Valley Glasgow KLTZ 1240 Valley Glasgow KEYZ-AM 660 Richland Williston, ND
ANNEX D: INCIDENT COMMANDER/DESIGNATED OFFICAL DECISION TREE 12 Is there a risk to life or property that warrants immediate notification of the general public? EAS Activation NOT required.
NO YES Ensure “Designated Official” (Appendix A) is aware of request for activation. NWS will authenticate through “Designated Official”Create Appropriate Emergency Message for dissemination
using Appendix E template. Transmit message (via FAX or through other means) to appropriate NWS office (Appendix B) and request EAS activation. NWS will call “Designated Official” to
authenticate request. Once authenticated, NWS will enter message, and EAS will be activated.
13 ANNEX E: EAS Activation Form for an Emergency Message This message will override TV and Radio Station Broadcasting. Keep message to no more than 2 minutes of airtime. Date\Time____________________
_______ Person Making Request________________________________________________________ Agency of Person Making Request_______________________________________________ Specific Type of
Emergency (Hazmat, etc) ________________________________________ Affected Counties ____________________________________________________________ Specific Affected Area (if available)
_____________________________________________ Duration of Emergency________________________________________________________ Phone Number to Verify or Contact for More Information_____________________
________ Name of Person Completing This Form____________________________________________ Exact Message for Broadcast (should include nature of emergency, what area is affected, specific
instructions to the public, where to obtain more information, etc.) ___________________________________________________________________________ _______________________________________________________
____________________ ___________________________________________________________________________ ___________________________________________________________________________ __________________________
_________________________________________________ ____________________________________________________________________________
14 ANNEX F: Emergency Message Descriptions Non-weather Related Administrative Message (ADR). A non-emergency message that provides updated information about an event in progress, an
event that has expired or concluded early, pre-event preparation or mitigation activities, post-event recovery operations, or other administrative matters pertaining to the Emergency
Alert System. This message type will also be used for Missing Endangered Person Advisories in Montana. Avalanche Warning (AVW). A warning of current or imminent avalanche activity when
avalanche danger is considered high or extreme. Authorized officials may recommend or order protective actions according to state law or local ordinance when natural or human-triggered
avalanches are likely to affect roadways, structures, or backcountry activities. Child Abduction Emergency (CAE). An emergency message, based on established criteria, about a missing
child believed to be abducted. Montana Department of Justice, the state agency investigating the abduction, will describe the missing child, provide a description of the suspect or vehicle,
and ask the public to notify the requesting agency if they have any information on the whereabouts of the child or suspect. This message type is used for Amber Alerts in Montana. Civil
Danger Warning (CDW). A warning of an event that presents a danger to a significant civilian population. The CDW, which usually warns of a specific hazard and gives specific protective
action, has a higher priority than the Local Area Emergency (LAE). Examples include contaminated water supply and imminent or in-progress military or terrorist attack. Public protective
actions could include evacuation, shelter in place, or other actions (such as boiling contaminated water or seeking medical treatment). Civil Emergency Message (CEM). An emergency message
regarding an in-progress or imminent significant threat(s) to public safety and/or property. The CEM is a higher priority message than the Local Area Emergency (LAE), but the hazard
is less specific then the Civil Danger Warning (CDW). For example, the CEM could be used to describe a change in the Homeland Security Alert System level in response to a terrorist threat.
Earthquake Warning (EQW). A warning of current or imminent earthquake activity. Authorized officials may recommend or order protective actions according to state law or local ordinance.
Evacuation Immediate (EVI). A warning where immediate evacuation is recommended or ordered according to state law or local ordinance. As an example, authorized officials may recommend
the evacuation of affected areas due to an approaching tropical cyclone. In the event a flammable or explosive gas is released, authorized officials may recommend evacuation of designated
areas where casualties or property damage from a vapor cloud explosion or fire may occur. Fire Warning (FRW). A warning of a spreading wildfire or structural fire that threatens a populated
area. Evacuation of areas in the fire’s path may be recommended by authorized officials according according to state law or local ordinance.
15 Hazardous Materials Warning (HMW). A warning of the release of a non-radioactive hazardous material (such as a flammable gas, toxic chemical, or biological agent) that may recommend
evacuation (for an explosion, fire or oil spill hazard) or shelter in place (for a toxic fume hazard). Law Enforcement Warning (LEW). A warning of a bomb explosion, riot, or other criminal
event (e.g. a jailbreak). An authorized law enforcement agency may blockade roads, waterways, or facilities, evacuate or deny access to affected areas, and arrest violators or suspicious
persons. Local Area Emergency (LAE). An emergency message that defines an event that by itself does not pose a significant threat to public safety and/or property. However, the event
could escalate, contribute to other more serious events, or disrupt critical public safety services. Instructions, other than public protective actions, may be provided by authorized
officials. Examples include: a disruption in water, electric or natural gas service, road closures due to excessive snowfall, or a potential terrorist threat where the public is asked
to remain alert. 911 Telephone Outage Emergency (TOE). An emergency message that defines a local or state 911 telephone network outage by geographic area or telephone exchange. Authorized
officials may provide alternative phone numbers in which to reach 911 or dispatch personnel. Radiological Hazard Warning (RHW). A warning of the loss, discovery, or release of a radiological
hazard. Examples include: the theft of a radioactive isotope used for medical, seismic, or other purposes; the discovery of radioactive materials; a transportation (aircraft, truck or
rail, etc.) accident which may involve nuclear weapons, nuclear fuel, or radioactive wastes. Authorized officials may recommend protective actions to be taken if a radioactive hazard
is discovered. Shelter in Place Warning (SPW). A warning of an event where the public is recommended to shelter in place (go inside, close doors and windows, turn off air conditioning
or heating systems, and turn on the radio or TV for more information). An example is the release of hazardous materials where toxic fumes or radioactivity may affect designated areas.
Volcano Warning (VOW). A warning of current or imminent volcanic activity. Authorized officials may recommend or order protective actions according to state law or local ordinance. Weather
Related Blizzard Warning (BZW). Sustained or frequent gusts of 35 mph or more. Visibility reduced to less than one-quarter mile due to falling and/or blowing snow for 3 hours or more.
Flash Flood Watch (FFA). The possibility exists for meteorological, soil, and/or hydrologic conditions to lead to flash flooding or a dam or levee may fail and threaten lives or property,
but the threat is not deemed to be imminent.
16 Flash Flood Warning (FFW). Flash flood warnings are issued when flooding is imminent. This product will be reserved for those short-term events which require immediate action to protect
lives and property, such as dangerous small stream flooding or urban flooding and dam or levee failures. High Wind Warning (HWW). Sustained winds of 40 mph or higher and/or gusts of
58 mph or greater, expected over the warned area. Severe Thunderstorm Watch (SVA). Issued when conditions are favorable for the development of severe thunderstorms with wind gusts equal
to or in excess of 58 mph and/or hail size of 3/4 inch (penny) diameter or larger. Severe Thunderstorm Warning (SVW). Issued when there is radar indication and/or reliable spotter reports
of wind gusts equal to or in excess of 50 knots (58 mph) and/or hail size of 3/4 inch (penny) diameter or larger. Warnings imply an imminent threat to life or property. Tornado Watch
(TOA). Issued when conditions are favorable for the development of severe thunderstorms and tornadoes. Tornadoes are possible in the watch area. Tornado Warning (TOW). Issued when a
tornado has been spotted or is indicated by radar. There is an imminent danger to life and property for those in the path of the storm.
17 ANNEX G: APPROVAL This Montana EAS Local Plan was developed and approved by: _____________________________________________ ______________ Administrator, Montana Disaster and Emergency
Services Date _____________________________________________ ______________ National Weather Service, Meteorologist-in-Charge, Date State Liaison Office for Montana (Great Falls) _____________________
________________________ ______________ Montana Broadcasters Association, President Date This document on file and maintained by Montana DES.
7-32-2302. Establishment of curfew --penalty. (1) (a) The governing body of a county may adopt an ordinance that establishes a curfew hour after which minors will not be allowed abroad
on the public streets, roadways, or lands of the county. (b) The ordinance must contain a description of the area covered by the curfew and provide exceptions for approved activities.
The curfew may be countywide or pertain to any portion of the county, including an unincorporated city or town. The curfew may not extend to any area within the boundaries of an incorporated
city or town. (2) It is the duty of any officer or official enforcing the laws of the state to enforce the provisions of this section. (3) A person convicted of violating a curfew ordinance
adopted under subsection (1) shall be punished by a fine in an amount not exceeding $75 or by a sentence of up to 10 hours of community service, or both. Absolute liability, as provided
for in 45-2-104, is imposed for a violation of this section.
10-3-701. Short title. This part may be cited as the "Tactical Incident Assistance Act". 10-3-702. Definitions. As used in this part, the following definitions apply: (1) "Jurisdiction"
means the jurisdiction of any law enforcement agency within Montana. (2) "Tactical incident" means any situation in which it is reasonable to expect the possibility of the loss of life
or the taking of a hostage unless extraordinary steps are taken. These situations may include but are not limited to: (a) a barricaded person with a gun; (b) a person taken hostage;
(c) arrests in extraordinary circumstances; (d) civil disorder; (e) terrorist activity; (f) protection of a dignitary; and (g) courtroom security in extraordinary circumstances. (3)
"Tactical team" means a small group of highly disciplined law enforcement officers trained to provide a quick and ready response to high-risk conditions and situations that go beyond
the capabilities of normally trained and equipped officers. With specialized training, tactics, and equipment, this small group of officers provides a greater expectation of resolving
incidents without loss of property, injury, or loss of life. 10-3-703. Tactical team aiding another jurisdiction. (1) If a tactical incident exceeds the capability of a local law enforcement
agency, the agency administrator may request the assistance of a tactical team from another jurisdiction. (2) A tactical team called to another jurisdiction has peace officer status
in that jurisdiction under the authority of the requesting agency. 10-3-704. Local agency to contact national guard. (1) If a tactical incident exceeds the capability of a local law
enforcement agency, the agency administrator may call the national guard staff duty office for assistance as provided in 10-3-705. (2) The national guard staff duty officer shall inform
the governor of the request. 10-3-705. Tactical incident --national guard assistance. (1) Upon request by a local law enforcement agency administrator, the governor may order the national
guard to provide transportation services and the use of national guard equipment to the requesting agency tactical team or to tactical teams that are providing assistance to the requesting
agency during a tactical incident. (2) This section does not give the national guard the status or authority of peace officers.
44 C.F.R. PART 204—FIRE MANAGEMENT ASSISTANCE GRANT PROGRAM Title 44 -Emergency Management and Assistance Title 44: Emergency Management and Assistance PART 204—FIRE MANAGEMENT ASSISTANCE
GRANT PROGRAM Section Contents Subpart A—General § 204.1 Purpose. § 204.2 Scope. § 204.3 Definitions used throughout this part. §§ 204.4-204.20 [Reserved] Subpart B—Declaration Process
§ 204.21 Fire management assistance declaration criteria. § 204.22 Submitting a request for a fire management assistance declaration. § 204.23 Processing a request for a fire management
assistance declaration. § 204.24 Determination on request for a fire management assistance declaration. § 204.25 FEMA–State agreement for fire management assistance grant program. §
204.26 Appeal of fire management assistance declaration denial. §§ 204.27-204.40 [Reserved] Subpart C—Eligibility § 204.41 Applicant eligibility. § 204.42 Eligible costs. § 204.43 Ineligible
costs. §§ 204.44-204.50 [Reserved] Subpart D—Application Procedures § 204.51 Application and approval procedures for a fire management assistance grant. § 204.52 Application and approval
procedures for a subgrant under a fire management assistance grant. § 204.53 Certifying costs and payments. § 204.54 Appeals. §§ 204.55-204.60 [Reserved] Subpart E—Grant Administration
§ 204.61 Cost share.
§ 204.62 Duplication and recovery of assistance. § 204.63 Allowable costs. § 204.64 Reporting and audit requirements Authority: Robert T. Stafford Disaster Relief and Emergency Assistance
Act, 42 U.S.C. 5121–5206; Reorganization Plan No. 3 of 1978, 43 FR 41943, 3 CFR, 1978 Comp., p. 329; E.O. 12127, 44 FR 19367, 3 CFR, 1979 Comp., p. 376; E.O. 12148, 44 FR 43239, 3 CFR,
1979 Comp., p. 412; and E.O. 12673, 54 FR 12571, 3 CFR, 1989 Comp., p. 214. Source: 66 FR 57347, Nov. 14, 2001, unless otherwise noted. Subpart A—General § 204.1 Purpose. This part provides
information on the procedures for the declaration and grants management processes for the Fire Management Assistance Grant Program in accordance with the provisions of section 420 of
the Stafford Act. This part also details applicant eligibility and the eligibility of costs to be considered under the program. We (FEMA) will actively work with State and Tribal emergency
managers and foresters on the efficient delivery of fire management assistance as directed by this part. § 204.2 Scope. This part is intended for those individuals responsible for requesting
declarations and administering grants under the Fire Management Assistance Grant Program, as well as those applying for assistance under the program. § 204.3 Definitions used throughout
this part. Applicant. A State or Indian tribal government submitting an application to us for a fire management assistance grant, or a State, local, or Indian tribal government submitting
an application to the Grantee for a subgrant under an approved fire management assistance grant. Associate Director. The Associate Director or Assistant Director, as applicable, of the
Readiness, Response and Recovery Directorate of FEMA, or his/her designated representative. Declared fire. An uncontrolled fire or fire complex, threatening such destruction as would
constitute a major disaster, which the Associate Director has approved in response to a State's request for a fire management assistance declaration and in accordance with the criteria
listed in §204.21. Demobilization. The process and procedures for deactivating, disassembling, and transporting back to their point of origin all resources that had been provided to
respond to and support a declared fire.
FEMA Form 90–91. See Project Worksheet. Fire complex. Two or more individual fires located in the same general area, which are assigned to a single Incident Commander. Governor's Authorized
Representative (GAR). The person empowered by the Governor to execute, on behalf of the State, all necessary documents for fire management assistance, including the request for a fire
management assistance declaration. Grant. An award of financial assistance, including cooperative agreements, by FEMA to an eligible Grantee. The grant award will be based on the projected
amount of total eligible costs for which a State submits an application and that FEMA approves related to a declared fire. Grantee. The Grantee is the government to which a grant is
awarded which is accountable for the use of the funds provided. The Grantee is the entire legal entity even if only a particular component of the entity is designated in the grant award
document. Generally, the State, as designated in the FEMA-State Agreement for the Fire Management Assistance Grant Program, is the Grantee. However, after a declaration, an Indian tribal
government may choose to be a Grantee, or it may act as a subgrantee under the State. An Indian tribal government acting as Grantee will assume the responsibilities of a “state”, as
described in this Part, for the purpose of administering the grant. Hazard mitigation plan. A plan to develop actions the State, local, or tribal government will take to reduce the risk
to people and property from all hazards. The intent of hazard mitigation planning under the Fire Management Assistance Grant Program is to identify wildfire hazards and cost-effective
mitigation alternatives that produce long-term benefits. We address mitigation of fire hazards as part of the State's comprehensive Mitigation Plan, described in 44 CFR part 201. Incident
commander. The ranking official responsible for overseeing the management of fire operations, planning, logistics, and finances of the field response. Incident period. The time interval
during which the declared fire occurs. The Regional Director, in consultation with the Governor's Authorized Representative and the Principal Advisor, will establish the incident period.
Generally, costs must be incurred during the incident period to be considered eligible. Indian tribal government. An Indian tribal government is any Federally recognized governing body
of an Indian or Alaska Native tribe, band, nation, pueblo, village, or community that the Secretary of Interior acknowledges to exist as an Indian tribe under the Federally Recognized
Tribe List Act of 1994, 25 U.S.C. 479a. This does not include Alaska Native corporations, the ownership of which is vested in private individuals. Individual assistance. Supplementary
Federal assistance provided under the Stafford Act to individuals and families adversely affected by a major disaster or an emergency. Such assistance
may be provided directly by the Federal Government or through State or local governments or disaster relief organizations. For further information, see subparts D, E, and F of part 206.
Local government. A local government is any county, municipality, city, town, township, public authority, school district, special district, intrastate district, council of governments
(regardless of whether the council of governments is incorporated as a nonprofit corporation under State law), regional or interstate government entity, or agency or instrumentality
of a local government; any Indian tribal government or authorized tribal organization, or Alaska Native village or organization; and any rural community, unincorporated town or village,
or other public entity, for which an application for assistance is made by a State or political subdivision of a State. Mitigation, management, and control. Those activities undertaken,
generally during the incident period of a declared fire, to minimize immediate adverse effects and to manage and control the fire. Eligible activities may include associated emergency
work and pre-positioning directly related to the declared fire. Mobilization. The process and procedures used for activating, assembling, and transporting all resources that the Grantee
requested to respond to support a declared fire. Performance period. The time interval designated in block 13 on the Application for Federal Assistance (Standard Form 424) for the Grantee
and all subgrantees to submit eligible costs and have those costs processed, obligated, and closed out by FEMA. Pre-positioning. Moving existing fire prevention or suppression resources
from an area of lower fire danger to one of higher fire danger in anticipation of an increase in fire activity likely to constitute the threat of a major disaster. Principal advisor.
An individual appointed by the Forest Service, United States Department of Agriculture, or Bureau of Land Management, Department of the Interior, who is responsible for providing FEMA
with a technical assessment of the fire or fire complex for which a State is requesting a fire management assistance declaration. The Principal Advisor also frequently participates with
FEMA on other wildland fire initiatives. Project worksheet. FEMA Form 90–91, which identifies actual costs incurred by eligible applicants as a result of the eligible firefighting activities.
Public assistance. Supplementary Federal assistance provided under the Stafford Act to State and local governments or certain private, nonprofit organizations for eligible emergency
measures and repair, restoration, and replacement of damaged facilities. For further information, see Subparts G and H of Part 206. Regional Director. A director of a regional office
of FEMA, or his/her designated representative. Request for Federal Assistance. See Standard Form (SF) 424.
Standard Form (SF) 424. The SF 424 is the Request for Federal Assistance. This is the form the State submits to apply for a grant under a fire management assistance declaration. Subgrant.
An award of financial assistance under a grant by a Grantee to an eligible subgrantee. Subgrantee. An applicant that is awarded a subgrant and is accountable to the Grantee for the use
of grant funding provided. Threat of a major disaster. The potential impact of the fire or fire complex is of a severity and magnitude that would result in a presidential major disaster
declaration for the Public Assistance Program, the Individual Assistance Program, or both. Uncontrolled fire. Any fire not safely confined to predetermined control lines as established
by firefighting resources. We, our, us mean FEMA. [66 FR 57347, Nov. 14, 2001, as amended at 68 FR 61370, Oct. 28, 2003] §§ 204.4-204.20 [Reserved] Subpart B—Declaration Process § 204.21
Fire management assistance declaration criteria. (a) Determinations. We will approve declarations for fire management assistance when the Associate Director determines that a fire or
fire complex threatens such destruction as would constitute a major disaster. (b) Evaluation criteria. We will evaluate the threat posed by a fire or fire complex based on consideration
of the following specific criteria: (1) Threat to lives and improved property, including threats to critical facilities/infrastructure, and critical watershed areas; (2) Availability
of State and local firefighting resources; (3) High fire danger conditions, as indicated by nationally accepted indices such as the National Fire Danger Ratings System; (4) Potential
major economic impact. § 204.22 Submitting a request for a fire management assistance declaration. The Governor of a State, or the Governor's Authorized Representative (GAR), may submit
a request for a fire management assistance declaration. The request must be submitted while the fire is burning uncontrolled and threatens such destruction as would constitute a major
disaster.
disaster. The request must be submitted to the Regional Director and should address the relevant criteria listed in §204.21, with supporting documentation that contains factual data
and professional estimates on the fire or fire complex. To ensure that we can process a State's request for a fire management assistance declaration as expeditiously as possible, the
State should transmit the request by telephone, promptly followed by written documentation (FEMA Form 90–58). § 204.23 Processing a request for a fire management assistance declaration.
(a) In processing a State's request for a fire management assistance declaration, the Regional Director, in coordination with the Principal Advisor, will verify the information submitted
in the State's request. (b) The Regional Director will then forward the State's request to the Associate Director for determination along with the Principal Advisor's Assessment and
the Regional Summary. (1) Principal Advisor's assessment. The Principal Advisor, at the request of the the Regional Director, is responsible for providing us with a technical assessment
of the fire or fire complex for which the State is requesting a fire management assistance declaration. The Principal Advisor may consult with State agencies, usually emergency management
or forestry, as well as the Incident Commander, in order to provide us with an accurate assessment. (2) Regional summary and recommendation. Upon obtaining all necessary information
on the fire or fire complex from the State and the Principal Advisor, the Regional Director will provide the Associate Director with a summary and recommendation to accompany the State's
request. The summary and recommendation should include a discussion of the threat of a major disaster. § 204.24 Determination on request for a fire management assistance declaration.
The Associate Director will review all information submitted in the State's request along with the Principal Advisor's assessment and Regional summary and render a determination. The
determination will be based on the conditions of the fire or fire complex existing at the time of the State's request. When possible, the Associate Director will evaluate the request
and make a determination within several hours. Once the Associate Director makes a determination, the Associate Director will promptly notify the Regional Director. The Regional Director
will then inform the State of the determination. § 204.25 FEMA–State agreement for fire management assistance grant program. (a) After a State's request for a fire management assistance
declaration has been approved, the Governor and Regional Director will enter into a standing FEMA–State Agreement (the Agreement) for the declared fire and for future declared fires
in that calendar year. The State must have a signed and up-to-date FEMA–State Agreement
before receiving Federal funding for fire management assistance grants. FEMA will provide no funding absent a signed and up-todate Agreement. An Indian tribal government serving as Grantee,
must sign a FEMA–Tribal Tribal Agreement, modeled upon the FEMA–State Agreement.
(b) The Agreement states the understandings, commitments, and conditions under which we will provide Federal assistance, including the cost share provision and articles of agreement
necessary for the administration of grants approved under fire management assistance declarations. The Agreement must also identify the State legislative authority for firefighting,
as well as the State's compliance with the laws, regulations, and other provisions applicable to the Fire Management Assistance Grant Program. (c) For each subsequently declared fire
within the calendar year, the parties must add a properly executed amendment, which defines the incident period and contains the official declaration number. Other amendments modifying
the standing Agreement may be added throughout the year to reflect changes in the program or signatory parties. § 204.26 Appeal of fire management assistance declaration denial. (a)
Submitting an appeal. When we deny a State's request for a fire management assistance declaration, the Governor or GAR may appeal the decision in writing within 30 days after the date
of the letter denying the request. The State should submit this one-time request for reconsideration in writing, with appropriate additional information, to the Associate Director through
the Regional Director. The Associate Director will notify the State of his/her determination on the appeal, in writing, within 90 days of receipt of the appeal or the receipt of additional
requested information. (b) Requesting a time-extension. The Associate Director may extend the 30-day period provided that the Governor or the GAR submits a written request for such an
extension within the 30-day period. The Associate Director will evaluate the need for an extension based on the reasons cited in the request and either approve or deny the request for
an extension. §§ 204.27-204.40 [Reserved] Subpart C—Eligibility § 204.41 Applicant eligibility. (a) The following entities are eligible to apply through a State Grantee for a subgrant
under an approved fire management assistance grant: (1) State agencies; (2) Local governments; and (3) Indian tribal governments. (b) Entities that are not eligible to apply for a subgrant
as identified in (a), such as privately owned entities and volunteer firefighting organizations, may be reimbursed through a contract or compact with an eligible applicant for eligible
costs associated with the fire or fire complex.
(c) Eligibility is contingent upon a finding that the Incident Commander or comparable State official requested the applying entity's resources. (d) The activities performed must be
the legal responsibility of the applying entity, required as the result of the declared fire, and located within the designated area. § 204.42 Eligible costs. (a) General. (1) All eligible
work and related costs must be associated with the incident period of a declared fire. (2) Before obligating Federal funds the Regional Director must review and approve the initial grant
application, along with Project Worksheets submitted with the application and any subsequent amendments to the application. (3) Grantees will award Federal funds to subgrantees under
State law and procedure and complying with 44 CFR part 13. (b) Equipment and supplies. Eligible costs include: (1) Personal comfort and safety items normally provided by the State under
field conditions for firefighter health and safety, including: (2) Firefighting supplies, tools, materials, expended or lost, to the extent not covered by reasonable insurance, will
be replaced with comparable items. (3) Operation and maintenance costs of publicly owned, contracted, rented, or volunteer firefighting department equipment used in eligible firefighting
activities to the extent any of these costs are not included in applicable equipment rates. (4) Use of U.S. Government-owned equipment based on reasonable costs as billed by the Federal
agency and paid by the State. (Only direct costs for use of Federal Excess Personal Property (FEPP) vehicles and equipment on loan to State Forestry and local cooperators may be eligible.)
(5) Repair of equipment damaged in firefighting activities to the extent not covered by reasonable insurance. We will use the lowest applicable equipment rates, or other rates that we
determine, to calculate the eligible cost of repairs. (6) Replacement of equipment lost or destroyed in firefighting activities, to the extent not covered by reasonable insurance, will
be replaced with comparable equipment. (c) Labor costs. Eligible costs include: (1) Overtime for permanent or reassigned State and local employees.
(2) Regular time and overtime for temporary and contract employees hired to perform firerelated activities. (d) Travel and per diem costs. Eligible costs include: (1) Travel and per
diem of employees who are providing services directly associated with eligible fire-related activities may be eligible. (2) Provision of field camps and meals when made available in
place of per diem; (e) Pre-positioning costs. (1) The actual costs of pre-positioning Federal, out-of-State (including compact), and international resources for a limited period may
be eligible when those resources are used in response to a declared fire. (2) The Regional Director must approve all pre-positioning costs. (i) Upon approval of a State's request for
a fire management assistance declaration by the Associate Director, the State should immediately notify the Regional Director of its intention to seek funding for pre-positioning resources.
(ii) The State must document the number of pre-positioned resources to be funded and their respective locations throughout the State, estimate the cost of the pre-positioned resources
that were used on the declared fire and the amount of time the resources were pre-positioned, and provide a detailed explanation of the need to fund the pre-positioned resources . (iii)
The State will base the detailed explanation on recognized scientific indicators, that include, but are not limited to, drought indices, short-term weather forecasts, the current number
of fires burning in the State, and the availability of in-State firefighting resources. The State may also include other quantitative indicators with which to measure the increased risk
of the threat of a major disaster. (iv) Based on the information contained in the State's notification, the Regional Director will determine the number of days of pre-positioning to
be approved for Federal funding, up to a maximum of 21 days before the fire declaration. (3) Upon rendering his/her determination on pre-positioning costs, the Regional Director will
notify the Associate Director of his/her determination. (f) Emergency work. We may authorize the use of section 403 of the Stafford Act, Essential Assistance, under an approved fire
management assistance grant when directly related to the mitigation, management, and control of the declared fire. Essential assistance activities that may be eligible include, but are
not limited to, police barricading and traffic control, extraordinary emergency operations center expenses, evacuations and sheltering, search and rescue, arson investigation teams,
public information, and the limited removal of trees that pose a threat to the general public.
(g) Temporary repair of damage caused by firefighting activities. Temporary repair of damage caused by eligible firefighting activities listed in this subpart involves short-term actions
to repair damage directly caused by the firefighting effort or activities. This includes minimal repairs to bulldozer lines, camps, and staging areas to address safety concerns; as well
as minimal repairs to facilities damaged by the firefighting activities such as fences, buildings, bridges, roads, etc. All temporary repair work must be completed within thirty days
of the close of the incident period for the declared fire. (h) Mobilization and demobilization. Costs for mobilization to, and demobilization from, a declared fire may be eligible for
reimbursement. Demobilization may be claimed at a delayed date if deployment involved one or more declared fires. If resources are being used on more than one declared fire, mobilization
and demobilization costs must be claimed against the first declared fire. (i) Fires on co-mingled Federal/State lands. Reasonable costs for the mitigation, management, and control of
a declared fire burning on co-mingled Federal and State land may be eligible in cases where the State has a responsibility for suppression activities under an agreement to perform such
action on a non-reimbursable basis. (This provision is an exception to normal FEMA policy under the Stafford Act and is intended to accommodate only those rare instances that involve
State firefighting on a Stafford Act section 420 fire incident involving co-mingled Federal/State and privately-owned forest or grassland.) § 204.43 Ineligible costs. Costs not directly
associated with the incident period are ineligible. Ineligible costs include the following: (a) Costs incurred in the mitigation, management, and control of undeclared fires; (b) Costs
related to planning, pre-suppression (i.e., cutting fire-breaks without the presence of an imminent threat, training, road widening, and other similar activities), and recovery (i.e.,
land rehabilitation activities, such as seeding, planting operations, and erosion control, or the salvage of timber and other materials, and restoration of facilities damaged by fire);
(c) Costs for the straight or regular time salaries and benefits of a subgrantee's permanently employed or reassigned personnel; (d) Costs for mitigation, management, and control of
a declared fire on co-mingled Federal land when such costs are reimbursable to the State by a Federal agency under another statute (See 44 CFR part 51); (e) Fires fought on Federal land
are generally the responsibility of the Federal Agency that owns or manages the land. Costs incurred while fighting fires on federally owned land are not eligible under the Fire Management
Assistance Grant Program except as noted in §204.42(i). §§ 204.44-204.50 [Reserved]
Subpart D—Application Procedures § 204.51 Application and approval procedures for a fire management assistance grant. (a) Preparing and submitting an application. (1) After the approval
of a fire management assistance declaration, the State may submit an application package for a grant to the Regional Director. The application package must include the SF 424 (Request
for Federal Assistance) and FEMA Form 20–16a (Summary of Assurances—Non-construction Programs), as well as supporting documentation for the budget. (2) The State should submit its grant
application within 9 months of the declaration. Upon receipt of the written request from the State, the Regional Director may grant an extension for up to 3 months. The State's request
must include a justification for the extension. (b) Fire cost threshold. (1) We will approve the initial grant award to the State when we determine that the State's application demonstrates
either of the following: (i) Total eligible costs for the declared fire meet or exceed the individual fire cost threshold; or (ii) Total costs of all declared and non-declared fires
for which a State has assumed responsibility in a given calendar year meet the cumulative fire cost threshold. (2) The individual fire cost threshold for a State is the greater of the
following: (i) $100,000; or (ii) Five percent × $1.07 × the State population, adjusted annually for inflation using the Consumer Price Index for All Urban Consumers published annually
by the Department of Labor. (3) The cumulative fire cost threshold for a State is the greater of the following: (i) $500,000; or (ii) Three times the five percent × $1.07 × the State
population as described in §204.51(b)(2)(ii). (4) States must document the total eligible costs for a declared fire on Project Worksheets, which they must submit with the grant application.
(5) We will not consider the costs of pre-positioning resources for the purposes of determining whether the grant application meets the fire cost threshold. (6) When the State's total
eligible costs associated with the fire management assistance declaration meet or exceed the fire cost threshold eligible costs will be cost shared in accordance with §204.61. (c) Approval
of the State's grant application. The Regional Director has 45 days from receipt the State's grant application or an amendment to the State's grant application, including attached
supporting Project Worksheet(s), to review and approve or deny the grant application or amendment; or to notify the Grantee of a delay in processing funding. (d) Obligation of the grant.
Before we approve the State's grant application, the State must have an up-to-date State Administrative Plan and a Hazard Mitigation Plan that has been reviewed and approved by the Regional
Director. Once these plans are approved by the Regional Director, the State's grant application may be approved and we may begin to obligate the Federal share of funding for subgrants
to the Grantee. (1) State administrative plan.(i) The State must develop an Administrative Plan (or have a current Administrative Plan on file with FEMA) that describes the procedures
for the administration of the Fire Management Assistance Grant Program. The Plan will include, at a minimum, the items listed below: (A) The designation of the State agency or agencies
which will have responsibility for program administration. (B) The identification of staffing functions for the Fire Management Assistance Program, the sources of staff to fill these
functions, and the management and oversight responsibilities of each. (C) The procedures for: (1) Notifying potential applicants of the availability of the program; (2) Assisting FEMA
in determining applicant eligibility; (3) Submitting and reviewing subgrant applications; (4) Processing payment for subgrants; (5) Submitting, reviewing, and accepting subgrant performance
and financial reports; (6) Monitoring, close-out, and audit and reconciliation of subgrants; (7) Recovering funds for disallowed costs; (8) Processing appeal requests and requests for
time extensions; and (9) Providing technical assistance to applicants and subgrant recipients, including briefings for potential applicants and materials on the application procedures,
program eligibility guidance and program deadlines. (ii) The Grantee may request the Regional Director to provide technical assistance in the preparation of the State Administrative
Plan.
(2) Hazard Mitigation Plan. As a requirement of receiving funding under a fire management assistance grant, a State, or tribal organization, acting as Grantee, must: (i) Develop a Mitigation
Plan in accordance with 44 CFR part 201 that addresses wildfire risks and mitigation measures; or (ii) Incorporate wildfire mitigation into the existing Mitigation Plan developed and
approved under 44 CFR part 201 that also addresses wildfire risk and contains a wildfire mitigation strategy and related mitigation initiatives. [66 FR 57347, Nov. 14, 2001, as amended
at 68 FR 61371, Oct. 28, 2003] § 204.52 Application and approval procedures for a subgrant under a fire management assistance grant. (a) Request for Fire Management Assistance. (1) State,
local, and tribal governments interested in applying for subgrants under an approved fire management assistance grant must submit a Request for Fire Management Assistance to the Grantee
in accordance with State procedures and within timelines set by the Grantee, but no longer than 30 days after the close of the incident period. (2) The Grantee will review and forward
the Request to the Regional Director for final review and determination. The Grantee may also forward a recommendation for approval of the Request to the Regional Director when appropriate.
(3) The Regional Director will approve or deny the request based on the eligibility requirements outlined in §204.41. (4) The Regional Director will notify the Grantee of his/her determination;
the Grantee will inform the applicant. (b) Preparing a Project Worksheet. (1) Once the Regional Director approves an applicant's Request for Fire Management Assistance, the Regional
Director's staff may begin to work with the Grantee and local staff to prepare Project Worksheets (FEMA Form 90–91). (2) The Regional Director may request the Principal Advisor to assist
in the preparation of Project Worksheets. (3) The State will be the primary contact for transactions with and on behalf of the applicant. (c) Submitting a Project Worksheet. (1) Applicants
should submit all Project Worksheets through the Grantee for approval and transmittal to the Regional Director as amendments to the State's application. (2) The Grantee will determine
the deadline for an applicant to submit completed Project Worksheets, but the deadline must be no later than six months from close of the incident period.
(3) At the request of the Grantee, the Regional Director may grant an extension of up to three months. The Grantee must include a justification in its request for an extension. (4) Project
Worksheets will not be accepted after the deadline and extension specified in paragraphs (c)(2) and (c)(3) of this section has expired. (5) $1,000 Project Worksheet minimum. When the
costs reported are less than $1,000, that work is not eligible and we will not approve that Project Worksheet. § 204.53 Certifying costs and payments. (a) By submitting applicants' Project
Worksheets to us, the Grantee is certifying that all costs reported on applicant Project Worksheets were incurred for work that was performed in compliance with FEMA laws, regulations,
policy and guidance applicable to the Fire Management Assistance Grant Program, as well as with the terms and conditions outlined for the administration of the grant in the FEMA-State
Agreement for the Fire Management Assistance Grant Program. (b) Advancement/Reimbursement for State grant costs will be processed as follows: (1) Through the U.S. Department of Health
and Human Services SMARTLINK system; and (2) In compliance with 44 CFR 13.21 and U. S. Treasury 31 CFR part 205, Cash Management Improvement Act. § 204.54 Appeals. An eligible applicant,
subgrantee, or grantee may appeal any determination we make related to an application for the provision of Federal assistance according to the procedures below. (a) Format and content.
The applicant or subgrantee will make the appeal in writing through the grantee to the Regional Director. The grantee will review and evaluate all subgrantee appeals before submission
to the Regional Director. The grantee may make grantee-related appeals to the Regional Director. The appeal will contain documented justification supporting the appellant's position,
specifying the monetary figure in dispute and the provisions in Federal law, regulation, or policy with which the appellant believes the initial action was inconsistent. (b) Levels of
appeal. ((1) The Regional Director will consider first appeals for fire management assistance grant-related decisions under subparts A through E of this part. (2) The Associate Director
will consider appeals of the Regional Director's decision on any first appeal under paragraph (b)(1) of this section. (c) Time limits. (1) Appellants must file appeals within 60 days
after receipt of a notice of the action that is being appealed.
(2) The grantee will review and forward appeals from an applicant or subgrantee, with a written recommendation, to the Regional Director within 60 days of receipt. (3) Within 90 days
following receipt of an appeal, the Regional Director (for first appeals) or Associate Director (for second appeals) will notify the grantee in writing of the disposition of the appeal
or of the need for additional information. A request by the Regional Director or Associate Director for additional information will include a date by which the information must be provided.
Within 90 days following the receipt of the requested additional information or following expiration of the period for providing the information, the Regional Director or Associate Director
will notify the grantee in writing of the disposition of the appeal. If the decision is to grant the appeal, the Regional Director will take appropriate implementing action. (d) Technical
advice. In appeals involving highly technical issues, the Regional Director or Associate Director may, at his or her discretion, submit the appeal to an independent scientific or technical
person or group having expertise in the subject matter of the appeal for advice or recommendation. The period for this technical review may be in addition to other allotted time periods.
Within 90 days of receipt of the report, the Regional Director or Associate Director will notify the grantee in writing of the disposition of the appeal. (e) The decision of the Associate
Director at the second appeal level will be the final administrative decision of FEMA. §§ 204.55-204.60 [Reserved] Subpart E—Grant Administration § 204.61 Cost share. (a) All fire management
assistance grants are subject to a cost share. The Federal cost share for fire management assistance grants is seventy-five percent (75%). (b) As stated in §204.25, the cost share provision
will be outlined in the terms and conditions of the FEMA-State Agreement for the Fire Management Assistance Grant Program. § 204.62 Duplication and recovery of assistance. (a) Duplication
of benefits. We provide supplementary assistance under the Stafford Act, which generally may not duplicate benefits received by or available to the applicant from insurance, other assistance
programs, legal awards, or any other source to address the same purpose. An applicant must notify us of all benefits that it receives or anticipates from other sources for the same purpose,
and must seek all such benefits available to them. We will reduce the grant by the amounts available for the same purpose from another source. We may provide assistance under this Part
when other benefits are available to an applicant, but the applicant will be liable to us for any duplicative amounts that it receives or has available to it from other sources, and
must repay us for such amounts.
(b) Duplication of programs. We will not provide assistance under this part for activities for which another Federal agency has more specific or primary authority to provide assistance
for the same purpose. We may disallow or recoup amounts that fall within another Federal agency's authority. We may provide assistance under this part, but the applicant must agree to
seek assistance from the appropriate Federal agency and to repay us for amounts that are within another Agency's authority. (c) Negligence. We will provide no assistance to an applicant
for costs attributable to applicant's own negligence. If the applicant suspects negligence by a third party for causing a condition for which we made assistance available under this
Part, the applicant is responsible for taking all reasonable steps to recover all costs attributable to the negligence of the third party. We generally consider such amounts to be duplicated
benefits available to the Grantee or subgrantee, and will treat them consistent with (a) of this section. (d) Intentional acts. Any person who intentionally causes a condition for which
assistance is provided under this part shall be liable to the United States to the extent that we incur costs attributable to the intentional act or omission that caused the condition.
We may provide assistance under this part, but it will be conditioned on an agreement by the applicant to cooperate with us in efforts to recover the cost of the assistance from the
liable party. A person shall not be liable under this section as a result of actions the person takes or omits in the course of rendering care or assistance in response to the fire.
§ 204.63 Allowable costs. 44 CFR 13.22 establishes general policies for determining allowable costs. (a) We will reimburse direct costs for the administration of a fire management assistance
grant under 44 CFR part 13. (b) We will reimburse indirect costs for the administration of a fire management assistance grant in compliance with the Grantee's approved indirect cost
rate under OMB Circular A–87. § 204.64 Reporting and audit requirements (a) Reporting. Within 90-days of the Performance Period expiration date, the State will submit a final Financial
Status Report (FEMA Form 20–10), which reports all costs incurred within the incident period and all administrative costs incurred within the performance period; and (b) Audit. (1) Audits
will be performed, for both the Grantee and the subgrantees, under 44 CFR 13.26. (2) FEMA may elect to conduct a program-specific Federal audit on the Fire Management Assistance Grant
or a subgrant.
10-3-406. Authority of principal executive officer. (1) Upon the declaration of an emergency or disaster under 10-3-402 or 10-3-403 and the issuance of an order as required by 10-3-404,
the principal executive officer may: (a) direct and compel the evacuation of all or part of the population from an incident or emergency or disaster area within that political subdivision
when necessary for the preservation of life or other disaster mitigation, response, or recovery; and (b) control the ingress and egress to and from an incident or emergency or disaster
area and the movement of persons within the area. (2) Subject to 7-33-2212(4)(a), the authority to control ingress and egress, as provided in subsection (1)(b), includes the authority
to close wildland areas to access during periods of extreme fire danger.
76-13-116. Duties of firewardens --liability. (1) In addition to the duties prescribed by rule pursuant to 76-13-104(7), a firewarden appointed by the department shall promptly report
all fires to the department, take immediate and active steps toward their extinguishment, report any violation of the provisions of Title 76, chapter 13, parts 1 and 2, and assist in
apprehending and convicting offenders. (2) A firewarden is not liable for civil action for trespass committed in the discharge of the firewarden's duties, and the provisions of 45-6-203
do not apply to a firewarden acting within the course and scope of the firewarden's duties. (3) A firewarden who has information that shows, with reasonable certainty, that a person
has violated any provision of Title 76, chapter 13, parts 1 and 2, shall immediately take action against the offender by making a complaint before the appropriate authority or by providing
information to the appropriate county attorney and shall obtain all possible evidence pertaining to the violation. 36.10.133 FIREWARDEN QUALIFICATIONS AND DUTIES (1) All firewardens
may perform the duties prescribed in (3) on private, state, or state-protected federal lands. (2) To qualify as a firewarden, a person must possess knowledge of wildland fires and be
able to prevent, detect, suppress, or investigate wildland fires, and to coordinate, or in any manner facilitate, the furtherance of the fire policy provided for in 76-13-115, MCA. (3)
In addition to the duties prescribed in 76-13-116, MCA, a firewarden is responsible for carrying out the following duties: (a) perform as a liaison between local, state, and federal
agencies, incident management teams, and suppression forces as relates to wildland fire; (b) coordinate training, prevention, detection, suppression, or mitigation of wildland fire activities
between local, state, and federally recognized fire-protection agencies; and (c) assist in determining the origin and cause of wildland fires and in recovering wildland fire-suppression
costs and, if necessary, assist with the criminal prosecution of wildland fire-related criminal offenses. History: 76-13-104, MCA; IMP, 76-13-104, MCA; NEW, 2008 MAR p. 2559, Eff. 12/12/08.
7-33-2201. Authority of county governing body to protect range, farm, and forest resources. For the purpose of protection and conservation of range, farm, and forest resources and of
the prevention of soil erosion, the county governing body may perform the functions provided in this part. 7-33-2202. Functions of county governing body. (1) The county governing body,
with respect to rural fire control, shall carry out the specific authorities and duties imposed in this section.
(2) The governing body shall: (a) provide for the organization of volunteer rural fire control crews; and (b) provide for the formation of county volunteer fire companies. (3) The governing
body shall appoint a county rural fire chief and as many district rural fire chiefs, subject to the direction and supervision of the county rural fire chief, that it considers necessary.
(4) Pursuant to 76-13-105(3), the county governing body shall, within the limitations of 7-33-2205, 7-33-2206, 7-33-2208, and 7-33-2209, either: (a) directly protect from fire land in
the county that is not in a wildland fire protection district, as provided in 76-13-204, or under the protection of a municipality, state agency, or federal agency; or (b) enter into
an agreement for wildland fire protection with a recognized agency, as that term is defined in 76-13-102. (5) The county governing body may enter into mutual aid agreements for itself
and for county volunteer fire companies with: (a) other fire districts; (b) unincorporated municipalities; (c) incorporated municipalities; (d) state agencies; (e) private fire prevention
agencies; (f) federal agencies; (g) fire service areas; (h) governing bodies of other political subdivisions in Montana; or (i) governing bodies of fire protection services, emergency
medical care providers, and local government subdivisions of any other state or the United States pursuant to Title 10, chapter 3, part 11. (6) If the county governing body has not concluded
a mutual aid agreement, the county
governing body, a representative of the county governing body, or an incident commander may request assistance pursuant to 10-3-209. 7-33-2203. County rural fire chief. The county rural
fire chief may be a regular county officer or other person who in the opinion of the board is the best qualified to perform the duties of this office and who is not entitled to additional
compensation for the duties hereby imposed. 7-33-2205. Establishment of fire season --permit requirements --reimbursement of costs. (1) The county governing body may in its discretion
establish fire seasons annually, during which a person may not ignite or set a fire, including a slashburning fire, land-clearing fire, debris-burning fire, or open fire within the county
protection area on any residential or commercial property, forest, range, or croplands subject to the provisions of this part without having obtained an official written permit or permission
to ignite or set a fire from the recognized protection agency for that protection area. (2) A permit or permission is not needed for recreational fires measuring less than 48 inches
in diameter that are surrounded by a nonflammable structure and for which a suitable source of extinguishing the fire is available. (3) A person who purposely ignites a fire in violation
of this section shall reimburse the county governing body or recognized protection agency for costs incurred for any fire suppression activities resulting from the illegal fire, as provided
in 50-63-103. 7-33-2206. Violations. A person who ignites or sets a fire, including a slash-burning fire, land-clearing fire, debris-burning fire, or open fire on any residential or
commercial property, forest, range, or cropland subject to the provisions of this part without first having obtained a written permit or permission from the recognized protection agency
for that protection area to ignite or set the fire is guilty of a misdemeanor. 7-33-2208. Fire control powers --liability. (1) Any county rural fire chief, district rural fire chief
chief or deputy, or fire service area or fire company fire chief or deputy may enter private property or direct the entry of fire control crews for the purpose of suppressing fires.
(2) A chief or deputy and the county, rural district, fire company, or fire service area are immune from suit for injury to persons or property resulting from actions taken to suppress
fires under 10-3-209 or this section. An entity or individual listed in this section
is also immune from suit for injury to persons or property resulting from a determination not to provide assistance requested pursuant to 10-3-209. 7-33-2209. Finance of fire control
activities --voted levy for volunteer firefighters' disability income insurance. (1) The county governing body may appropriate funds for the purchase, care, and maintenance of firefighting
equipment or for the payment of wages in prevention, detection, and suppression of fires. (2) Subject to 15-10-420, if the general fund is budgeted to the full limit, the county governing
body may, at any time fixed by law for levy and assessment of taxes, levy a tax for the purposes of subsection (1). (3) Subject to 15-10-425, the county governing body may levy a tax
for the purpose of purchasing disability income insurance coverage for volunteer firefighters of volunteer rural fire control crews and county volunteer fire companies as provided in
7-6-621. 7-33-2210. State to be reimbursed for wildland fire suppression activities in noncooperating counties. A county that has not entered into a cooperative or other written agreement
with the state for wildland fire protection shall reimburse the state for costs incurred by the state in connection with state fire suppression activities resulting from a wildland fire
emergency on land in that county that is not in a wildland fire protection district, as provided in 76-13-204, or protected through an agreement with a recognized agency, as provided
in 7-33-2202(4)(b). 7-33-2211. Levy against certain properties prohibited. The levy authorized by this part may not be assessed against properties located within the incorporated boundaries
of a city or town. 7-33-2212. Activity restrictions in high fire hazard areas. (1) A board of county commissioners may designate areas on private land or on land that is not under the
jurisdiction of a municipality or a state or federal agency as high fire hazard areas. (2) Except as provided in 87-3-106(2), in designated high fire hazard areas, the board may require
all persons, firms, or corporations present or engaged in any activity in those areas to cease operations or activities or to adjust working hours to less critical periods of the day.
(3) The presiding officer of the board may control ingress and egress into a high fire hazard area if an emergency or disaster is declared under the provisions of Title 10, chapter 3,
part 4. (4) (a) An entity that is conducting official business, an entity having actual residence as a permanent or principal place of abode in the designated area, or an entity engaged
in employment that does not present a fire hazard must be allowed ingress and egress unless there is
a significant risk to human health or safety. (b) For the purposes of this section, "official business" includes but is not limited to the functions of governmental agencies and the
activities of utilities, cooperatives, and telecommunications providers to operate, construct, repair, and maintain utility facilities that are essential to the public.
7-4-2911. Duties of county coroner. The county coroner shall: (1) hold inquests as provided in Title 46, chapter 4, parts 1 and 2; (2) inquire into the cause, manner, and circumstances
of all human deaths, as required in 46-4-122, and establish the identity of the deceased person; (3) provide decent disposal of an unclaimed dead human body and unclaimed parts of bodies
believed to be human; (4) maintain records of inquiries as required by good practice and by law; (5) as soon as practicable upon identifying a dead human body, provide for notifying
the next of kin of the deceased of the fact of death in any death into which the coroner is making an inquiry; (6) if a law enforcement agency does not have jurisdiction of the case,
preserve evidence involving any human death, pursuant to the coroner's authority, including placing under the coroner's control, to the extent necessary, any personal and real property
that may be related to or involved in the death; (7) witness and certify deaths that are the result of a judicial order; (8) inquire into any human death when no physician or surgeon
licensed in the state will sign a death certificate; (9) notify the county attorney and the law enforcement agency having jurisdiction of all deaths requiring inquiry pursuant to 46-4-122;
and (10) in the cases specified in 25-3-205, discharge the duties of sheriff. If acting as sheriff, the coroner is allowed the same salary as sheriff or the same fees as constable for
similar services.
50-2-118. Powers and duties of local health officers. In order to carry out the purpose of the public health system, in collaboration with federal, state, and local partners, local health
officers or their authorized representatives shall: (1) make inspections for conditions of public health importance and issue written orders for compliance or for correction, destruction,
or removal of the condition; (2) take steps to limit contact between people in order to protect the public health from imminent threats, including but not limited to ordering the closure
of buildings or facilities where people congregate and canceling events; (3) report communicable diseases to the department as required by rule; (4) establish and maintain quarantine
and isolation measures as adopted by the local board of health; and (5) pursue action with the appropriate court if this chapter or rules adopted by the local board or department under
this chapter are violated.
50-2-103. Federal funds. The department may accept funds for public health from an agency of the federal government or from any other agency or person and allocate funds to local boards.
50-2-104. County boards of health. (1) There is a county board of health in each county consisting of: (a) the county commissioners and two members who are appointed by the county commissioners
and serve at their pleasure; or (b) a minimum of five persons who are appointed by the county commissioners and serve at their pleasure. (2) Terms of appointed members must be staggered
and be for 3 years each. (3) The county commissioners shall establish the staggered order of terms and all rules necessary to establish and maintain the board. 50-2-105. City boards
of health. (1) There is a city board of health in each firstand second-class city consisting of five persons who are appointed by the governing body of the city and serve at its pleasure.
(2) Terms of appointed members shall be staggered and shall be for 3 years each. (3) The governing body of the city shall establish the staggered order of terms and all regulations necessary
to establish and maintain the board. 50-2-106. City-county boards of health. (1) By mutual agreement between the county commissioners and the governing body of the city or cities, the
county and a city or cities may form a city-county board of health. (2) A city-county board of health consists of: (a) one person appointed by the county commissioners who serves at
their pleasure; (b) one person appointed by the governing body of each city that participates in the city-county board who serves at the pleasure of the appointing governing body; (c)
additional members appointed by the county commissioners and governing body or bodies of the city or cities participating in the city-county board as mutually agreed upon who serve at
the pleasure of the appointing commissioners or governing body. (3) The board must be composed of at least five persons. Terms of appointed members must be staggered and must be for
3 3 years each. (4) By mutual agreement between the county commissioners and the governing body of the city or cities, they shall establish the staggered order of terms and all regulations
necessary to establish and maintain the board.
50-2-107. District boards of health. (1) By mutual agreement, two or more adjacent counties may unite to create a district board of health. First-and second-class cities located in those
counties may elect to be included in the district. (2) A district board of health consists of: (a) one person appointed by the county commissioners of each county in the district who
serves at the pleasure of the appointing commissioners; (b) one person appointed by the governing body of each city that elects to be included in the district who serves at the pleasure
of the appointing governing body; (c) additional members appointed by the county commissioners of each county that participates in the district board as mutually agreed upon who serve
at the pleasure of the appointing commissioners. 50-2-108. Financing of local boards --inspection fund. (1) Local boards are financed by general fund appropriations, special levy appropriations,
state and federal funds available, and contributions from school boards and other official and nonofficial agencies. (2) There is within the state special revenue fund a local board
inspection fund account. 50-2-109. County board appropriations. County boards are financed by an appropriation from the general fund of the county after approval of a budget in the way
provided for other county offices and departments under Title 7, chapter 6, part 23. 50-2-110. City board appropriations. City boards are financed by an appropriation from the general
fund of the city after approval of a budget in the way provided for other city offices and departments under Title 7, chapter 6, part 42. 50-2-111. City-county board appropriations.
If a city-county board is created, it is financed by one of the following methods: (1) (a) The county commissioners and governing body of each participating city may mutually agree upon
the division of expenses. (b) The county's part of the total expenses is financed by an appropriation from the general fund of the county after approval of a budget in the way provided
for other county offices and departments under Title 7, chapter 6, part 40. (c) Each participating city's part of the total expenses is financed by an appropriation from the general
fund of the city after approval of a budget in the way provided for other
city offices and departments under Title 7, chapter 6, part 40. (d) All money must be deposited with the county treasurer who shall disburse the money as county funds. (2) (a) The county
commissioners and governing body of each participating city may mutually agree upon the division of the expenses. (b) Subject to 15-10-420, the county's part of the total expenses is
financed by a levy on the taxable value of all taxable property outside the incorporated limits of each participating city after approval of a budget in the way provided for other county
offices and departments under Title 7, chapter 6, part 40. If the levy is not sufficient to fund the county's share, the county commissioners may supplement it with an appropriation
from the county general fund. (c) Subject to 15-10-420, each participating city's part of the total expenses is financed by a levy on the taxable value of all taxable property within
the incorporated limits of the city after approval of a budget in the way provided for other city offices and departments under Title 7, chapter 6, part 40. (d) All money must be deposited
with the county treasurer who shall disburse the money as county funds. 50-2-112. District board appropriations. (1) District boards are financed by appropriations from the general funds
of each county in the district in proportion to the population in each county. (2) First-and second-class cities which elect to be included in the district contribute to the county in
which they are located in the way provided for city-county boards under 50-2-111. (3) All funds shall be deposited with the county treasurer of one of the counties as agreed upon by
the commissioners of the counties in the district. The county treasurer shall disburse the funds as county funds. 50-2-113. Contributions by school boards and other agencies authorized.
School boards and other official and nonofficial agencies may contribute funds to a local board. 50-2-115. Legal adviser to local boards. The county attorney shall serve as legal adviser
to local local boards as established by 50-2-104 and 50-2-106. The county attorney shall represent the local board in those matters relating to the functions, powers, and duties of local
boards.
50-2-116. Powers and duties of local boards of health. (1) In order to carry out the purposes of the public health system, in collaboration with federal, state, and local partners, each
local board of health shall: (a) appoint and fix the salary of a local health officer who is: (i) a physician; (ii) a person with a master's degree in public health; or (iii) a person
with equivalent education and experience, as determined by the department; (b) elect a presiding officer and other necessary officers; (c) employ qualified staff; (d) adopt bylaws to
govern meetings; (e) hold regular meetings at least quarterly and hold special meetings as necessary; (f) identify, assess, prevent, and ameliorate conditions of public health importance
through: (i) epidemiological tracking and investigation; (ii) screening and testing; (iii) isolation and quarantine measures; (iv) diagnosis, treatment, and case management; (v) abatement
of public health nuisances; (vi) inspections; (vii) collecting and maintaining health information; (viii) education and training of health professionals; or (ix) other public health
measures as allowed by law; (g) protect the public from the introduction and spread of communicable disease or other conditions of public health importance, including through actions
to ensure the removal of filth or other contaminants that might cause disease or adversely affect public health; (h) supervise or make inspections for conditions of public health importance
and issue written orders for compliance or for correction, destruction, or removal of the conditions; (i) bring and pursue actions and issue orders necessary to abate, restrain, or prosecute
the violation of public health laws, rules, and local regulations; (j) identify to the department an administrative liaison for public health. The liaison must be the local health officer
in jurisdictions that employ a full-time local health officer. In jurisdictions that do not employ a full-time local health officer, the liaison must be the highest ranking public health
professional employed by the jurisdiction. (k) subject to the provisions of 50-2-130, adopt necessary regulations that are not less
stringent than state standards for the control and disposal of sewage from private and public buildings and facilities that are not regulated by Title 75, chapter 6, or Title 76, chapter
4. The regulations must describe standards for granting variances from the minimum requirements that are identical to standards promulgated by the board of environmental review and must
provide for appeal of variance decisions to the department as required by 75-5-305. (2) Local boards of health may: (a) accept and spend funds received from a federal agency, the state,
a school district, or other persons or entities; (b) adopt necessary fees to administer regulations for the control and disposal of sewage from private and public buildings and facilities;
(c) adopt regulations that do not conflict with rules adopted by the department: (i) for the control of communicable diseases; (ii) for the removal of filth that might cause disease
or adversely affect public health; (iii) subject to the provisions of 50-2-130, for sanitation in public and private buildings and facilities that affects public health and for the maintenance
of sewage treatment systems that do not discharge effluent directly into state water and that are not required to have an operating permit as required by rules adopted under 75-5-401;
(iv) subject to the provisions of 50-2-130 and Title 50, chapter 48, for tattooing and body-piercing establishments and that are not less stringent than state standards for tattooing
and body-piercing establishments; (v) for the establishment of institutional controls that have been selected or approved by the: (A) United States environmental protection agency as
part of a remedy for a facility under the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980, 42 U.S.C. 9601, et seq.; or (B) department of environmental
quality as part of a remedy for a facility under the Montana Comprehensive Environmental Cleanup and Responsibility Act, Title 75, chapter 10, part 7; and (vi) to implement the public
public health laws; and (d) promote cooperation and formal collaborative agreements between the local board of health and tribes, tribal organizations, and the Indian health service
regarding public health planning, priority setting, information and data sharing, reporting, resource allocation, service delivery, jurisdiction, and other matters addressed in this
title. (3) A local board of health may provide, implement, facilitate, or encourage other public health services and functions as considered reasonable and necessary.
50-2-117. Appointment of local health officer by department when not made by local health board. (1) If a local health board does not appoint a health officer, the department may appoint
a health officer 30 days after notification in writing has been given to the local health board. (2) A health officer appointed by the department has the same authority as a health officer
appointed by a local health board. 50-2-118. Powers and duties of local health officers. In order to carry out the purpose of the public health system, in collaboration with federal,
state, and local partners, local health officers or their authorized representatives shall: (1) make inspections for conditions of public health importance and issue written orders for
compliance or for correction, destruction, or removal of the condition; (2) take steps to limit contact between people in order to protect the public health from imminent threats, including
but not limited to ordering the closure of buildings or facilities where people congregate and canceling events; (3) report communicable diseases to the department as required by rule;
(4) establish and maintain quarantine and isolation measures as adopted by the local board of health; and (5) pursue action with the appropriate court if this chapter or rules adopted
by the local board or department under this chapter are violated. 50-2-119. Nursing services. (1) A local board may employ a qualified nurse for nursing services to persons under a physician's
care who are confined to their homes. (2) Before nursing services are provided, a physician must: (a) determine that the person needs the services of a visiting nurse; (b) direct the
nurse to visit the person; (c) specify the type and duration of services to be performed by the nurse. (3) Persons shall pay for the services at rates set by the local board. Local boards,
on behalf of persons receiving services, may accept payment from persons or public agencies either directly from or by contract with the person or agency. All payments received shall
be deposited in a special county or city fund and used to defray expenses of providing the service. 50-2-120. Assistance from law enforcement officials. A state or local health officer
may request a sheriff, constable, or other peace officer to assist the health
officer in carrying out the provisions of this chapter. If the officer does not render the service, the officer is guilty of a misdemeanor and may be removed from office. 50-2-121. Removal
of diseased prisoner from jail by local health officer. (1) On written order of a local health officer, a diseased prisoner who is held in a jail and who is considered dangerous to the
health of other prisoners may be removed to a hospital or other place of safety. (2) If the prisoner was committed to jail by order of a court, the order for removal and treatment must
be signed by the local health officer and filed with the court. (3) When the prisoner recovers from the disease, the prisoner must be returned to the jail. (4) A prisoner removed to
a hospital or clinic for treatment may not be considered to have committed an escape. 50-2-122. Obstructing local health officer in the performance of duties unlawful. It is unlawful
to: (1) hinder a local health officer in the performance of duties under this chapter; (2) remove or deface any placard or notice posted by the local health officer; or (3) violate a
quarantine regulation. 50-2-123. Compliance order authorized. If a person refuses or neglects to comply with a written order of a state or local health officer within a reasonable time
specified in the order, the state or local health officer may cause the order to be complied with and initiate an action to recover any expenses incurred from the person who refused
or neglected to comply with the order. The action to recover expenses shall be brought in the name of the city or county. 50-2-124. Penalties for violations. (1) A person who does not
comply with rules adopted by a local board is guilty of a misdemeanor. On conviction, the person shall be fined not less than $10 or more than $200. (2) Except as provided in 50-2-123
and subsection (1) of this section, a person who violates the provisions of this chapter or rules adopted by the department under the provisions of this chapter is guilty of a misdemeanor.
On conviction, conviction, the person shall be fined not less than $10 or more than $500 or be imprisoned for not more than 90 days, or both. (3) Each day of violation constitutes a
separate offense.
(4) Fines, except justice's court fines, must be paid to the county treasurer of the county in which the violation occurs. 50-2-130. Local regulations no more stringent than state regulations
or guidelines. (1) After April 14, 1995, except as provided in subsections (2) through (4) or unless required by state law, the local board may not adopt a rule under 50-2-116(1)(k),
(2)(c)(iii), or (2)(c)(iv) that is more stringent than the comparable state regulations or guidelines that address the same circumstances. The local board may incorporate by reference
comparable state regulations or guidelines. (2) The local board may adopt a rule to implement 50-2-116(1)(k), (2)(c)(iii), or (2)(c)(iv) that is more stringent than comparable state
regulations or guidelines only if the local board makes a written finding, after a public hearing and public comment and based on evidence in the record, that: (a) the proposed local
standard or requirement protects public health or the environment; and (b) the local board standard or requirement to be imposed can mitigate harm to the public health or environment
and is achievable under current technology. (3) The written finding must reference information and peer-reviewed scientific studies contained in the record that forms the basis for the
local board's conclusion. The written finding must also include information from the hearing record regarding the costs to the regulated community that are directly attributable to the
proposed local standard or requirement. (4) (a) A person affected by a rule of the local board adopted after January 1, 1990, and before April 14, 1995, that that person believes to
be more stringent than comparable state regulations or guidelines may petition the local board to review the rule. If the local board determines that the rule is more stringent than
comparable state regulations or guidelines, the local board shall comply with this section by either revising the rule to conform to the state regulations or guidelines or making the
written finding, as provided under subsection (2), within a reasonable period of time, not to exceed 12 months after receiving the petition. A petition under this section does not relieve
the petitioner of the duty to comply with the challenged rule. The local board may charge a petition filing fee in an amount not to exceed $250. (b) A person may also petition the local
board for a rule review under subsection (4)(a) if the local board adopts a rule after January 1, 1990, in an area in which no state regulations or guidelines existed and the state government
subsequently establishes
comparable regulations or guidelines that are less stringent than the previously adopted local board rule.
487 COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION, AND LIABILITY ACT OF 1980 ‘‘SUPERFUND’’ Q:\COMP\ENVIR2\CERCLA December 31, 2002
Q:\COMP\ENVIR2\CERCLA December 31, 2002
489 1 This table of contents is not part of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 but is set forth for the convenience of the users of this
publication. [As Amended Through P.L. 107–377, December 31, 2002] TABLE OF CONTENTS FOR COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION, AND LIABILITY ACT OF 1980 (SUPERFUND) 1 TITLE
I—HAZARDOUS SUBSTANCES RELEASES, LIABILITY, COMPENSATION Sec. 101. Definitions. Sec. 102. Reportable quantities and additional designations. Sec. 103. Notices, penalties. Sec. 104. Response
authorities. Sec. 105. National contingency plan. Sec. 106. Abatement action. Sec. 107. Liability. Sec. 108. Financial responsibility. Sec. 109. Civil penalties and awards. Sec. 110.
Employee protection. Sec. 111. Uses of fund. Sec. 112. Claims procedure. Sec. 113. Litigation, jurisdiction and venue. Sec. 114. Relationship to other law. Sec. 115. Authority to delegate,
issue regulations. Sec. 116. Schedules. Sec. 117. Public participation. Sec. 118. High priority for drinking water supplies. Sec. 119. Response action contractors. Sec. 120. Federal
facilities. Sec. 121. Cleanup standards. Sec. 122. Settlements. Sec. 123. Reimbursement to local governments. Sec. 124. Methane recovery. Sec. 125. Section 3001(b)(3)(A)(i) waste. Sec.
126. Indian tribes. Sec. 127. Recycling transactions. Sec. 128. State response programs. TITLE II—HAZARDOUS SUBSTANCE RESPONSE REVENUE ACT OF 1980 Sec. 201. Short title; amendment of
1954 Code. Subtitle A—Imposition of Taxes on Petroleum and Certain Chemicals * * * * * * * Subtitle B—øRepealed¿ Subtitle C—øRepealed¿ TITLE III—MISCELLANEOUS PROVISIONS Sec. 301. Reports
and studies. Sec. 302. Effective dates, savings provision. Sec. 303. Expiration, sunset provision. Q:\COMP\ENVIR2\CERCLA December 31, 2002
SUPERFUND 490 Sec. 304. Conforming amendments. Sec. 305. Legislative veto. Sec. 306. Transportation. Sec. 307. Assistant administrator for solid waste. Sec. 308. Separability. Sec. 309.
Actions under State law for damages from exposure to hazardous substances. Sec. 310. Citizens suits. Sec. 311. Research, development, and demonstration. Sec. 312. Love Canal property
acquisition. TITLE IV—POLLUTION INSURANCE Sec. 401. Definitions. Sec. 402. State laws; scope of title. Sec. 403. Risk retention groups. Sec. 404. Purchasing groups. Sec. 405. Applicability
of securities laws. Q:\COMP\ENVIR2\CERCLA December 31, 2002
491 1 The Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (42 U.S.C. 9601–9675), commonly known as ‘‘Superfund,’’ consists of Public Law 96–510 (Dec. 11,
1980) and the amendments made by subsequent enactments. COMPREHENSIVE ENVIRONMENTAL RESPONSE, COMPENSATION, AND LIABILITY ACT OF 1980 (SUPERFUND)1 AN ACT To provide for liability, compensation,
cleanup, and emergency response for hazardous substances released into the environment and the cleanup of inactive hazardous waste disposal sites. Be it enacted by the Senate and House
of Representatives of the United States of America in Congress assembled, That this Act may be cited as the ‘‘Comprehensive Environmental Response, Compensation, and Liability Act of
1980’’. TITLE I—HAZARDOUS SUBSTANCES RELEASES, LIABILITY, COMPENSATION DEFINITIONS SEC. 101. For purpose of this title— (1) The term ‘‘act of God’’ means an unanticipated grave natural
disaster or other natural phenomenon of an exceptional, inevitable, and irresistible character, the effects of which could not have been prevented or avoided by the exercise of due care
or foresight. (2) The term ‘‘Administrator’’ means the Administrator of the United States Environmental Protection Agency. (3) The term ‘‘barrel’’ means forty-two United States gallons
at sixty degrees Fahrenheit. (4) The term ‘‘claim’’ means a demand in writing for a sum certain. (5) The term ‘‘claimant’’ means any person who presents a claim for compensation under
this Act. (6) The term ‘‘damages’’ means damages for injury or loss of natural resources as set forth in section 107(a) or 111(b) of this Act. (7) The term ‘‘drinking water supply’’
means any raw or finished water source that is or may be used by a public water system (as defined in the Safe Drinking Water Act) or as drinking water by one or more individuals. (8)
The term ‘‘environment’’ means (A) the navigable waters, the waters of the contiguous zone, and the ocean waters of which the natural resources are under the exclusive management authority
of the United States under the Fishery Conservation and Management Act of 1976, and (B) any other surface water, ground water, drinking water supply, land surface or subsurface strata,
or ambient air within the United States or under the jurisdiction of the United States. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 101 SUPERFUND 492 1 So in law. Probably should be ‘‘or’’. (9) The term ‘‘facility’’ means (A) any building, structure, installation, equipment, pipe or pipeline (including any pipe
into a sewer or publicly owned treatment works), well, pit, pond, lagoon, impoundment, ditch, landfill, storage container, motor vehicle, rolling stock, or aircraft, or (B) any site
or area where a hazardous substance has been deposited, stored, disposed of, or placed, or otherwise come to be located; but does not include any consumer product in consumer use or
any vessel. (10) The term ‘‘federally permitted release’’ means (A) discharges in compliance with a permit under section 402 of the Federal Water Pollution Control Act, (B) discharges
resulting from circumstances identified and reviewed and made part of the public record with respect to a permit issued or modified under section 402 of the Federal Water Pollution Control
Act and subject to a condition of such permit, (C) continuous or anticipated intermittent discharges from a point source, identified in a permit or permit application under section 402
of the Federal Water Pollution Control Act, which are caused by events occurring within the scope of relevant operating or treatment systems, (D) discharges in compliance with a legally
enforceable permit under section 404 of the Federal Water Pollution Control Act, (E) releases in compliance with a legally enforceable final permit issued pursuant to section 3005 (a)
through (d) of the Solid Waste Disposal Act from a hazardous waste treatment, storage, or disposal facility when such permit specifically identifies the hazardous substances and makes
such substances subject to a standard of practice, control procedure or bioassay limitation or condition, or other control on the hazardous substances in such releases, (F) any release
in compliance with a legally enforceable permit issued under section 102 of 1 section 103 of the Marine Protection, Research, and Sanctuaries Act of 1972, (G) any injection of fluids
authorized under Federal underground injection control programs or State programs submitted for Federal approval (and not disapproved by the Administrator of the Environmental Protection
Agency) pursuant to part C of the Safe Drinking Water Act, (H) any emission into the air subject to a permit or control regulation under section 111, section 112, title I part C, title
I part D, or State implementation plans submitted in accordance with section 110 of the Clean Air Act (and not disapproved by the Administrator of the Environmental Protection Agency),
including any schedule or waiver granted, promulgated, or approved under these sections, (I) any injection of fluids or other materials authorized under applicable State law (i) for
the purpose of stimulating or treating wells for the production of crude oil, natural gas, or water, (ii) for the purpose of secondary, tertiary, or other enhanced recovery of crude
oil or natural gas, or (iii) which are brought to the surface in conjunction with the production of crude oil or natural gas and which are reinjected, (J) the introduction of any pollutant
into a publicly owned treatment works when such pollutant is specified in and in Q:\COMP\ENVIR2\CERCLA December 31, 2002
493 SUPERFUND Sec. 101 1 Sections 221 and 232 were repealed by sections 517(c)(1) and 514(b), repsectively, of Public Law 99–499. compliance with applicable pretreatment standards of
section 307 (b) or (c) of the Clean Water Act and enforceable requirements in a pretreatment program submitted by a State or municipality for Federal approval under section 402 of such
Act, and (K) any release of source, special nuclear, or byproduct material, as those terms are defined in the Atomic Energy Act of 1954, in compliance with a legally enforceable license,
permit, regulation, or order issued pursuant to the Atomic Energy Act of 1954. (11) The term ‘‘Fund’’ or ‘‘Trust Fund’’ means the Hazardous Substance Response Fund established by section
221 1 of this Act or, in the case of a hazardous waste disposal facility for which liability has been transferred under section 107(k) of this Act, the Post-closure Liability Fund established
by section 232 1 of this Act. (12) The term ‘‘ground water’’ means water in a saturated zone or stratum beneath the surface of land or water. (13) The term ‘‘guarantor’’ means any person,
other than the owner or operator, who provides evidence of financial responsibility for an owner or operator under this Act. (14) The term ‘‘hazardous substance’’ means (A) any substance
designated pursuant to section 311(b)(2)(A) of the Federal Water Pollution Control Act, (B) any element, compound, mixture, solution, or substance designated pursuant to section 102
of this Act, (C) any hazardous waste having the characteristics identified under or listed pursuant to section 3001 of the Solid Waste Disposal Act (but not including any waste the regulation
of which under the Solid Waste Disposal Act has been suspended by Act of Congress), (D) any toxic pollutant listed under section 307(a) of the Federal Water Pollution Control Act, (E)
any hazardous air pollutant listed under section 112 of the Clean Air Act, and (F) any imminently hazardous chemical substance or mixture with respect to which the Administrator has
taken action pursuant to section 7 of the Toxic Substances Control Act. The term does not include petroleum, including crude oil or any fraction thereof which is not otherwise specifically
listed or designated as a hazardous substance under subparagraphs (A) through (F) of this paragraph, and the term does not include natural gas, natural gas liquids, liquefied natural
gas, or synthetic gas usable for fuel (or mixtures of natural gas and such synthetic gas). (15) The term ‘‘navigable waters’’ or ‘‘navigable waters of the United States’’ means the waters
of the United States, including the territorial seas. (16) The term ‘‘natural resources’’ means land, fish, wildlife, biota, air, water, ground water, drinking water supplies, and other
such resources belonging to, managed by, held in trust by, appertaining to, or otherwise controlled by the United States (including the resources of the fishery conservation zone established
by the Fishery Conservation and Management Act of 1976), any State, local government, or any foreign govern-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 101 SUPERFUND 494 1 Section 427 of Public Law 106–74 (113 Stat. 1095) added the phrase ‘‘through seizure or otherwise in connection with law enforcement activity’’ before ‘‘involuntary’’
the first place it appears. It was inserted after ‘‘involuntarily’’ as the probable intent of Congress. ment, any Indian tribe, or, if such resources are subject to a trust restriction
or alienation, any member of an Indian tribe. (17) The term ‘‘offshore facility’’ means any facility of any kind located in, on, or under, any of the navigable waters of the United States,
and any facility of any kind which is subject to the jurisdiction of the United States and is located in, on, or under any other waters, other than a vessel or a public vessel. (18)
The term ‘‘onshore facility’’ means any facility (including, but not limited to, motor vehicles and rolling stock) of any kind located in, on, or under, any land or nonnavigable waters
within the United States. (19) The term ‘‘otherwise subject to the jurisdiction of the United States’’ means subject to the jurisdiction of the United States by virtue of United States
citizenship, United States vessel documentation or numbering, or as provided by international agreement to which the United States is a party. (20)(A) The term ‘‘owner or operator’’
means (i) in the case of a vessel, any person owning, operating, or chartering by demise, such vessel, (ii) in the case of an onshore facility or an offshore facility, any person owning
or operating such facility, and (iii) in the case of any facility, title or control of which was conveyed due to bankruptcy, foreclosure, tax delinquency, abandonment, or similar means
to a unit of State or local government, any person who owned, operated, or otherwise controlled activities at such facility immediately beforehand. Such term does not include a person,
who, without participating in the management of a vessel or facility, holds indicia of ownership primarily to protect his security interest in the vessel or facility. (B) In the case
of a hazardous substance which has been accepted for transportation by a common or contract carrier and except as provided in section 107(a) (3) or (4) of this Act, (i) the term ‘‘owner
or operator’’ shall mean such common carrier or other bona fide for hire carrier acting as an independent contractor during such transportation, (ii) the shipper of such hazardous substance
shall not be considered to have caused or contributed to any release during such transportation which resulted solely from circumstances or conditions beyond his control. (C) In the
case of a hazardous substance which has been delivered by a common or contract carrier to a disposal or treatment facility and except as provided in section 107(a) (3) or (4) (i) the
term ‘‘owner or operator’’ shall not include such common or contract carrier, and (ii) such common or contract carrier shall not be considered to have caused or contributed to any release
at such disposal or treatment facility resulting from circumstances or conditions beyond its control. (D) The term ‘‘owner or operator’’ does not include a unit of State or local government
which acquired ownership or control involuntarily 1 through seizure or otherwise in connection Q:\COMP\ENVIR2\CERCLA December 31, 2002
495 SUPERFUND Sec. 101 1 So in law. Indentation of subparagraphs (E) through (G) is incorrect. with law enforcement activity through bankruptcy, tax delinquency, abandonment, or other
circumstances in which the government involuntarily acquires title by virtue of its function as sovereign. The exclusion provided under this paragraph shall not apply to any State or
local government which has caused or contributed to the release or threatened release of a hazardous substance from the facility, and such a State or local government shall be subject
to the provisions of this Act in the same manner and to the same extent, both procedurally and substantively, as any nongovernmental entity, including liability under section 107. (E)
1 EXCLUSION OF LENDERS NOT PARTICIPANTS IN MANAGEMENT.— (i) INDICIA OF OWNERSHIP TO PROTECT SECURITY.— The term ‘‘owner or operator’’ does not include a person that is a lender that,
without participating in the management of a vessel or facility, holds indicia of ownership primarily to to protect the security interest of the person in the vessel or facility. (ii)
FORECLOSURE.—The term ‘‘owner or operator’’ does not include a person that is a lender that did not participate in management of a vessel or facility prior to foreclosure, notwithstanding
that the person— (I) forecloses on the vessel or facility; and (II) after foreclosure, sells, re-leases (in the case of a lease finance transaction), or liquidates the vessel or facility,
maintains business activities, winds up operations, undertakes a response action under section 107(d)(1) or under the direction of an on-scene coordinator appointed under the National
Contingency Plan, with respect to the vessel or facility, or takes any other measure to preserve, protect, or prepare the vessel or facility prior to sale or disposition, if the person
seeks to sell, re-lease (in the case of a lease finance transaction), or otherwise divest the person of the vessel or facility at the earliest practicable, commercially reasonable time,
on commercially reasonable terms, taking into account market conditions and legal and regulatory requirements. (F) PARTICIPATION IN MANAGEMENT.—For purposes of subparagraph (E)— (i)
the term ‘‘participate in management’’— (I) means actually participating in the management or operational affairs of a vessel or facility; and (II) does not include merely having the
capacity to influence, or the unexercised right to control, vessel or facility operations; (ii) a person that is a lender and that holds indicia of ownership primarily to protect a security
interest in a vessel or facility shall be considered to participate in Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 101 SUPERFUND 496 management only if, while the borrower is still in possession of the vessel or facility encumbered by the security interest, the person— (I) exercises decisionmaking
control over the environmental compliance related to the vessel or facility, such that the person has undertaken responsibility for the hazardous substance handling or disposal practices
related to the vessel or facility; or (II) exercises control at a level comparable to that of a manager of the vessel or facility, such that the person has assumed or manifested responsibility—
(aa) for the overall management of the vessel or facility encompassing day-to-day decisionmaking with respect to environmental compliance; or (bb) over all or substantially all of the
operational functions (as distinguished from financial or administrative functions) of the vessel or facility other than the function of environmental compliance; (iii) the term ‘‘participate
in management’’ does not include performing an act or failing to act prior to the time at which a security interest is created in a vessel or facility; and (iv) the term ‘‘participate
in management’’ does not include— (I) holding a security interest or abandoning or releasing a security interest; (II) including in the terms of an extension of credit, or in a contract
or security agreement relating to the extension, a covenant, warranty, or other term or condition that relates to environmental compliance; (III) monitoring or enforcing the terms and
conditions of the extension of credit or security interest; (IV) monitoring or undertaking 1 or more inspections of the vessel or facility; (V) requiring a response action or other lawful
means of addressing the release or threatened release of a hazardous substance in connection with the vessel or facility prior to, during, or on the expiration of the term of the extension
of credit; (VI) providing financial or other advice or counseling in an effort to mitigate, prevent, or cure default or diminution in the value of the vessel or facility; (VII) restructuring,
renegotiating, or otherwise agreeing to alter the terms and conditions of the extension of credit or security interest, exercising forbearance; Q:\COMP\ENVIR2\CERCLA December 31, 2002
497 SUPERFUND Sec. 101 1 So in law. Probably should read ‘‘1813))’’. (VIII) exercising other remedies that may be available under applicable law for the breach of a term or condition
of the extension of credit or security agreement; or (IX) conducting a response action under section 107(d) or under the direction of an on-scene coordinator appointed under the National
Contingency Plan, if the actions do not rise to the level of participating in management (within the meaning of clauses (i) and (ii)). (G) OTHER TERMS.—As used in this Act: (i) EXTENSION
OF CREDIT.—The term ‘‘extension of credit’’ includes a lease finance transaction— (I) in which the lessor does not initially select the leased vessel or facility and does not during
the lease term control the daily operations or maintenance of the vessel or facility; or (II) that conforms with regulations issued by the appropriate Federal banking agency or the appropriate
State bank supervisor (as those terms are defined in section 3 of the Federal Deposit Insurance Act (12 U.S.C. 1813) 1 or with regulations issued by the National Credit Union Administration
Board, as appropriate. (ii) FINANCIAL OR ADMINISTRATIVE FUNCTION.—The term ‘‘financial or administrative function’’ includes a function such as that of a credit manager, accounts payable
officer, accounts receivable officer, personnel manager, comptroller, or chief financial officer, or a similar function. (iii) FORECLOSURE; FORECLOSE.—The terms ‘‘foreclosure’’ and ‘‘foreclose’’
mean, respectively, acquiring, and to acquire, a vessel or facility through— (I)(aa) purchase at sale under a judgment or decree, power of sale, or nonjudicial foreclosure sale;(bb)
a deed in lieu of foreclosure, or similar conveyance from a trustee; or (cc) repossession, if the vessel or facility was security for an extension of credit previously contracted; (II)
conveyance pursuant to an extension of credit previously contracted, including the termination of a lease agreement; or (III) any other formal or informal manner by which the the person
acquires, for subsequent disposition, title to or possession of a vessel or facility in order to protect the security interest of the person. (iv) LENDER.—The term ‘‘lender’’ means—
Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 101 SUPERFUND 498 (I) an insured depository institution (as defined in section 3 of the Federal Deposit Insurance Act (12 U.S.C. 1813)); (II) an insured credit union (as defined
in section 101 of the Federal Credit Union Act (12 U.S.C. 1752)); (III) a bank or association chartered under the Farm Credit Act of 1971 (12 U.S.C. 2001 et seq.); (IV) a leasing or
trust company that is an affiliate of an insured depository institution; (V) any person (including a successor or assignee of any such person) that makes a bona fide extension of credit
to or takes or acquires a security interest from a nonaffiliated person; (VI) the Federal National Mortgage Association, the Federal Home Loan Mortgage Corporation, the Federal Agricultural
Mortgage Corporation, or any other entity that in a bona fide manner buys or sells loans or interests in loans; (VII) a person that insures or guarantees against a default in the repayment
of an extension of credit, or acts as a surety with respect to an extension of credit, to a nonaffiliated person; and (VIII) a person that provides title insurance and that acquires
a vessel or facility as a result of assignment or conveyance in the course of underwriting claims and claims settlement. (v) OPERATIONAL FUNCTION.—The term ‘‘operational function’’ includes
a function such as that of a facility or plant manager, operations manager, chief operating officer, or chief executive officer. (vi) SECURITY INTEREST.—The term ‘‘security interest’’
includes a right under a mortgage, deed of trust, assignment, judgment lien, pledge, security agreement, factoring agreement, or lease and any other right accruing to a person to secure
the repayment of money, the performance of a duty, or any other obligation by a nonaffiliated person. (21) The term ‘‘person’’ means an individual, firm, corporation, association, partnership,
consortium, joint venture, commercial entity, United States Government, State, municipality, commission, political subdivision of a State, or any interstate body. (22) The term ‘‘release’’
means any spilling, leaking, pumping, pouring, emitting, emptying, discharging, injecting, escaping, leaching, dumping, or disposing into the environment (including the abandonment or
discarding of barrels, containers, and other closed receptacles containing any hazardous substance or pollutant or contaminant), but excludes (A) any release which results in exposure
to persons solely within a workplace, with respect to a claim which such persons may assert against the employer of such persons, (B) emissions from the engine exhaust of a motor vehicle,
rolling stock, aircraft, Q:\COMP\ENVIR2\CERCLA December 31, 2002
499 SUPERFUND Sec. 101 1 So in law. Probably should be ‘‘term’’. 2 So in law. Probably should refer to the ‘‘Robert T. Stafford Disaster Relief and Emergency Assistance Act’’, pursuant
to the amendment to the short title of such Act made by section 102 of Public Law 100–707. vessel, or pipeline pumping station engine, (C) release of source, byproduct, or special nuclear
material from a nuclear incident, as those terms are defined in the Atomic Energy Act of 1954, if such release is subject to requirements with respect to financial protection established
by the Nuclear Regulatory Commission under section 170 of such Act, or, for the purposes of section 104 of this title or any other response action, any release of source byproduct, or
special nuclear material from any processing site designated under section 102(a)(1) or 302(a) of the Uranium Mill Tailings Radiation Control Act of 1978, and (D) the normal application
of fertilizer. (23) The terms 1 ‘‘remove’’ or ‘‘removal’’ means the cleanup or removal of released hazardous substances from the environment, such actions as may be necessary taken in
the event of the threat of release of hazardous substances into the environment, such actions as may be necessary to monitor, assess, and evaluate the release or threat of release of
hazardous substances, the disposal of removed material, or the taking of such other actions as may be necessary to prevent, minimize, or mitigate damage to the public health or welfare
or to the environment, which may otherwise result from a release or threat of release. The term includes, in addition, without being limited to, security fencing or other measures to
limit access, provision of alternative water supplies, temporary evacuation and housing of threatened individuals not otherwise provided for, action taken under section 104(b) of this
Act, and any emergency assistance which may be provided under the Disaster Relief and Emergency Assistance Act. 2 (24) The terms 1 ‘‘remedy’’ or ‘‘remedial action’’ means those actions
consistent with permanent remedy taken instead of or in addition to removal actions in the event of a release or threatened release of a hazardous substance into the environment, to
prevent or minimize the release of hazardous substances so that they do not migrate to cause substantial danger to present or future public health or welfare or the environment. The
term includes, but is not limited to, such actions at the location of the release as storage, confinement, perimeter protection using dikes, trenches, or ditches, clay cover, neutralization,
cleanup of released hazardous substances and associated contaminated materials, recycling or reuse, diversion, destruction, segregation of reactive wastes, dredging or excavations, repair
or replacement of leaking containers, collection of leachate and runoff, onsite treatment or incineration, provision of alternative water supplies, and any monitoring reasonably required
to assure that such actions protect the public health and welfare and the environment. The term includes includes the costs of permanent relocation of residents and businesses and community
facilities where the President determines that, alone or in combination with other measures, such relocation is more cost-effective than and environmentally preferable to Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 101 SUPERFUND 500 1 So in law. Probably should be ‘‘term’’. 2 So in law. the transportation, storage, treatment, destruction, or secure disposition offsite of hazardous substances,
or may otherwise be necessary to protect the public health or welfare; the term includes offsite transport and offsite storage, treatment, destruction, or secure disposition of hazardous
substances and associated contaminated materials. (25) The terms 1 ‘‘respond’’ or ‘‘response’’ means remove, removal, remedy, and remedial action;, 2 all such terms (including the terms
‘‘removal’’ and ‘‘remedial action’’) include enforcement activities related thereto. (26) The terms 1 ‘‘transport’’ or ‘‘transportation’’ means the movement of a hazardous substance
by any mode, including a hazardous liquid pipeline facility (as defined in section 60101(a) of title 49, United States Code), and in the case of a hazardous substance which has been
accepted for transportation by a common or contract carrier, the term ‘‘transport’’ or ‘‘transportation’’ shall include any stoppage in transit which is temporary, incidental to the
transportation movement, and at the ordinary operating convenience of
a common or contract carrier, and any such stoppage shall be considered as a continuity of movement and not as the storage of a hazardous substance. (27) The terms ‘‘United States’’
and ‘‘State’’ include the several States of the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the United States Virgin Islands, the
Commonwealth of the Northern Marianas, and any other territory or possession over which the United States has jurisdiction. (28) The term ‘‘vessel’’ means every description of watercraft
or other artificial contrivance used, or capable of being used, as a means of transportation on water. (29) The terms ‘‘disposal’’, ‘‘hazardous waste’’, and ‘‘treatment’’ shall have
the meaning provided in section 1004 of the Solid Waste Disposal Act. (30) The terms ‘‘territorial sea’’ and ‘‘contiguous zone’’ shall have the meaning provided in section 502 of the
Federal Water Pollution Control Act. (31) The term ‘‘national contingency plan’’ means the national contingency plan published under section 311(c) of the Federal Water Pollution Control
Act or revised pursuant to section 105 of this Act. (32) The terms 1 ‘‘liable’’ or ‘‘liability’’ under this title shall be construed to be the standard of liability which obtains under
section 311 of the Federal Water Pollution Control Act. (33) The term ‘‘pollutant or contaminant’’ shall include, but not be limited to, any element, substance, compound, or mixture,
including disease-causing agents, which after release into the environment and upon exposure, ingestion, inhalation, or assimilation into any organism, either directly from the environment
or indirectly by ingestion through food chains, will or may reasonably be anticipated to cause death, disease, behav-Q:\COMP\ENVIR2\CERCLA December 31, 2002
501 SUPERFUND Sec. 101 ioral abnormalities, cancer, genetic mutation, physiological malfunctions (including malfunctions in reproduction) or physical deformations, in such organisms
or their offspring; except that the term ‘‘pollutant or contaminant’’ shall not include petroleum, including crude oil or any fraction thereof which is not otherwise specifically listed
or designated as a hazardous substance under subparagraphs (A) through (F) of paragraph (14) and shall not include natural gas, liquefied natural gas, or synthetic gas of pipeline quality
(or mixtures of natural gas and such synthetic gas). (34) The term ‘‘alternative water supplies’’ includes, but is not limited to, drinking water and household water supplies. (35)(A)
The term ‘‘contractual relationship’’, for the purpose of section 107(b)(3) includes, but is not limited to, land contracts, deeds, easements, leases, or other instruments transferring
title or possession, unless the real property on which the facility concerned is located was acquired by the defendant after the disposal or placement of the hazardous substance on,
in, or at the facility, and one or more of the circumstances described in clause (i), (ii), or (iii) is also established by the defendant by a preponderance of the evidence: (i) At the
time the defendant acquired the facility the defendant did not know and had no reason to know that any hazardous substance which is the subject of the release or threatened release was
disposed of on, in, or at the facility. (ii) The defendant is a government entity which acquired the facility by escheat, or through any other involuntary transfer or acquisition, or
through the exercise of eminent domain authority by purchase or condemnation. (iii) The defendant acquired the facility by inheritance or bequest. In addition to establishing the foregoing,
the defendant must establish that the defendant has satisfied the requirements of section 107(b)(3) (a) and (b), provides full cooperation, assistance, and facility access to the persons
that are are authorized to conduct response actions at the facility (including the cooperation and access necessary for the installation, integrity, operation, and maintenance of any
complete or partial response action at the facility), is in compliance with any land use restrictions established or relied on in connection with the response action at a facility, and
does not impede the effectiveness or integrity of any institutional control employed at the facility in connection with a response action. (B) REASON TO KNOW.— (i) ALL APPROPRIATE INQUIRIES.—To
establish that the defendant had no reason to know of the matter described in subparagraph (A)(i), the defendant must demonstrate to a court that— (I) on or before the date on which
the defendant acquired the facility, the defendant carried out all appropriate inquiries, as provided in clauses (ii) and (iv), into the previous ownership and uses of the facility in
accordance with generally accept-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 101 SUPERFUND 502 ed good commercial and customary standards and practices; and (II) the defendant took reasonable steps to— (aa) stop any continuing release; (bb) prevent any threatened
future release; and (cc) prevent or limit any human, environmental, or natural resource exposure to any previously released hazardous substance. (ii) STANDARDS AND PRACTICES.—Not later
than 2 years after the date of the enactment of the Brownfields Revitalization and Environmental Restoration Act of 2001, the Administrator shall by regulation establish standards and
practices for the purpose of satisfying the requirement to carry out all appropriate inquiries under clause (i). (iii) CRITERIA.—In promulgating regulations that establish the standards
and practices referred to in clause (ii), the Administrator shall include each of the following: (I) The results of an inquiry by an environmental professional. (II) Interviews with
past and present owners, operators, and occupants of the facility for the purpose of gathering information regarding the potential for contamination at the facility. (III) Reviews of
historical sources, such as chain of title documents, aerial photographs, building department records, and land use records, to determine previous uses and occupancies of the real property
since the property was first developed. (IV) Searches for recorded environmental cleanup liens against the facility that are filed under Federal, State, or local law. (V) Reviews of
Federal, State, and local government records, waste disposal records, underground storage tank records, and hazardous waste handling, generation, treatment, disposal, and spill records,
concerning contamination at or near the facility. (VI) Visual inspections of the facility and of adjoining properties. (VII) Specialized knowledge or experience on the part of the defendant.
(VIII) The relationship of the purchase price to the value of the property, if the property was not contaminated. (IX) Commonly known or reasonably ascertainable information about the
property. (X) The degree of obviousness of the presence or likely presence of contamination at the property, and the ability to detect the contamination by appropriate investigation.
Q:\COMP\ENVIR2\CERCLA December 31, 2002
503 SUPERFUND Sec. 101 (iv) INTERIM STANDARDS AND PRACTICES.— (I) PROPERTY PURCHASED BEFORE MAY 31, 1997.—With respect to property purchased before May 31, 1997, in making a determination
with respect to a defendant described in clause (i), a court shall take into account— (aa) any specialized knowledge or experience on the part of the defendant; (bb) the relationship
of the purchase price to the value of the property, if the property was not contaminated; (cc) commonly known or reasonably ascertainable information about the property; (dd) the obviousness
of the presence or likely presence of contamination at the property; and (ee) the ability of the defendant to detect the contamination by appropriate inspection. (II) PROPERTY PURCHASED
ON OR AFTER MAY 31, 1997.—With respect to property purchased on or after May 31, 1997, and until the Administrator promulgates the regulations described in clause (ii), the procedures
of the American Society for Testing and Materials, including the document known as ‘‘Standard E1527–97’’, entitled ‘‘Standard Practice for Environmental Site Assessment: Phase 1 Environmental
Site Assessment Process’’, shall satisfy the requirements in clause (i). (v) SITE INSPECTION AND TITLE SEARCH.—In the case of property for residential use or other similar use purchased
by a nongovernmental or noncommercial entity, a facility inspection and title search that reveal no basis for further investigation shall be considered to satisfy the requirements of
this subparagraph. (C) Nothing in this paragraph or in section 107(b)(3) shall diminish the liability of any previous owner or operator of such facility who would otherwise be liable
under this Act. Notwithstanding this paragraph, if the defendant obtained actual knowledge of the release or threatened release of a hazardous substance at such facility when the defendant
owned the real property and then subsequently transferred ownership of the property to another person without disclosing such knowledge, such defendant shall be treated as liable under
section 107(a)(1) and no defense under section 107(b)(3) shall be available to such defendant. (D) Nothing in this paragraph shall affect the liability under this Act of a defendant
who, by any act or omission, caused or contributed to the release or threatened release of a hazardous substance which is the subject of the action relating to the facility. (36) The
term ‘‘Indian tribe’’ means any Indian tribe, band, nation, or other organized group or community, including any Alaska Native village but not including any Alaska Native re-Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 101 SUPERFUND 504 gional or village corporation, which is recognized as eligible for the special programs and services provided by the United States to Indians because of their
status as Indians. (37)(A) The term ‘‘service station dealer’’ means any person—(i) who owns or operates a motor vehicle service station, filling station, garage, or similar retail establishment
engaged in the business of selling, repairing, or servicing motor vehicles, where a significant percentage of the gross revenue of the establishment is derived from the fueling, repairing,
or servicing of motor vehicles, and (ii) who accepts for collection, accumulation, and delivery to an oil recycling facility, recycled oil that (I) has been removed from the engine of
a light duty motor vehicle or household appliances by the owner of such vehicle or appliances, and (II) is presented, by such owner, to such person for collection, accumulation, and
delivery to an oil recycling facility. (B) For purposes of section 114(c), the term ‘‘service station dealer’’ shall, notwithstanding the provisions of subparagraph (A), include any
government agency that establishes a facility solely for the purpose of accepting recycled oil that satisfies the criteria set forth in subclauses (I) and (II) of subparagraph (A)(ii),
and, with respect to recycled oil that satisfies the criteria set forth in subclauses (I) and (II), owners or operators of refuse collection services who are compelled by State law to
collect, accumulate, and deliver such oil to an oil recycling facility. (C) The President shall promulgate regulations regarding the determination of what constitutes a significant percentage
of the gross revenues of an establishment for purposes of this paragraph. (38) The term ‘‘incineration vessel’’ means any vessel which carries hazardous substances for the purpose of
incineration of such substances, so long as such substances or residues of such substances are on board. (39) BROWNFIELD SITE.— (A) IN GENERAL.—The term ‘‘brownfield site’’ means real
property, the expansion, redevelopment, or reuse of which may be complicated by the presence or potential presence of a hazardous substance, pollutant, or contaminant. (B) EXCLUSIONS.—The
term ‘‘brownfield site’’ does not include—(i) a facility that is the subject of a planned or ongoing removal action under this title; (ii) a facility that is listed on the National Priorities
List or is proposed for listing; (iii) a facility that is the subject of a unilateral administrative order, a court order, an administrative order on consent or judicial consent decree
that has been issued to or entered into by the parties under this Act; Q:\COMP\ENVIR2\CERCLA December 31, 2002
505 SUPERFUND Sec. 101 (iv) a facility that is the subject of a unilateral administrative order, a court order, an administrative order on consent or judicial consent decree that has
been issued to or entered into by the parties, or a facility to which a permit has been issued by the United States or an authorized State under the Solid Waste Disposal Act (42 U.S.C.
6901 et seq.), the Federal Water Pollution Control Act (33 U.S.C. 1321), the Toxic Substances Control Act (15 U.S.C. 2601 et seq.), or the Safe Drinking Water Act (42 U.S.C. 300f et
seq.); (v) a facility that— (I) is subject to corrective action under section 3004(u) or 3008(h) of the Solid Waste Disposal Act (42 U.S.C. 6924(u), 6928(h)); and (II) to which a corrective
action permit or order has been issued or modified to require the implementation of corrective measures; (vi) a land disposal unit with respect to which— (I) a closure notification under
subtitle C of the Solid Waste Disposal Act (42 U.S.C. 6921 et seq.) has been submitted; and (II) closure requirements have been specified in a closure plan or permit; (vii) a facility
that is subject to the jurisdiction, custody, or control of a department, agency, or instrumentality of the United States, except for land held in trust by the United States for an Indian
tribe; (viii) a portion of a facility— (I) at which there has been a release of polychlorinated biphenyls; and (II) that is subject to remediation under the Toxic Substances Control
Act (15 U.S.C. 2601 et seq.); or (ix) a portion of a facility, for which portion, assistance for response activity has been obtained under subtitle I of the Solid Waste Disposal Act
(42 U.S.C. 6991 et seq.) from the Leaking Underground Storage Tank Trust Fund established under section 9508 of the Internal Revenue Code of 1986. (C) SITE-BY-SITE DETERMINATIONS.—Notwithstanding
subparagraph (B) and on a site-by-site basis, the President may authorize financial assistance under section 104(k) to an eligible entity at a site included in clause (i), (iv), (v),
(vi), (viii), or (ix) of subparagraph (B) if the President finds that financial assistance will protect human health and the environment, and either promote economic development or enable
the creation of, preservation of, or addition to parks, greenways, undeveloped property, other recreational property, or other property used for nonprofit purposes. (D) ADDITIONAL AREAS.—For
the purposes of section 104(k), the term ‘‘brownfield site’’ includes a site that— Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 101 SUPERFUND 506 (i) meets the definition of ‘‘brownfield site’’ under subparagraphs (A) through (C); and (ii)(I) is contaminated by a controlled substance (as defined in section
102 of the Controlled Substances Act (21 U.S.C. 802)); (II)(aa) is contaminated by petroleum or a petroleum product excluded from the definition of ‘‘hazardous substance’’ under section
101; and (bb) is a site determined by the Administrator or the State, as appropriate, to be— (AA) of relatively low risk, as compared with other petroleum-only sites in the State; and
(BB) a site for which there is no viable responsible party and which will be assessed, investigated, or cleaned up by a person that is not potentially liable for cleaning up the site;
and (cc) is not subject to any order issued under section 9003(h) of the Solid Waste Disposal Act (42 U.S.C. 6991b(h)); or (III) is mine-scarred land. (40) BONA FIDE PROSPECTIVE PURCHASER.—The
term ‘‘bona fide prospective purchaser’’ means a person (or a tenant of a person) that acquires ownership of a facility after the date of the enactment of this paragraph and that establishes
each of the following by a preponderance of the evidence: (A) DISPOSAL PRIOR TO ACQUISITION.—All disposal of hazardous substances at the facility occurred before the person acquired
the facility. (B) INQUIRIES.— (i) IN GENERAL.—The person made all appropriate inquiries into the previous ownership and uses of the facility in accordance with generally accepted good
commercial and customary standards and practices in accordance with clauses (ii) and (iii). (ii) STANDARDS AND PRACTICES.—The standards and practices referred to in clauses (ii) and
(iv) of paragraph (35)(B) shall be considered to satisfy the requirements of this subparagraph. (iii) RESIDENTIAL USE.—In the case of property in residential or other similar use at
the time of purchase by a nongovernmental or noncommercial entity, a facility inspection and title search that reveal no basis for further investigation shall be considered to satisfy
the requirements of this subparagraph. (C) NOTICES.—The person provides all legally required notices with respect to the discovery or release of any hazardous substances at the facility.
(D) CARE.—The person exercises appropriate care with respect to hazardous substances found at the facility by taking reasonable steps to— (i) stop any continuing release; (ii) prevent
any threatened future release; and Q:\COMP\ENVIR2\CERCLA December 31, 2002
507 SUPERFUND Sec. 101 (iii) prevent or limit human, environmental, or natural resource exposure to any previously released hazardous substance. (E) COOPERATION, ASSISTANCE, AND ACCESS.—The
person provides full cooperation, assistance, and access to persons that are authorized to conduct response actions or natural resource restoration at a vessel or facility (including
the cooperation and access necessary for the installation, integrity, operation, and maintenance of any complete or partial response actions or natural resource restoration at the vessel
or facility). (F) INSTITUTIONAL CONTROL.—The person— (i) is in compliance with any land use restrictions established or relied on in connection with the response action at a vessel or
facility; and (ii) does not impede the effectiveness or integrity of any institutional control employed at the vessel or facility in connection with a response action. (G) REQUESTS;
SUBPOENAS.—The person complies with any request for information or administrative subpoena issued by the President under this Act. (H) NO AFFILIATION.—The person is not— (i) potentially
liable, or affiliated with any other person that is potentially liable, for response costs at a facility through— (I) any direct or indirect familial relationship; or (II) any contractual,
corporate, or financial relationship (other than a contractual, corporate, or financial relationship that is created by the instruments by which title to the facility is conveyed or
financed or by a contract for the sale of goods or services); or (ii) the result of a reorganization of a business entity that was potentially liable. (41) ELIGIBLE RESPONSE SITE.— (A)
IN GENERAL.—The term ‘‘eligible response site’’ means a site that meets the definition of a brownfield site in subparagraphs (A) and (B) of paragraph (39), as modified by subparagraphs
(B) and (C) of this paragraph. (B) INCLUSIONS.—The term ‘‘eligible response site’’ includes—(i) notwithstanding paragraph (39)(B)(ix), a portion of a facility, for which portion assistance
for for response activity has been obtained under subtitle I of the Solid Waste Disposal Act (42 U.S.C. 6991 et seq.) from the Leaking Underground Storage Tank Trust Fund established
under section 9508 of the Internal Revenue Code of 1986; or (ii) a site for which, notwithstanding the exclusions provided in subparagraph (C) or paragraph (39)(B), the President determines,
on a site-by-site basis and after consultation with the State, that limitations on enforcement under section 128 at sites spec-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 102 SUPERFUND 508 ified in clause (iv), (v), (vi) or (viii) of paragraph (39)(B) would be appropriate and will— (I) protect human health and the environment; and (II) promote economic
development or facilitate the creation of, preservation of, or addition to a park, a greenway, undeveloped property, recreational property, or other property used for nonprofit purposes.
(C) EXCLUSIONS.—The term ‘‘eligible response site’’ does not include— (i) a facility for which the President— (I) conducts or has conducted a preliminary assessment or site inspection;
and (II) after consultation with the State, determines or has determined that the site obtains a preliminary score sufficient for possible listing on the National Priorities List, or
that the site otherwise qualifies for listing on the National Priorities List; unless the President has made a determination that no further Federal action will be taken; or (ii) facilities
that the President determines warrant particular consideration as identified by regulation, such as sites posing a threat to a sole-source drinking water aquifer or a sensitive ecosystem.
[42 U.S.C. 9601] REPORTABLE QUANTITIES AND ADDITIONAL DESIGNATIONS SEC. 102. (a) The Administrator shall promulgate and revise as may be appropriate, regulations designating as hazardous
substances, in addition to those referred to in section 101(14) of this title, such elements, compounds, mixtures, solutions, and substances which, when released into the environment
may present substantial danger to the public health or welfare or the environment, and shall promulgate regulations establishing that quantity of any hazardous substance the release
of which shall be reported pursuant to section 103 of this title. The Administrator may determine that one single quantity shall be the reportable quantity for any hazardous substance,
regardless of the medium into which the hazardous substance is released. For all hazardous substances for which proposed regulations establishing reportable quantities were published
in the Federal Register under this subsection on or before March 1, 1986, the Administrator shall promulgate under this subsection final regulations establishing reportable quantities
not later than December 31, 1986. For all hazardous substances for which proposed regulations establishing reportable quantities were not published in the Federal Register under this
subsection on or before March 1, 1986, the Administrator shall publish under this subsection proposed regulations establishing reportable quantities not later than December 31, 1986,
and promulgate final regulations under this subsection establishing reportable quantities not later than April 30, 1988. Q:\COMP\ENVIR2\CERCLA December 31, 2002
509 SUPERFUND Sec. 103 (b) Unless and until superseded by regulations establishing a reportable quantity under subsection (a) of this section for any hazardous substance as defined in
section 101(14) of this title, (1) a quantity of one pound, or (2) for those hazardous substances for which reportable quantities have been established pursuant to section 311(b)(4)
of the Federal Water Pollution Control Act, such reportable quantity, shall be deemed that quantity, the release of which requires notification pursuant to section 103 (a) or (b) of
this title. [42 U.S.C. 9602] NOTICES, PENALTIES SEC. 103. (a) Any person in charge of a vessel or an offshore or an onshore facility shall, as soon as he has knowledge of any release
(other than a federally permitted release) of a hazardous substance from such vessel or facility in quantities equal to or greater than those determined pursuant to section 102 of this
title, immediately notify the National Response Center established under the Clean Water Act of such release. The National Response Center shall convey the notification expeditiously
to all appropriate Government agencies, including the Governor of any affected State. (b) Any person— (1) in charge of a vessel from which a hazardous substance is released, other than
a federally permitted release, into or upon the navigable waters of the United States, adjoining shorelines, or into or upon the waters of the contiguous zone, or (2) in charge of a
vessel from which a hazardous substance is released, other than a federally permitted release, which may affect natural resources belonging to, appertaining to, or under the exclusive
management authority of the United States (including resources under the Fishery Conservation and Management Act of 1976), and who is otherwise subject to the jurisdiction of the United
States at the time of the release, or (3) in charge of a facility from which a hazardous substance is released, other than a federally permitted release, in a quantity equal to or greater
than that determined pursuant to section 102 of this title who fails to notify immediately the appropriate agency of the United States Government as soon as he has knowledge of such
release or who submits in such a notification any information which he knows to be false or misleading shall, upon conviction, be fined in accordance with the applicable provisions of
title 18 of the United States Code or imprisoned for not more than 3 years (or not more than 5 years in the case of a second or subsequent conviction), or both. Notification received
pursuant to this subsection or information obtained by the exploitation of such notification shall not be used against any such person in any criminal case, except a prosecution for
perjury or for giving a false statement. (c) Within one hundred and eighty days after the enactment of this Act, any person who owns or operates or who at the time of disposal owned
or operated, or who accepted hazardous substances Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 103 SUPERFUND 510 for transport and selected, a facility at which hazardous substances (as defined in section 101(14)(C) of this title) are or have been stored, treated, or disposed
of shall, unless such facility has a permit issued under, or has been accorded interim status under, subtitle C of the Solid Waste Disposal Act, notify the Administrator of the Environmental
Protection Agency of the existence of such facility, specifying the amount and type of any hazardous substance to be found there, and any known, suspected, or likely releases of such
substances from such facility. The Administrator may prescribe in greater detail the manner and form of the notice and the information included. The Administrator shall notify the affected
State agency, or any department designated by the Governor to receive such notice, of the existence of such facility. Any person who knowingly fails to notify the Administrator of the
existence of any such facility shall, upon conviction, be fined not more than $10,000, or imprisoned for not more than one year, or both. In addition, any such person who knowingly fails
to provide the notice required by this subsection shall not be entitled to any limitation of liability or to any defenses to liability set out in section 107 of this Act: Provided, however,
That notification under this subsection is not required for any facility which would be reportable hereunder solely as a result of any stoppage in transit which is temporary, incidental
to the transportation movement, or at the ordinary operating convenience of a common or contract carrier, and such stoppage shall be considered as a continuity of movement and not as
the storage of a hazardous substance. Notification received pursuant to this subsection or information obtained by the exploitation of such notification shall not be used against any
such person in any criminal case, except a prosecution for perjury or for giving a false statement. (d)(1) The Administrator of the Environmental Protection Agency is authorized to promulgate
rules and regulations specifying, with respect to— (A) the location, title, or condition of a facility, and (B) the identity, characteristics, quantity, origin, or condition (including
containerization and previous treatment) of any hazardous substances contained or deposited in a facility; the records which shall be retained by any person required to provide the notification
of a facility set out in subsection (c) of this section. Such specification shall be in accordance with the provisions of this subsection. (2) Beginning with the date of enactment of
this Act, for fifty years thereafter or for fifty years after the date of establishment of a record (whichever is later), or at any such earlier time as a waiver if obtained under paragraph
(3) of this subsection, it shall be unlawful for any such person knowingly
to destroy, mutilate, erase, dispose of, conceal, or otherwise render unavailable or unreadable or falsify any records identified in paragraph (1) of this subsection. Any person who
violates this paragraph shall, upon conviction, be fined in accordance with the applicable provisions of title 18 of the United States Code or imprisoned for not more than 3 years (or
not more than 5 years in the case of a second or subsequent conviction), or both. Q:\COMP\ENVIR2\CERCLA December 31, 2002
511 SUPERFUND Sec. 104 (3) At any time prior to the date which occurs fifty years after the date of enactment of this Act, any person identified under paragraph (1) of this subsection
may apply to the Administrator of the Environmental Protection Agency for a waiver of the provisions of the first sentence of paragraph (2) of this subsection. The Administrator is authorized
to grant such waiver if, in his discretion, such waiver would not unreasonably interfere with the attainment of the purposes and provisions of this Act. The Administrator shall promulgate
rules and regulations regarding such a waiver so as to inform parties of the proper application procedure and conditions for approval of such a waiver. (4) Notwithstanding the provisions
of this subsection, the Administrator of the Environmental Protection Agency may in his discretion require any such person to retain any record identified pursuant to paragraph (1) of
this subsection for such a time period in excess of the period specified in paragraph (2) of this subsection as the Administrator determines to be necessary to protect the public health
or welfare. (e) This section shall not apply to the application of a pesticide product registered under the Federal Insecticide, Fungicide, and Rodenticide Act or to the handling and
storage of such a pesticide product by an agricultural producer. (f) No notification shall be required under subsection (a) or (b) of this section for any release of a hazardous substance—
(1) which is required to be reported (or specifically exempted from a requirement for reporting) under subtitle C of the Solid Waste Disposal Act or regulations thereunder and which
has been reported to the National Response Center, or (2) which is a continuous release, stable in quantity and rate, and is— (A) from a facility for which notification has been given
under subsection (c) of this section, or (B) a release of which notification has been given under subsections (a) and (b) of this section for a period sufficient to establish the continuity,
quantity, and regularity of such release: Provided, That notification in accordance with subsections (a) and (b) of this paragraph shall be given for releases subject to this paragraph
annually, or at such time as there is any statistically significant increase in the quantity of any hazardous substance or constituent thereof released, above that previously reported
or occurring. [42 U.S.C. 9603] RESPONSE AUTHORITIES SEC. 104. (a)(1) Whenever (A) any hazardous substance is released or there is a substantial threat of such a release into the environment,
or (B) there is a release or substantial threat of release into the environment of any pollutant or contaminant which may present an imminent and substantial danger to the public health
or welfare, the President is authorized to act, consistent with the national contingency plan, to remove or arrange for the removal of, and provide for remedial action relating to such
hazardous sub-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 512 stance, pollutant, or contaminant at any time (including its removal from any contaminated natural resource), or take any other response measure consistent with
the national contingency plan which the President deems necessary to protect the public health or welfare or the environment. When the President determines that such action will be done
properly and promptly by the owner or operator of the facility or vessel or by any other responsible party, the President may allow such person to carry out the action, conduct the remedial
investigation, or conduct the feasibility study in accordance with section 122. No remedial investigation or feasibility study (RI/FS) shall be authorized except on a determination by
the President that the party is qualified to conduct the RI/FS and only if the President contracts with or arranges for a qualified person to assist the President in overseeing and reviewing
the conduct of such RI/FS and if the responsible party agrees to reimburse the Fund for for any cost incurred by the President under, or in connection with, the oversight contract or
arrangement. In no event shall a potentially responsible party be subject to a lesser standard of liability, receive preferential treatment, or in any other way, whether direct or indirect,
benefit from any such arrangements as a response action contractor, or as a person hired or retained by such a response action contractor, with respect to the release or facility in
question. The President shall give primary attention to those releases which the President deems may present a public health threat. (2) REMOVAL ACTION.—Any removal action undertaken
by the President under this subsection (or by any other person referred to in section 122) should, to the extent the President deems practicable, contribute to the efficient performance
of any long term remedial action with respect to the release or threatened release concerned. (3) LIMITATIONS ON RESPONSE.—The President shall not provide for a removal or remedial action
under this section in response to a release or threat of release— (A) of a naturally occurring substance in its unaltered form, or altered solely through naturally occurring processes
or phenomena, from a location where it is naturally found; (B) from products which are part of the structure of, and result in exposure within, residential buildings or business or community
structures; or (C) into public or private drinking water supplies due to deterioration of the system through ordinary use. (4) EXCEPTION TO LIMITATIONS.—Notwithstanding paragraph (3)
of this subsection, to the extent authorized by this section, the President may respond to any release or threat of release if in the President’s discretion, it constitutes a public
health or environmental emergency and no other person with the authority and capability to respond to the emergency will do so in a timely manner. (b)(1) INFORMATION; STUDIES AND INVESTIGATIONS.—When
ever the President is authorized to act pursuant to subsection (a) of this section, or whenever the President has reason to believe that a release has occurred or is about to occur,
or that illness, disease, or complaints thereof may be attributable to exposure to a hazardous substance, pollutant, or contaminant and that a release may have Q:\COMP\ENVIR2\CERCLA
December 31, 2002
513 SUPERFUND Sec. 104 1 So in law. Probably should be followed by a comma. occurred or be occurring, he may undertake such investigations, monitoring, surveys, testing, and other information
gathering as he may deem necessary or appropriate to identify the existence and extent of the release or threat thereof, the source and nature of the hazardous substances, pollutants
or contaminants involved, and the extent of danger to the public health or welfare or to the environment. In addition, the President may undertake such planning, legal, fiscal, economic,
engineering, architectural, and other studies or investigations as he may deem necessary or appropriate to plan and direct response actions, to recover the costs thereof, and to enforce
the provisions of this Act. (2) COORDINATION OF INVESTIGATIONS.—The President shall promptly notify the appropriate Federal and State natural resource trustees of potential damages to
natural resources resulting from releases under investigation pursuant to this section and and shall seek to coordinate the assessments, investigations, and planning under this section
with such Federal and State trustees. (c)(1) Unless (A) the President finds that (i) continued response actions are immediately required to prevent, limit, or mitigate an emergency,
(ii) there is an immediate risk to public health or welfare or the environment, and (iii) such assistance will not otherwise be provided on a timely basis, or (B) the President has determined
the appropriate remedial actions pursuant to paragraph (2) of this subsection and the State or States in which the source of the release is located have complied with the requirements
of paragraph (3) of this subsection, or (C) continued response action is otherwise appropriate and consistent with the remedial action to be taken 1 obligations from the Fund, other
than those authorized by subsection (b) of this section, shall not continue after $2,000,000 has been obligated for response actions or 12 months has elapsed from the date of initial
response to a release or threatened release of hazardous substances. (2) The President shall consult with the affected State or States before determining any appropriate remedial action
to be taken pursuant to the authority granted under subsection (a) of this section. (3) The President shall not provide any remedial actions pursuant to this section unless the State
in which the release occurs first enters into a contract or cooperative agreement with the President providing assurances deemed adequate by the President that (A) the State will assure
all future maintenance of the removal and remedial actions provided for the expected life of such actions as determined by the President; (B) the State will assure the availability of
a hazardous waste disposal facility acceptable to the President and in compliance with the requirements of subtitle C of the Solid Waste Disposal Act for any necessary offsite storage,
destruction, treatment, or secure disposition of the hazardous substances; and (C) the State will pay or or assure payment of (i) 10 per centum of the costs of the remedial action, including
all future maintenance, or (ii) 50 percent (or such greater amount as the President may determine appropriate, taking into account the degree of responsibility of the State or political
subdivision for the release) of any Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 514 sums expended in response to a release at a facility, that was operated by the State or a political subdivision thereof, either directly or through a contractual
relationship or otherwise, at the time of any disposal of hazardous substances therein. For the purpose of clause (ii) of this subparagraph, the term ‘‘facility’’ does not include navigable
waters or the beds underlying those waters. The President shall grant the State a credit against the share of the costs for which it is responsible under this paragraph for any documented
direct out-of-pocket non-Federal funds expended or obligated by the State or a political subdivision thereof after January 1, 1978, and before the date of enactment of this Act for cost-eligible
response actions and claims for damages compensable under section 111 of this title relating to the specific release in question: Provided, however, That in no event shall the amount
of the credit granted exceed the total response costs relating to the release. In In the case of remedial action to be taken on land or water held by an Indian tribe, held by the United
States in trust for Indians, held by a member of an Indian tribe (if such land or water is subject to a trust restriction on alienation), or otherwise within the borders of an Indian
reservation, the requirements of this paragraph for assurances regarding future maintenance and cost-sharing shall not apply, and the President shall provide the assurance required by
this paragraph regarding the availability of a hazardous waste disposal facility. (4) SELECTION OF REMEDIAL ACTION.—The President shall select remedial actions to carry out this section
in accordance with section 121 of this Act (relating to cleanup standards). (5) STATE CREDITS.— (A) GRANTING OF CREDIT.—The President shall grant a State a credit against the share of
the costs, for which it is responsible under paragraph (3) with respect to a facility listed on the National Priorities List under the National Contingency Plan, for amounts expended
by a State for remedial action at such facility pursuant to a contract or cooperative agreement with the President. The credit under this paragraph shall be limited to those State expenses
which the President determines to be reasonable, documented, direct out-of-pocket expenditures of non-Federal funds. (B) EXPENSES BEFORE LISTING OR AGREEMENT.—The credit under this paragraph
shall include expenses for remedial action at a facility incurred before the listing of the facility on the National Priorities List or before a contract or cooperative agreement is
entered into under subsection (d) for the facility if— (i) after such expenses are incurred the facility is listed on such list and a contract or cooperative agreement is entered into
for the facility, and (ii) the President determines that such expenses would have been credited to the State under subparagraph (A) had the expenditures been made after listing of the
facility on such list and after the date on which such contract or cooperative agreement is is entered into. (C) RESPONSE ACTIONS BETWEEN 1978 AND 1980.—The credit under this paragraph
shall include funds expended or obligated Q:\COMP\ENVIR2\CERCLA December 31, 2002
515 SUPERFUND Sec. 104 by the State or a political subdivision thereof after January 1, 1978, and before December 11, 1980, for cost-eligible response actions and claims for damages
compensable under section 111.(D) STATE EXPENSES AFTER DECEMBER 11, 1980, IN EXCESS OF 10 PERCENT OF COSTS.—The credit under this paragraph shall include 90 percent of State expenses
incurred at a facility owned, but not operated, by such State or by a political subdivision thereof. Such credit applies only to expenses incurred pursuant to a contract or cooperative
agreement under subsection (d) and only to expenses incurred after December 11, 1980, but before the date of the enactment of this paragraph. (E) ITEM-BY-ITEM APPROVAL.—In the case of
expenditures made after the date of the enactment of this paragraph, the President may require prior approval of each item of expenditure as a condition of granting a credit under this
paragraph. (F) USE OF CREDITS.—Credits granted under this paragraph for funds expended with respect to a facility may be used by the State to reduce all or part of the share of costs
otherwise required to be paid by the State under paragraph (3) in connection with remedial actions at such facility. If the amount of funds for which credit is allowed under this paragraph
exceeds such share of costs for such facility, the State may use the amount of such excess to reduce all or part of the share of such costs at other facilities in that State. A credit
shall not entitle the State to any direct payment. (6) OPERATION AND MAINTENANCE.—For the purposes of paragraph (3) of this subsection, in the case of ground or surface water contamination,
completed remedial action includes the completion of treatment or other measures, whether taken onsite or offsite, necessary to restore ground and surface water quality to a level that
assures protection of human health and the environment. With respect to such measures, the operation of such measures for a period of up to 10 years after the construction or installation
and commencement of operation shall be considered remedial action. Activities required to maintain the effectiveness of such measures following such period or the completion of remedial
action, whichever is earlier, shall be considered operation or maintenance. (7) LIMITATION ON SOURCE OF FUNDS FOR O&M.—During any period after the availability of funds received by the
Hazardous Substance Superfund established under subchapter A of chapter 98 of the Internal Revenue Code of 1954 from tax revenues or appropriations from general revenues, the Federal
share of the payment of the cost of operation or maintenance pursuant to paragraph (3)(C)(i) or paragraph (6) of this subsection (relating to operation and maintenance) shall be from
funds received by the Hazardous Substance Superfund from amounts recovered on behalf of such fund under this Act. (8) RECONTRACTING.—The President is authorized to undertake or continue
whatever interim remedial actions the President determines to be appropriate to reduce risks to public health or the environment where the performance of a complete remedial action requires
recontracting because of the discovery of sources, types, or quantities of hazardous substances not known at the time of entry Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 516 into the original contract. The total cost of interim actions undertaken at a facility pursuant to this paragraph shall not exceed $2,000,000. (9) SITING.—Effective
3 years after the enactment of the Superfund Amendments and Reauthorization Act of 1986, the President shall not provide any remedial actions pursuant to this section unless the State
in which the release occurs first enters into a contract or cooperative agreement with the President providing assurances deemed adequate by the President that the State will assure
the availability of hazardous waste treatment or disposal facilities which— (A) have adequate capacity for the destruction, treatment, or secure disposition of all hazardous wastes that
are reasonably expected to be generated within the State during the 20-year period following the date of such contract or cooperative agreement and to be disposed of, treated, or destroyed,
(B) are within the State or outside the State in accordance with an interstate agreement or regional agreement or authority, (C) are acceptable to the President, and (D) are in compliance
with the requirements of subtitle C of the Solid Waste Disposal Act. (d)(1) COOPERATIVE AGREEMENTS.— (A) STATE APPLICATIONS.—A State or political subdivision thereof or Indian tribe
may apply to the President to carry out actions authorized in this section. If the President determines that the State or political subdivision or Indian tribe has the capability to
carry out any or all of such actions in accordance with the criteria and priorities established pursuant to section 105(a)(8) and to carry out related enforcement actions, the President
may enter into a contract or cooperative agreement with the State or political subdivision or Indian tribe to carry out such actions. The President shall make a determination regarding
such an application within 90 days after the President receives the application. (B) TERMS AND CONDITIONS.—A contract or cooperative agreement under this paragraph shall be subject to
such terms and conditions as the President may prescribe. The contract or cooperative agreement may cover a specific facility or specific facilities. (C) REIMBURSEMENTS.—Any State which
expended funds during the period beginning September 30, 1985, and ending on the date of the enactment of this subparagraph for response actions at any site included on the National
Priorities List and subject to a cooperative agreement under this Act shall be reimbursed for the share of costs of such actions for which the Federal Government is responsible under
this Act. (2) If the President enters into a cost-sharing agreement pursuant to subsection (c) of this section or a contract or cooperative agreement pursuant to this subsection, and
the State or political subdivision thereof fails to comply with any requirements of the contract, the President may, after providing sixty days notice, seek in the appropriate Federal
district court to enforce the contract or Q:\COMP\ENVIR2\CERCLA December 31, 2002
517 SUPERFUND Sec. 104 to recover any funds advanced or any costs incurred because of the breach of the contract by the State or political subdivision. (3) Where a State or a political
subdivision thereof is acting in behalf of the President, the President is authorized to provide technical and legal assistance in the administration and enforcement of any contract
or subcontract in connection with response actions assisted under this title, and to intervene in any civil action involving the enforcement of such contract or subcontract. (4) Where
two or more noncontiguous facilities are reasonably related on the basis of geography, or on the basis of the threat, or potential threat to the public health or welfare or the environment,
the President may, in his discretion, treat these related facilities as one for purposes of this section. (e) INFORMATION GATHERING AND ACCESS.— (1) ACTION AUTHORIZED.—Any officer, employee,
or representative of the President, duly designated by the President, is authorized to take action under paragraph (2), (3), or (4) (or any combination thereof) at a vessel, facility,
establishment, place, property, or location or, in the case of paragraph (3) or (4), at any vessel, facility, establishment, place, property, or location which is adjacent to the vessel,
facility, establishment, place, property, or location referred to in such paragraph (3) or (4). Any duly designated officer, employee, or representative of a State or political subdivision
under a contract or cooperative agreement under subsection (d)(1) is also authorized to take such action. The authority of paragraphs (3) and (4) may be exercised only if there is a
reasonable basis to believe there may be a release or threat of release of a hazardous substance or pollutant or contaminant. The authority of this subsection may be exercised only for
the purposes of determining the need for response, or choosing or taking any response action under this title, or otherwise enforcing the provisions of this title. (2) ACCESS TO INFORMATION.—Any
officer, employee, or representative described in paragraph (1) may require any person who has or may have information relevant to any of the following to furnish, upon reasonable notice,
information or documents relating to such matter: (A) The identification, nature, and quantity of materials which have been or are generated, treated, stored, or disposed of at a vessel
or facility or transported to a vessel or facility. (B) The nature or extent of a release or threatened release of a hazardous substance or pollutant or contaminant at or from a vessel
or facility. (C) Information relating to the ability of a person to pay for or to perform a cleanup. In addition, upon reasonable notice, such person either (i) shall grant any such
officer, employee, or representative access at all reasonable times to any vessel, facility, establishment, place, property, or location to inspect and copy all documents or records
relating to such matters or (ii) shall copy and furnish to the officer, employee, or representative all such documents or records, at the option and expense of such person. Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 104 SUPERFUND 518 (3) ENTRY.—Any officer, employee, or representative described in paragraph (1) is authorized to enter at reasonable times any of the following: (A) Any vessel,
facility, establishment, or other place or property where any hazardous substance or pollutant or contaminant may be or has been generated, stored, treated, disposed of, or transported
from. (B) Any vessel, facility, establishment, or other place or property from which or to which a hazardous substance or pollutant or contaminant has been or may have been released.
(C) Any vessel, facility, establishment, or other place or property where such release is or may be threatened. (D) Any vessel, facility, establishment, or other place or property where
entry is needed to determine the need for response or the appropriate response or to effectuate a response action under this title. (4) INSPECTION AND SAMPLES.— (A) AUTHORITY.—Any officer,
employee or representative described in paragraph (1) is authorized to inspect and obtain samples from any vessel, facility, establishment, or other place or property referred to in
paragraph (3) or from any location of any suspected hazardous substance or pollutant or contaminant. Any such officer, employee, or representative is authorized to inspect and obtain
samples of any containers or labeling for suspected hazardous substances or pollutants or contaminants. Each such inspection shall be completed with reasonable promptness. (B) SAMPLES.—If
the officer, employee, or representative obtains any samples, before leaving the premises he shall give to the owner, operator, tenant, or other person in charge of the place from which
the samples were obtained a receipt describing the sample obtained and, if requested, a portion of each such sample. A copy of the results of any analysis made of such samples shall
be furnished promptly to the owner, operator, tenant, or other person in charge, if such person can be located. (5) COMPLIANCE ORDERS.— (A) ISSUANCE.—If consent is not granted regarding
any request made by an officer, employee, or representative under paragraph (2), (3), or (4), the President may issue an order directing compliance with the request. The order may be
issued after such notice and opportunity for consultation as is reasonably appropriate under the circumstances. (B) COMPLIANCE.—The President may ask the Attorney General to commence
a civil action to compel compliance with a request or order referred to in subparagraph (A). Where there is a reasonable basis to believe there may be a release or threat of a release
of a hazardous substance or pollutant or contaminant, the court shall take the following actions: (i) In the case of interference with entry or inspection, the court shall enjoin such
interference or direct Q:\COMP\ENVIR2\CERCLA December 31, 2002
519 SUPERFUND Sec. 104 compliance with orders to prohibit interference with entry or inspection unless under the circumstances of the case the demand for entry or inspection is arbitrary
and capricious, an abuse of discretion, or otherwise not in accordance with law. (ii) In the case of information or document requests or orders, the court shall enjoin interference with
such information or document requests or orders or direct compliance with the requests or orders to provide such information or documents unless under the circumstances of the case the
demand for information or documents is arbitrary and capricious, an abuse of discretion, or otherwise not in accordance with law. The court may assess a civil penalty not to exceed $25,000
for each day of noncompliance against any person who unreasonably fails to comply with the provisions of paragraph (2), (3), or (4) or an order issued pursuant to subparagraph (A) of
this paragraph. (6) OTHER AUTHORITY.—Nothing in this subsection shall preclude the President President from securing access or obtaining information in any other lawful manner. (7) CONFIDENTIALITY
OF INFORMATION.—(A) Any records, reports, or information obtained from any person under this section (including records, reports, or information obtained by representatives of the President)
shall be available to the public, except that upon a showing satisfactory to the President (or the State, as the case may be) by any person that records, reports, or information, or
particular part thereof (other than health or safety effects data), to which the President (or the State, as the case may be) or any officer, employee, or representative has access under
this section if made public would divulge information entitled to protection under section 1905 of title 18 of the United States Code, such information or particular portion thereof
shall be considered confidential in accordance with the purposes of that section, except that such record, report, document or information may be disclosed to other officers, employees,
or authorized representatives of the United States concerned with carrying out this Act, or when relevant in any proceeding under this Act. (B) Any person not subject to the provisions
of section 1905 of title 18 of the United States Code who knowingly and willfully divulges or discloses any information entitled to protection under this subsection shall, upon conviction,
be subject to a fine of not more than $5,000 or to imprisonment not to exceed one year, or both. (C) In submitting data under this Act, a person required to provide such data may (i)
designate the data which such person believes is entitled to protection under this subsection and (ii) submit such designated data separately from other data submitted under this Act.
A designation
under this paragraph shall be made in writing and in such manner as the President may prescribe by regulation. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 520 1 So in law. Probably means title III of the Superfund Amendments and Reauthorization Act of 1986 (P.L. 99–499; 100 Stat. 1728). (D) Notwithstanding any limitation
contained in this section or any other provision of law, all information reported to or otherwise obtained by the President (or any representative of the President) under this Act shall
be made available, upon written request of any duly authorized committee of the Congress, to such committee. (E) No person required to provide information under this Act may claim that
the information is entitled to protection under this paragraph unless such person shows each of the following: (i) Such person has not disclosed the information to any other person,
other than a member of a local emergency planning committee established under title III of the Amendments and Reauthorization Act of 1986 1, an officer or employee of the United States
or a State or local government, an employee of such person, or a person who is bound by a confidentiality agreement, and such person has taken reasonable measures to protect the confidentiality
of such information and intends to continue to take such measures. (ii) The information is not required to be disclosed, or otherwise made available, to the public under any other Federal
or State law. (iii) Disclosure of the information is likely to cause substantial harm to the competitive position of such person. (iv) The specific chemical identity, if sought to be
protected, is not readily discoverable through reverse engineering. (F) The following information with respect to any hazardous substance at the facility or vessel shall not be entitled
to protection under this paragraph: (i) The trade name, common name, or generic class or category of the hazardous substance. (ii) The physical properties of the substance, including
its boiling point, melting point, flash point, specific gravity, vapor density, solubility in water, and vapor pressure at 20 degrees celsius. (iii) The hazards to health and the environment
posed by the substance, including physical hazards (such as explosion) and potential acute and chronic health hazards. (iv) The potential routes of human exposure to the substance at
the facility, establishment, place, or property being investigated, entered, or inspected under this subsection. (v) The location of disposal of any waste stream. (vi) Any monitoring
data or analysis of monitoring data pertaining to disposal activities. (vii) Any hydrogeologic or geologic data. (viii) Any groundwater monitoring data. Q:\COMP\ENVIR2\CERCLA December
31, 2002
521 SUPERFUND Sec. 104 (f) In awarding contracts to any person engaged in response actions, the President or the State, in any case where it is awarding contracts pursuant to a contract
entered into under subsection (d) of this section, shall require compliance with Federal health and safety standards established under section 301(f) of this Act by contractors and subcontractors
as a condition of such contracts. (g)(1) All laborers and mechanics employed by contractors or subcontractors in the performance of construction, repair, or alteration work funded in
whole or in part under this section shall be paid wages at rates not less than those prevailing on projects of a character similar in the locality as determined by the Secretary of Labor
in accordance with the Davis-Bacon Act. The President shall not approve any such funding without first obtaining adequate assurance that required labor standards will be maintained upon
the construction work. (2) The Secretary of Labor shall have, with respect to the labor standards specified in paragraph (1), the authority and functions set forth in Reorganization
Plan Numbered 14 of 1950 (15 F.R. 3176; 64 Stat. 1267) and section 276c of title 40 of the United States Code. (h) Notwithstanding any other provision of law, subject to the provisions
of section 111 of this Act, the President may authorize the use of such emergency procurement powers as he deems necessary to effect the purpose of this Act. Upon determination that
such procedures are necessary, the President shall promulgate regulations prescribing the circumstances under which such authority shall be used and the procedures governing the use
of such authority. (i)(1) There is hereby established within the Public Health Service an agency, to be known as the Agency for Toxic Substances and Disease Registry, which shall report
directly to the Surgeon General of the United States. The Administrator of said Agency shall, with the cooperation of the Administrator of the Environmental Protection Agency, the Commissioner
of the Food and Drug Administration, the Directors of the National Institute of Medicine, National Institute of Environmental Health Sciences, National Institute of Occupational Safety
and Health, Centers for Disease Control and Prevention, the Administrator of the Occupational Safety and Health Administration, the Administrator of the Social Security Administration,
the Secretary of Transportation, and appropriate State and local health officials, effectuate and implement the health related authorities of this Act. In addition, said Administrator
shall— (A) in cooperation with the States, establish and maintain a national registry of serious diseases and illnesses and a national registry of persons exposed to toxic substances;
(B) establish and maintain inventory of literature, research, and studies on the health effects of toxic substances; (C) in cooperation with the States, and other agencies of the Federal
Government, establish and maintain a complete listing of areas closed to the public or otherwise restricted in use because of toxic substance contamination; (D) in cases of public health
emergencies caused or believed to be caused by exposure to toxic substances, provide Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 522 medical care and testing to exposed individuals, including but not limited to tissue sampling, chromosomal testing where appropriate, epidemiological studies,
or any other assistance appropriate under the circumstances; and (E) either independently or as part of other health status survey, conduct periodic survey and screening programs to
determine relationships between exposure to toxic substances and illness. In cases of public health emergencies, exposed persons shall be eligible for admission to hospitals and other
facilities and services operated or provided by the Public Health Service. (2)(A) Within 6 months after the enactment of the Superfund Amendments and Reauthorization Act of 1986, the
Administrator of the Agency for Toxic Substances and Disease Registry (ATSDR) and the Administrator of the Environmental Protection Agency (‘‘EPA’’) shall prepare a list, in order of
priority, of at least 100 hazardous substances which are most commonly found at facilities on the National Priorities List and which, in their sole discretion, they determine are posing
the most significant potential threat to human health due to their known or suspected toxicity to humans and the potential for human exposure to such substances at facilities on the
National Priorities List or at facilities to which a response to a release or a threatened release under this section is under consideration. (B) Within 24 months after the enactment
of the Superfund Amendments and Reauthorization Act of 1986, the Administrator of ATSDR and the Administrator of EPA shall revise the list prepared under subparagraph (A). Such revision
shall include, in order of priority, the addition of 100 or more such hazardous substances. In each of the 3 consecutive 12-month periods that follow, the Administrator of ATSDR and
the Administrator of EPA shall revise, in the same manner as provided in the 2 preceding sentences, such list to include not fewer than 25 additional hazardous substances per revision.
The Administrator of ATSDR and the Administrator of EPA shall not less often than once every year thereafter revise such list to include additional hazardous substances in accordance
with the criteria in subparagraph (A). (3) Based on all available information, including information maintained under paragraph (1)(B) and data developed and collected on the health
effects of hazardous substances under this paragraph, the Administrator of ATSDR shall prepare toxicological profiles of each of the substances listed pursuant to paragraph (2). The
toxicological profiles shall be prepared in accordance with guidelines developed by the Administrator of ATSDR and the Administrator of EPA. Such profiles shall include, but not be limited
to each of the following: (A) An examination, summary, and interpretation of available toxicological information and epidemiologic evaluations on a hazardous substance in order to ascertain
the levels of significant human exposure for the substance and the associated acute, subacute, and chronic health effects. (B) A determination of whether adequate information on the
health effects of each substance is available or in the process of development to determine levels of exposure which Q:\COMP\ENVIR2\CERCLA December 31, 2002
523 SUPERFUND Sec. 104 present a significant risk to human health of acute, subacute, and chronic health effects. (C) Where appropriate, an identification of toxicological testing needed
to identify the types or levels of exposure that may present significant risk of adverse health effects in humans. Any toxicological profile or revision thereof shall reflect the Administrator
of ATSDR’s assessment of all relevant toxicological testing which has been peer reviewed. The profiles required to be prepared under this paragraph for those hazardous substances listed
under subparagraph (A) of paragraph (2) shall be completed, at a rate of no fewer than 25 per year, within 4 years after the enactment of the Superfund Amendments and Reauthorization
Act of 1986. A profile required on a substance listed pursuant to subparagraph (B) of paragraph (2) shall be completed within 3 years after addition to the list. The profiles prepared
under this paragraph shall be of those substances highest on the list of priorities under under paragraph (2) for which profiles have not previously been prepared. Profiles required
under this paragraph shall be revised and republished as necessary, but no less often than once every 3 years. Such profiles shall be provided to the States and made available to other
interested parties. (4) The Administrator of the ATSDR shall provide consultations upon request on health issues relating to exposure to hazardous or toxic substances, on the basis of
available information, to the Administrator of EPA, State officials, and local officials. Such consultations to individuals may be provided by States under cooperative agreements established
under this Act. (5)(A) For each hazardous substance listed pursuant to paragraph (2), the Administrator of ATSDR (in consultation with the Administrator of EPA and other agencies and
programs of the Public Health Service) shall assess whether adequate information on the health effects of such substance is available. For any such substance for which adequate information
is not available (or under development), the Administrator of ATSDR, in cooperation with the Director of the National Toxicology Program, shall assure the initiation of a program of
research designed to determine the health effects (and techniques for development of methods to determine such health effects) of such substance. Where feasible, such program shall seek
to develop methods to determine the health effects of such substance in combination with other substances with which it is commonly found. Before assuring the initiation of such program,
the Administrator of ATSDR shall consider recommendations of the Interagency Testing Committee established under section 4(e) of the Toxic Substances Control Act on the types of research
that should be done. Such program shall include, to the extent necessary to supplement existing information, but shall not be limited to— (i) laboratory and other studies to determine
short, intermediate, and long-term health effects; (ii) laboratory and other studies to determine organ-specific, site-specific, and system-specific acute and chronic toxicity; Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 104 SUPERFUND 524 (iii) laboratory and other studies to determine the manner in which such substances are metabolized or to otherwise develop an understanding of the biokinetics
of such substances; and (iv) where there is a possibility of obtaining human data, the collection of such information. (B) In assessing the need to perform laboratory and other studies,
as required by subparagraph (A), the Administrator of ATSDR shall consider— (i) the availability and quality of existing test data concerning the substance on the suspected health effect
in question;(ii) the extent to which testing already in progress will, in a timely fashion, provide data that will be adequate to support the preparation of toxicological profiles as
required by paragraph (3); and (iii) such other scientific and technical factors as the Administrator of ATSDR may determine are necessary for the effective implementation of this subsection.
(C) In the development and implementation of any research program under this paragraph, the the Administrator of ATSDR and the Administrator of EPA shall coordinate such research program
implemented under this paragraph with the National Toxicology Program and with programs of toxicological testing established under the Toxic Substances Control Act and the Federal Insecticide,
Fungicide and Rodenticide Act. The purpose of such coordination shall be to avoid duplication of effort and to assure that the hazardous substances listed pursuant to this subsection
are tested thoroughly at the earliest practicable date. Where appropriate, consistent with such purpose, a research program under this paragraph may be carried out using such programs
of toxicological testing. (D) It is the sense of the Congress that the costs of research programs under this paragraph be borne by the manufacturers and processors of the hazardous substance
in question, as required in programs of toxicological testing under the Toxic Substances Control Act. Within 1 year after the enactment of the Superfund Amendments and Reauthorization
Act of 1986, the Administrator of EPA shall promulgate regulations which provide, where appropriate, for payment of such costs by manufacturers and processors under the Toxic Substances
Control Act, and registrants under the Federal Insecticide, Fungicide, and Rodenticide Act, and recovery of such costs from responsible parties under this Act. (6)(A) The Administrator
of ATSDR shall perform a health assessment for each facility on the National Priorities List established under section 105. Such health assessment shall be completed not later than December
10, 1988, for each facility proposed for inclusion on such list prior to the date of the enactment of the Superfund Amendments and Reauthorization Act of 1986 or not later than one year
after the date of proposal for inclusion on such list for each facility proposed for inclusion on such list after such date of enactment. (B) The Administrator of ATSDR may perform health
assessments for releases or facilities where individual persons or licensed Q:\COMP\ENVIR2\CERCLA December 31, 2002
525 SUPERFUND Sec. 104 physicians provide information that individuals have been exposed to a hazardous substance, for which the probable source of such exposure is a release. In addition
to other methods (formal or informal) of providing such information, such individual persons or licensed physicians may submit a petition to the Administrator of ATSDR providing such
information and requesting a health assessment. If such a petition is submitted and the Administrator of ATSDR does not initiate a health assessment, the Administrator of ATSDR shall
provide a written explanation of why a health assessment is not appropriate. (C) In determining the priority in which to conduct health assessments under this subsection, the Administrator
of ATSDR, in consultation with the Administrator of EPA, shall give priority to those facilities at which there is documented evidence of the release of hazardous substances, at which
the potential risk to human health appears highest, and for which in the judgment of the Administrator of ATSDR existing health assessment data are inadequate to assess the potential
risk to human health as provided in subparagraph (F). In determining the priorities for conducting health assessments under this subsection, the Administrator of ATSDR shall consider
the National Priorities List schedules and the needs of the Environmental Protection Agency and other Federal agencies pursuant to schedules for remedial investigation and feasibility
studies. (D) Where a health assessment is done at a site on the National Priorities List, the Administrator of ATSDR shall complete such assessment promptly and, to the maximum extent
practicable, before the completion of the remedial investigation and feasibility study at the facility concerned. (E) Any State or political subdivision carrying out a health assessment
for a facility shall report the results of the assessment to the Administrator of ATSDR and the Administrator of EPA and shall include recommendations with respect to further activities
which need to be carried out under this section. The Administrator of ATSDR shall state such recommendation in any report on the results of any assessment carried out directly by the
Administrator of ATSDR for such facility and shall issue periodic reports which include the results of all the assessments carried out under this subsection. (F) For the purposes of
this subsection and section 111(c)(4), the term ‘‘health assessments’’ shall include preliminary assessments of the potential risk to human health posed by individual sites and facilities,
based on such factors as the nature and extent of contamination, the existence of potential pathways of human exposure (including ground or surface water contamination, air emissions,
and food chain contamination), the size and potential susceptibility of the community within the likely pathways of exposure, the comparison of expected human exposure levels to the
shortterm and long-term health effects associated with identified hazardous substances and any available recommended exposure or tolerance limits for such hazardous substances, and the
comparison of existing morbidity and mortality data on diseases that may be associated with the observed levels of exposure. The Administrator of Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 526 ATSDR shall use appropriate data, risk assessments, risk evaluations and studies available from the Administrator of EPA. (G) The purpose of health assessments
under this subsection shall be to assist in determining whether actions under paragraph (11) of this subsection should be taken to reduce human exposure to hazardous substances from
a facility and whether additional information on human exposure and associated health risks is needed and should be acquired by conducting epidemiological studies under paragraph (7),
establishing a registry under paragraph (8), establishing a health surveillance program under paragraph (9), or through other means. In using the results of health assessments for determining
additional actions to be taken under this section, the Administrator of ATSDR may consider additional information on the risks to the potentially affected population from all sources
of such hazardous substances including known point or nonpoint sources other than those from the facility in question. (H) At the completion of each health assessment, the Administrator
of ATSDR shall provide the Administrator of EPA and each affected State with the results of such assessment, together with any recommendations for further actions under this subsection
or otherwise under this Act. In addition, if the health assessment indicates that the release or threatened release concerned may pose a serious threat to human health or the environment,
the Administrator of ATSDR shall so notify the Administrator of EPA who shall promptly evaluate such release or threatened release in accordance with the hazard ranking system referred
to in section 105(a)(8)(A) to determine whether the site shall be placed on the National Priorities List or, if the site is already on the list, the Administrator of ATSDR may recommend
to the Administrator of EPA that the site be accorded a higher priority. (7)(A) Whenever in the judgment of the Administrator of ATSDR it is appropriate on the basis of the results of
a health assessment, the Administrator of ATSDR shall conduct a pilot study of health effects for selected groups of exposed individuals in order to determine the desirability of conducting
full scale epidemiological or other health studies of the entire exposed population. (B) Whenever in the judgment of the Administrator of ATSDR it is appropriate on the basis of the
results of such pilot study or other study or health assessment, the Administrator of ATSDR shall conduct such full scale epidemiological or other health studies as may be necessary
to determine the health effects on the population exposed to hazardous substances from a release or threatened release. If a significant excess of disease in a population is identified,
the letter of transmittal of such study shall include an assessment of other risk factors, other than a release, that may, in the judgment of the peer review group, be associated with
such disease, if such risk factors were not taken into account in the design or conduct of the study. (8) In any case in which the results of a health assessment indicate a potential
significant risk to human health, the Administrator of ATSDR shall consider whether the establishment of a registry of exposed persons would contribute to accomplishing the purposes
of this subsection, taking into account circumstances bearing on the usefulness of such a registry, including the seriousness or Q:\COMP\ENVIR2\CERCLA December 31, 2002
527 SUPERFUND Sec. 104 unique character of identified diseases or the likelihood of population migration from the affected area. (9) Where the Administrator of ATSDR has determined that
there is a significant increased risk of adverse health effects in humans from exposure to hazardous substances based on the results of a health assessment conducted under paragraph
(6), an epidemiologic study conducted under paragraph (7), or an exposure registry that has been established under paragraph (8), and the Administrator of ATSDR has determined that such
exposure is the result of a release from a facility, the Administrator of ATSDR shall initiate a health surveillance program for such population. This program shall include but not be
limited to— (A) periodic medical testing where appropriate of population subgroups to screen for diseases for which the population or subgroup is at significant increased risk; and (B)
a mechanism to refer for treatment those individuals within such population who are screened positive for such diseases. (10) Two years after the date of the enactment of the Superfund
Amendments and Reauthorization Act of 1986, and every 2 years thereafter, the Administrator of ATSDR shall prepare and submit to the Administrator of EPA and to the Congress a report
on the results of the activities of ATSDR regarding— (A) health assessments and pilot health effects studies conducted; (B) epidemiologic studies conducted; (C) hazardous substances
which have been listed under paragraph (2), toxicological profiles which have been developed, and toxicologic testing which has been conducted or which is being conducted under this
subsection; (D) registries established under paragraph (8); and (E) an overall assessment, based on the results of activities conducted by the Administrator of ATSDR of the linkage between
human exposure to individual or combinations of hazardous substances due to releases from facilities covered by this Act or the Solid Waste Disposal Act and any increased incidence or
prevalence of adverse health effects in humans. (11) If a health assessment or other study carried out under this subsection contains a finding that the exposure concerned presents a
significant risk to human health, the President shall take such steps as may be necessary to reduce such exposure and eliminate or substantially mitigate the significant risk to human
health. Such steps may include the use of any authority under this Act, including, but not limited to— (A) provision of alternative water supplies, and (B) permanent or temporary relocation
of individuals. In any case in which information is insufficient, in the judgment of the Administrator of ATSDR or the President to determine a significant human exposure level with
respect to a hazardous substance, the President may take such steps as may be necessary to reduce the exposure of any person to such hazardous substance to such level as the President
deems necessary to protect human health. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 528 (12) In any case which is the subject of a petition, a health assessment or study, or a research program under this subsection, nothing in this subsection shall
be construed to delay or otherwise affect or impair the authority of the President, the Administrator of ATSDR or the Administrator of EPA to exercise any authority vested in the President,
the Administrator of ATSDR or the Administrator of EPA under any other provision of law (including, but not limited to, the imminent hazard authority of section 7003 of the Solid Waste
Disposal Act) or the response and abatement authorities of this Act. (13) All studies and results of research conducted under this subsection (other than health assessments) shall be
reported or adopted only after appropriate peer review. Such peer review shall be completed, to the maximum extent practicable, within a period of 60 days. In the case of research conducted
under the National Toxicology Program, such peer review may be conducted by the Board of Scientific Counselors. In the case of other research, such peer review shall be conducted by
panels consisting of no less than three nor more than seven members, who shall be disinterested scientific experts selected for such purpose by the Administrator of ATSDR or the Administrator
of EPA, as appropriate, on the basis of their reputation for scientific objectivity and the lack of institutional ties with any person involved in the conduct of the study or research
under review. Support services for such panels shall be provided by the Agency for Toxic Substances and Disease Registry, or by the Environmental Protection Agency, as appropriate. (14)
In the implementation of this subsection and other healthrelated authorities of this Act, the Administrator of ATSDR shall assemble, develop as necessary, and distribute to the States,
and upon request to medical colleges, physicians, and other health professionals, appropriate educational materials (including short courses) on the medical surveillance, screening,
and methods of diagnosis and treatment of injury or disease related to exposure to hazardous substances (giving priority to those listed in paragraph (2)), through such means as the
Administrator of ATSDR deems appropriate. (15) The activities of the Administrator of ATSDR described in this subsection and section 111(c)(4) shall be carried out by the Administrator
of ATSDR, either directly or through cooperative agreements with States (or political subdivisions thereof) which the Administrator of ATSDR determines are capable of carrying out such
activities. Such activities shall include provision of consultations on health information, the conduct of health assessments, including those required under section 3019(b) of the Solid
Waste Disposal Act, health studies, registries, and health surveillance. (16) The President shall provide adequate personnel for ATSDR, which shall not be fewer than 100 employees. For
purposes of determining the number of employees under this subsection, an employee employed by ATSDR on a part-time career employment basis shall be counted as a fraction which is determined
by dividing 40 hours into the average number of hours of such employee’s regularly scheduled workweek.
(17) In accordance with section 120 (relating to Federal facilities), the Administrator of ATSDR shall have the same authorities Q:\COMP\ENVIR2\CERCLA December 31, 2002
529 SUPERFUND Sec. 104 under this section with respect to facilities owned or operated by a department, agency, or instrumentality of the United States as the Administrator of ATSDR
has with respect to any nongovernmental entity. (18) If the Administrator of ATSDR determines that it is appropriate for purposes of this section to treat a pollutant or contaminant
as a hazardous substance, such pollutant or contaminant shall be treated as a hazardous substance for such purpose. (j) ACQUISITION OF PROPERTY.— (1) AUTHORITY.—The President is authorized
to acquire, by purchase, lease, condemnation, donation, or otherwise, any real property or any interest in real property that the President in his discretion determines is needed to
conduct a remedial action under this Act. There shall be no cause of action to compel the President to acquire any interest in real property under this Act. (2) STATE ASSURANCE.—The
President may use the authority of paragraph (1) for a remedial action only if, before an interest in real estate is acquired under this subsection, the State in which the interest to
be acquired is located assures the President, through a contract or cooperative agreement or otherwise, that the State will accept transfer of the interest following completion of the
remedial action. (3) EXEMPTION.—No Federal, State, or local government agency shall be liable under this Act solely as a result of acquiring an interest in real estate under this subsection.
(k) BROWNFIELDS REVITALIZATION FUNDING.— (1) DEFINITION OF ELIGIBLE ENTITY.—In this subsection, the term ‘‘eligible entity’’ means— (A) a general purpose unit of local government; (B)
a land clearance authority or other quasi-governmental entity that operates under the supervision and control of or as an agent of a general purpose unit of local government; (C) a government
entity created by a State legislature; (D) a regional council or group of general purpose units of local government; (E) a redevelopment agency that is chartered or otherwise sanctioned
by a State; (F) a State; (G) an Indian Tribe other than in Alaska; or (H) an Alaska Native Regional Corporation and an Alaska Native Village Corporation as those terms are defined in
the Alaska Native Claims Settlement Act (43 U.S.C. 1601 and following) and the Metlakatla Indian community. (2) BROWNFIELD SITE CHARACTERIZATION AND ASSESSMENT GRANT PROGRAM.— (A) ESTABLISHMENT
OF PROGRAM.—The Administrator shall establish a program to— (i) provide grants to inventory, characterize, assess, and conduct planning related to brownfield sites under subparagraph
(B); and Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 530 (ii) perform targeted site assessments at brownfield sites. (B) ASSISTANCE FOR SITE CHARACTERIZATION AND ASSESSMENT.— (i) IN GENERAL.—On approval of an application
made by an eligible entity, the Administrator may make a grant to the eligible entity to be used for programs to inventory, characterize, assess, and conduct planning related to one
or more brownfield sites. (ii) SITE CHARACTERIZATION AND ASSESSMENT.—A site characterization and assessment carried out with the use of a grant under clause (i) shall be performed in
accordance with section 101(35)(B). (3) GRANTS AND LOANS FOR BROWNFIELD REMEDIATION.— (A) GRANTS PROVIDED BY THE PRESIDENT.—Subject to paragraphs (4) and (5), the President shall establish
a program to provide grants to— (i) eligible entities, to be used for capitalization of revolving loan funds; and (ii) eligible entities or nonprofit organizations, where warranted,
as determined by the President based on considerations under subparagraph (C), to be used directly for remediation of one or more brownfield sites owned by the entity or organization
that receives the grant and in amounts not to exceed $200,000 for each site to be remediated. (B) LOANS AND GRANTS PROVIDED BY ELIGIBLE ENTITIES.—An eligible entity that receives a grant
under subparagraph (A)(i) shall use the grant funds to provide assistance for the remediation of brownfield sites in the form of— (i) one or more loans to an eligible entity, a site
owner, a site developer, or another person; or (ii) one or more grants to an eligible entity or other nonprofit organization, where warranted, as determined by the eligible entity that
is providing the assistance, based on considerations under subparagraph (C), to remediate sites owned by the eligible entity or nonprofit organization that receives the grant. (C) CONSIDERATIONS.—In
determining whether a grant under subparagraph (A)(ii) or (B)(ii) is warranted, the President or the eligible entity, as the case may be, shall take into consideration— (i) the extent
to to which a grant will facilitate the creation of, preservation of, or addition to a park, a greenway, undeveloped property, recreational property, or other property used for nonprofit
purposes; (ii) the extent to which a grant will meet the needs of a community that has an inability to draw on other sources of funding for environmental remediation and subsequent redevelopment
of the area in which a brownfield site is located because of the small population or low income of the community; Q:\COMP\ENVIR2\CERCLA December 31, 2002
531 SUPERFUND Sec. 104 (iii) the extent to which a grant will facilitate the use or reuse of existing infrastructure; (iv) the benefit of promoting the long-term availability of funds
from a revolving loan fund for brownfield remediation; and (v) such other similar factors as the Administrator considers appropriate to consider for the purposes of this subsection.
(D) TRANSITION.—Revolving loan funds that have been established before the date of the enactment of this subsection may be used in accordance with this paragraph. (4) GENERAL PROVISIONS.—
(A) MAXIMUM GRANT AMOUNT.— (i) BROWNFIELD SITE CHARACTERIZATION AND ASSESSMENT.— (I) IN GENERAL.—A grant under paragraph (2) may be awarded to an eligible entity on a community-wide
or site-by-site basis, and shall not exceed, for any individual brownfield site covered by the grant, $200,000. (II) WAIVER.—The Administrator may waive the $200,000 limitation under
subclause (I) to permit the brownfield site to receive a grant of not to exceed $350,000, based on the anticipated level of contamination, size, or status of ownership of the site. (ii)
BROWNFIELD REMEDIATION.—A grant under paragraph (3)(A)(i) may be awarded to an eligible entity on a community-wide or site-by-site basis, not to exceed $1,000,000 per eligible entity.
The Administrator may make an additional grant to an eligible entity described in the previous sentence for any year after the year for which the initial grant is made, taking into consideration—
(I) the number of sites and number of communities that are addressed by the revolving loan fund; (II) the demand for funding by eligible entities that have not previously received a
grant under this subsection; (III) the demonstrated ability of the eligible entity to use the revolving loan fund to enhance remediation and provide funds on a continuing basis; and
(IV) such other similar factors as the Administrator considers appropriate to carry out this subsection. (B) PROHIBITION.— (i) IN GENERAL.—No part of a grant or loan under this subsection
may be used for the payment of— (I) a penalty or fine; (II) a Federal cost-share requirement; (III) an administrative cost; Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 532 (IV) a response cost at a brownfield site for which the recipient of the grant or loan is potentially liable under section 107; or (V) a cost of compliance with
any Federal law (including a Federal law specified in section 101(39)(B)), excluding the cost of compliance with laws applicable to the cleanup. (ii) EXCLUSIONS.—For the purposes of
clause (i)(III), the term ‘‘administrative cost’’ does not include the cost of— (I) investigation and identification of the extent of contamination; (II) design and performance of a
response action; or (III) monitoring of a natural resource. (C) ASSISTANCE FOR DEVELOPMENT OF LOCAL GOVERNMENT SITE REMEDIATION PROGRAMS.—A local government that receives a grant under
this subsection may use not to exceed 10 percent of the grant funds to develop and implement a brownfields program that may include— (i) monitoring the health of populations exposed
to one or more hazardous substances from a brownfield site; and (ii) monitoring and enforcement of any institutional control used to prevent human exposure to any hazardous substance
from a brownfield site. (D) INSURANCE.—A recipient of a grant or loan awarded under paragraph (2) or (3) that performs a characterization, assessment, or remediation of a brownfield
site may use a portion of the grant or loan to purchase insurance for the characterization, assessment, or remediation of that site. (5) GRANT APPLICATIONS.— (A) SUBMISSION.— (i) IN
GENERAL.— (I) APPLICATION.—An eligible entity may submit to the Administrator, through a regional office of the Environmental Protection Agency and in such form as the Administrator
may require, an application for a grant under this subsection for one or more brownfield sites (including information on the criteria used by the Administrator to rank applications under
subparagraph (C), to the extent that the information is available). (II) NCP REQUIREMENTS.—The Administrator may include in any requirement for submission of an application under subclause
(I) a requirement of the National Contingency Plan only to the extent that the requirement is relevant and appropriate to the program under this subsection. (ii) COORDINATION.—The Administrator
shall coordinate with other Federal agencies to assist in making eligible entities aware of other available Federal resources. Q:\COMP\ENVIR2\CERCLA December 31, 2002
533 SUPERFUND Sec. 104 (iii) GUIDANCE.—The Administrator shall publish guidance to assist eligible entities in applying for grants under this subsection. (B) APPROVAL.—The Administrator
shall— (i) at least annually, complete a review of applications for grants that are received from eligible entities under this subsection; and (ii) award grants under this subsection
to eligible entities that the Administrator determines have the highest rankings under the ranking criteria established under subparagraph (C). (C) RANKING CRITERIA.—The Administrator
shall establish a system for ranking grant applications received under this paragraph that includes the following criteria: (i) The extent to which a grant will stimulate the availability
of other funds for environmental assessment or remediation, and subsequent reuse, of an area in which one or more brownfield sites are located. (ii) The potential of the proposed project
or the development plan for an area in which one or more brownfield sites are located to stimulate economic development of the area on completion of the cleanup. (iii) The extent to
which a grant would address or facilitate the identification and reduction of threats to human health and the environment, including threats in areas in which there is a greater-than-normal
incidence of diseases or conditions (including cancer, asthma, or birth defects) that may be associated with exposure to hazardous substances, pollutants, or contaminants. (iv) The extent
to which a grant would facilitate the use or reuse of existing infrastructure. (v) The extent to which a grant would facilitate the creation of, preservation of, or addition to a park,
a greenway, undeveloped property, recreational property, or other property used for nonprofit purposes. (vi) The extent to which a grant would meet the needs of a community that has
an inability to draw on other sources of funding for environmental remediation and subsequent redevelopment of the area in which a brownfield site is located because of the small population
or low income of the community. (vii) The extent to which the applicant is eligible for funding from other sources. (viii) The extent to which a grant will further the fair distribution
of funding between urban and nonurban areas. (ix) The extent to which the grant provides for involvement of the local community in the process of making decisions relating to cleanup
and future use of a brownfield site. (x) The extent to which a grant would address or facilitate the identification and reduction of threats to the health or welfare of children, pregnant
women, mi-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 104 SUPERFUND 534 nority or low-income communities, or other sensitive populations. (6) IMPLEMENTATION OF BROWNFIELDS PROGRAMS.— (A) ESTABLISHMENT OF PROGRAM.—The Administrator
may provide, or fund eligible entities or nonprofit organizations to provide, training, research, and technical assistance to individuals and organizations, as appropriate, to facilitate
the inventory of brownfield sites, site assessments, remediation of brownfield sites, community involvement, or site preparation. (B) FUNDING RESTRICTIONS.—The total Federal funds to
be expended by the Administrator under this paragraph shall not exceed 15 percent of the total amount appropriated to carry out this subsection in any fiscal year. (7) AUDITS.— (A) IN
GENERAL.—The Inspector General of the Environmental Protection Agency shall conduct such reviews or audits of grants and loans under this subsection as the Inspector General considers
necessary to carry out this subsection. (B) PROCEDURE.—An audit under this subparagraph shall be conducted in accordance with the auditing procedures of the General Accounting Office,
including chapter 75 of title 31, United States Code. (C) VIOLATIONS.—If the Administrator determines that a person that receives a grant or loan under this subsection has violated or
is in violation of a condition of the grant, loan, or applicable Federal law, the Administrator may— (i) terminate the grant or loan; (ii) require the person to repay any funds received;
and (iii) seek any other legal remedies available to the Administrator. (D) REPORT TO CONGRESS.—Not later than 3 years after the date of the enactment of this subsection, the Inspector
General of the Environmental Protection Agency shall submit to Congress a report that provides a description of the management of the program (including a description of the allocation
of funds under this subsection). (8) LEVERAGING.—An eligible entity that receives a grant under this subsection may use the grant funds for a portion of a project at a brownfield site
for which funding is received from other sources if the grant funds are used only for the purposes described in paragraph (2) or (3). (9) AGREEMENTS.—Each grant or loan made under this
subsection shall— (A) include a requirement of the National Contingency Plan only to the extent that the requirement is relevant and appropriate to the program under this subsection,
as determined by the Administrator; and (B) be subject to an agreement that— (i) requires the recipient to— Q:\COMP\ENVIR2\CERCLA December 31, 2002
535 SUPERFUND Sec. 105 (I) comply with all applicable Federal and State laws; and (II) ensure that the cleanup protects human health and the environment; (ii) requires that the recipient
use the grant or loan exclusively for purposes specified in paragraph (2) or (3), as applicable; (iii) in the case of an application by an eligible entity under paragraph (3)(A), requires
the eligible entity to pay a matching share (which may be in the form of a contribution of labor, material, or services) of at least 20 percent, from non-Federal sources of funding,
unless the Administrator determines that the matching share would place an undue hardship on the eligible entity; and (iv) contains such other terms and conditions as the Administrator
determines to be necessary to carry out this subsection. (10) FACILITY OTHER THAN BROWNFIELD SITE.—The fact that a facility may not be a brownfield site within the meaning of section
101(39)(A) has no effect on the eligibility of the facility for assistance under any other provision of Federal law. (11) EFFECT ON FEDERAL LAWS.—Nothing in this subsection affects any
liability or response authority under any Federal law, including— (A) this Act (including the last sentence of section 101(14)); (B) the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.);
(C) the Federal Water Pollution Control Act (33 U.S.C. 1251 et seq.); (D) the Toxic Substances Control Act (15 U.S.C. 2601 et seq.); and (E) the Safe Drinking Water Act (42 U.S.C. 300f
et seq.). (12) FUNDING.— (A) AUTHORIZATION OF APPROPRIATIONS.—There is authorized to be appropriated to carry out this subsection $200,000,000 for each of fiscal years 2002 through 2006.
(B) USE OF CERTAIN FUNDS.—Of the amount made available under subparagraph (A), $50,000,000, or, if the amount made available is less than $200,000,000, 25 percent of the amount made
available, shall be used for site characterization, assessment, and remediation of facilities described in section 101(39)(D)(ii)(II). [42 U.S.C. 9604] NATIONAL CONTINGENCY PLAN SEC.
105. (a) REVISION AND REPUBLICATION.—Within one hundred and eighty days after the enactment of this Act, the President shall, after notice and opportunity for public comments, revise
and republish the national contingency plan for the removal of oil and hazardous substances, originally prepared and published pursuant Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 105 SUPERFUND 536 1 Probably should refer to section 311(d)(2), pursuant to general amendments made to such section by section 4201(a) of Public Law 101–380. to section 311 of the
Federal Water Pollution Control Act, to reflect and effectuate the responsibilities and powers created by this Act, in addition to those matters specified in section 311(c)(2). 1 Such
revision shall include a section of the plan to be known as the national hazardous substance response plan which shall establish procedures and standards for responding to releases of
hazardous substances, pollutants, and contaminants, which shall include at a minimum: (1) methods for discovering and investigating facilities at which hazardous substances have been
disposed of or otherwise come to be located; (2) methods for evaluating, including analyses of relative cost, and remedying any releases or threats of releases from facilities which
pose substantial danger to the public health or the environment; (3) methods and criteria for determining the appropriate extent of removal, remedy, and other measures authorized by
this Act; (4) appropriate roles and responsibilities for the Federal, State, and local governments and for interstate and nongovernmental entities in effectuating the plan; (5) provision
for identification, procurement, maintenance, and storage of response equipment and supplies; (6) a method for and assignment of responsibility for reporting the existence of such facilities
which may be located on federally owned or controlled properties and any releases of hazardous substances from such facilities; (7) means of assuring that remedial action measures are
cost-effective over the period of potential exposure to the hazardous substances or contaminated materials; (8)(A) criteria for determining priorities among releases or threatened releases
throughout the United States for the purpose of taking remedial action and, to the extent practicable taking into account the potential urgency of such action, for the purpose of taking
removal action. Criteria and priorities under this paragraph shall be based upon relative risk or danger to public health or welfare or the environment, in the judgment of the President,
taking into account to the extent possible the population at risk, the hazard potential of the hazardous substances at such facilities, the potential for contamination of drinking water
supplies, the potential for direct human contact, the potential for destruction of sensitive ecosystems, the damage to natural resources which may affect the human food chain and which
is associated with any release or threatened release, the contamination or potential contamination of the ambient air which is associated with the release or threatened release, State
preparedness to assume State costs and responsibilities, and other appropriate factors; (B) based upon the criteria set forth in subparagraph (A) of this paragraph, the President shall
list as part of the plan national priorities among the known releases or threatened re-Q:\COMP\ENVIR2\CERCLA December 31, 2002
537 SUPERFUND Sec. 105 1 Probably should refer to section 311(d)(2), pursuant to general amendments made to such section by section 4201(a) of Public Law 101–380. leases throughout the
United States and shall revise the list no less often than annually. Within one year after the date of enactment of this Act, and annually thereafter, each State shall establish and
submit for consideration by the President priorities for remedial action among known releases and potential releases in that State based upon the criteria set forth in subparagraph (A)
of this paragraph. In assembling or revising the national list, the President shall consider any priorities established by the States. To the extent practicable, the highest priority
facilities shall be designated individually and shall be referred to as the ‘‘top priority among known response targets’’, and, to the extent practicable, shall include among the one
hundred highest priority facilities one such facility from each State which shall be the facility designated by the State as presenting the greatest danger to public health or welfare
or the environment among the known facilities in such State. A State shall be allowed to designate its highest priority facility only once. Other priority facilities or incidents may
be listed singly or grouped for response priority purposes; (9) specified roles for private organizations and entities in preparation for response and in responding to releases of hazardous
substances, including identification of appropriate qualifications and capacity therefor and including consideration of minority firms in accordance with subsection (f); and (10) standards
and testing procedures by which alternative or innovative treatment technologies can be determined to be appropriate for utilization in response actions authorized by this Act. The plan
shall specify procedures, techniques, materials, equipment, and methods to be employed in identifying, removing, or remedying releases of hazardous substances comparable to those required
under section 311(c)(2) 1 (F) and (G) and (j)(1) of the Federal Water Pollution Control Act. Following publication of the revised national contingency plan, the response to and actions
to minimize damage from hazardous substances releases shall, to the greatest extent possible, be in accordance with the provisions of the plan. The President may, from time to time,
revise and republish the national contingency plan. (b) REVISION OF PLAN.—Not later than 18 months after the enactment of the Superfund Amendments and Reauthorization Act of 1986, the
President shall revise the National Contingency Plan to reflect the requirements of such amendments. The portion of such Plan known as ‘‘the National Hazardous Substance Response Plan’’
shall be revised to provide procedures and standards for remedial actions undertaken pursuant to this Act which are consistent with amendments made by the Superfund Amendments and Reauthorization
Act of 1986 relating to the selection of remedial action. (c) HAZARD RANKING SYSTEM.— (1) REVISION.—Not later than 18 months after the enactment of the Superfund Amendments and Reauthorization
Act of 1986 and after publication of notice and opportunity for sub-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 105 SUPERFUND 538 mission of comments in accordance with section 553 of title 5, United States Code, the President shall by rule promulgate amendments to the hazard ranking system
in effect on September 1, 1984. Such amendments shall assure, to the maximum extent feasible, that the hazard ranking system accurately assesses the relative degree of risk to human
health and the environment posed by sites and facilities subject to review. The President shall establish an effective date for the amended hazard ranking system which is not later than
24 months after enactment of the Superfund Amendments and Reauthorization Act of 1986. Such amended hazard ranking system shall be applied to any site or facility to be newly listed
on the National Priorities List after the effective date established by the President. Until such effective date of the regulations, the hazard ranking system in effect on September
1, 1984, shall continue in full force and effect. (2) HEALTH ASSESSMENT OF WATER CONTAMINATION RISKS.—In carrying out this subsection, the President shall ensure that the human health
risks associated with the contamination or potential contamination (either directly or as a result of the runoff of any hazardous substance or pollutant or contaminant from sites or
facilities) of surface water are appropriately assessed where such surface water is, or can be, used for recreation or potable water consumption. In making the assessment required pursuant
to the preceding sentence, the President shall take into account the potential migration of any hazardous substance or pollutant or contaminant through such surface water to downstream
sources of drinking water. (3) REEVALUATION NOT REQUIRED.—The President shall not be required to reevaluate, after the date of the enactment of the Superfund Amendments and Reauthorization
Act of 1986, the hazard ranking of any facility which was evaluated in accordance with the criteria under this section before the effective date of the amendments to the hazard ranking
system under this subsection and which was assigned a national priority under the National Contingency Plan. (4) NEW INFORMATION.—Nothing in paragraph (3) shall preclude the President
from taking new information into account in undertaking response actions under this Act. (d) PETITION FOR ASSESSMENT OF RELEASE.—Any person who is, or may be, affected by a release or
threatened release of a hazardous substance or pollutant or contaminant, may petition the President to conduct a preliminary assessment of the hazards to public health and the environment
which are associated with such release or threatened release. If the President has not previously conducted a preliminary assessment of such release, the President shall, within 12 months
after the receipt of any such petition, complete such assessment or provide an explanation of why the assessment is not appropriate. If the preliminary assessment indicates that the
release or threatened release concerned may pose a threat to human health or the environment, the President shall promptly evaluate such release or threatened release in accordance with
the hazard ranking system referred to in paragraph (8)(A) of subsection Q:\COMP\ENVIR2\CERCLA December 31, 2002
539 SUPERFUND Sec. 105 (a) to determine the national priority of such release or threatened release. (e) RELEASES FROM EARLIER SITES.—Whenever there has been, after January 1, 1985,
a significant release of hazardous substances or pollutants or contaminants from a site which is listed by the President as a ‘‘Site Cleaned Up To Date’’ on the National Priorities List
(revised edition, December 1984) the site shall be restored to the National Priorities List, without application of the hazard ranking system. (f) MINORITY CONTRACTORS.—In awarding contracts
under this Act, the President shall consider the availability of qualified minority firms. The President shall describe, as part of any annual report submitted to the Congress under
this Act, the participation of minority firms in contracts carried out under this Act. Such report shall contain a brief description of the contracts which have been awarded to minority
firms under this Act and of the efforts made by the President to encourage the participation of of such firms in programs carried out under this Act. (g) SPECIAL STUDY WASTES.— (1) APPLICATION.—This
subsection applies to facilities— (A) which as of the date of enactment of the Superfund Amendments and Reauthorization Act of 1986 were not included on, or proposed for inclusion on,
the National Priorities List; and (B) at which special study wastes described in paragraph (2), (3)(A)(ii) or (3)(A)(iii) of section 3001(b) of the Solid Waste Disposal Act are present
in significant quantities, including any such facility
from which there has been a release of a special study waste. (2) CONSIDERATIONS IN ADDING FACILITIES TO NPL.—Pending revision of the hazard ranking system under subsection (c), the
President shall consider each of the following factors in adding facilities covered by this section to the National Priorities List: (A) The extent to which hazard ranking system score
for the facility is affected by the presence of any special study waste at, or any release from, such facility. (B) Available information as to the quantity, toxicity, and concentration
of hazardous substances that are constituents of any special study waste at, or released from such facility, the extent of or potential for release of such hazardous constituents, the
exposure or potential exposure to human population and the environment, and the degree of hazard to human health or the environment posed by the release of such hazardous constituents
at such facility. This subparagraph refers only to available information on actual concentrations of hazardous substances and not on the total quantity of special study waste at such
facility. (3) SAVINGS PROVISIONS.—Nothing in this subsection shall be construed to limit the authority of the President to remove any facility which as of the date of enactment of the
Superfund Amendments and Reauthorization Act of 1986 is included on the National Priorities List from such List, or not to list any Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 105 SUPERFUND 540 facility which as of such date is proposed for inclusion on such list. (4) INFORMATION GATHERING AND ANALYSIS.—Nothing in this Act shall be construed to preclude
the expenditure of monies from the Fund for gathering and analysis of information which will enable the President to consider the specific factors required by paragraph (2). (h) NPL
DEFERRAL.— (1) DEFERRAL TO STATE VOLUNTARY CLEANUPS.—At the request of a State and subject to paragraphs (2) and (3), the President generally shall defer final listing of an eligible
response site on the National Priorities List if the President determines that— (A) the State, or another party under an agreement with or order from the State, is conducting a response
action at the eligible response site— (i) in compliance with a State program that specifically governs response actions for the protection of public health and the environment; and (ii)
that will provide long-term protection of human health and the environment; or (B) the State is actively pursuing an agreement to perform a response action described in subparagraph
(A) at the site with a person that the State has reason to believe is capable of conducting a response action that meets the requirements of subparagraph (A). (2) PROGRESS TOWARD CLEANUP.—If,
after the last day of the 1-year period beginning on the date on which the President proposes to list an eligible response site on the National Priorities List, the President determines
that the State or other party is not making reasonable progress toward completing a response action at the eligible response site, the President may list the eligible response site on
the National Priorities List. (3) CLEANUP AGREEMENTS.—With respect to an eligible response site under paragraph (1)(B), if, after the last day of the 1-year period beginning on the date
on which the President proposes to list the eligible response site on the National Priorities List, an agreement described in paragraph (1)(B) has not been reached, the President may
defer the listing of the eligible response site on the National Priorities List for an additional period of not to exceed 180 days if the President determines deferring the listing would
be appropriate based on— (A) the complexity of the site; (B) substantial progress made in negotiations; and (C) other appropriate factors, as determined by the President. (4) EXCEPTIONS.—The
President may decline to defer, or elect to discontinue a deferral of, a listing of an eligible response site on the National Priorities List if the President determines that— (A) deferral
would not be appropriate because the State, as an owner or operator or a significant contributor of hazardous substances to the facility, is a potentially responsible party; Q:\COMP\ENVIR2\CERCLA
December 31, 2002
541 SUPERFUND Sec. 106 (B) the criteria under the National Contingency Plan for issuance of a health advisory have been met; or (C) the conditions in paragraphs (1) through (3), as applicable,
are no longer being met. [42 U.S.C. 9605] ABATEMENT ACTION SEC. 106. (a) In addition to any other action taken by a State or local government, when the President determines that there
may be an imminent and substantial endangerment to the public health or welfare or the environment because of an actual or threatened release of a hazardous substance from a facility,
he may require the Attorney General of the United States to secure such relief as may be necessary to abate such danger or threat, and the district court of the United States in the
district in which the threat occurs shall have jurisdiction to grant such relief as the public interest and the equities of the case may require. The President may also, after notice
to the affected State, take other action under this section including, but not limited to, issuing such orders as may be necessary to protect public health and welfare and the environment.
(b)(1) Any person who, without sufficient cause, willfully violates, or fails or refuses to comply with, any order of the President under subsection (a) may, in an action brought in
the appropriate United States district court to enforce such order, be fined not more than $25,000 for each day in which such violation occurs or such failure to comply continues. (2)(A)
Any person who receives and complies with the terms of any order issued under subsection (a) may, within 60 days after completion of the required action, petition the President for reimbursement
from the Fund for the reasonable costs of such action, plus interest. Any interest payable under this paragraph shall accrue on the amounts expended from the date of expenditure at the
same rate as specified for interest on investments of the Hazardous Substance Superfund established under subchapter A of chapter 98 of the Internal Revenue Code of 1954. (B) If the
the President refuses to grant all or part of a petition made under this paragraph, the petitioner may within 30 days of receipt of such refusal file an action against the President
in the appropriate United States district court seeking reimbursement from the Fund. (C) Except as provided in subparagraph (D), to obtain reimbursement, the petitioner shall establish
by a preponderance of the evidence that it is not liable for response costs under section 107(a) and that costs for which it seeks reimbursement are reasonable in light of the action
required by the relevant order. (D) A petitioner who is liable for response costs under section 107(a) may also recover its reasonable costs of response to the extent that it can demonstrate,
on the administrative record, that the President’s decision in selecting the response action ordered was arbitrary and capricious or was otherwise not in accordance with law. Reimbursement
awarded under this subparagraph shall include all reasonable response costs incurred by the the petitioner pur-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 107 SUPERFUND 542 1 See footnote 1 under section 105(a). 2 Matter after this point appears to modify paragraphs (1) through (4). suant to the portions of the order found to be arbitrary
and capricious or otherwise not in accordance with law. (E) Reimbursement awarded by a court under subparagraph (C) or (D) may include appropriate costs, fees, and other expenses in
accordance with subsections (a) and (d) of section 2412 of title 28 of the United States Code. (c) Within one hundred and eighty days after enactment of this Act, the Administrator of
the Environmental Protection Agency shall, after consultation with the Attorney General, establish and publish guidelines for using the imminent hazard, enforcement, and emergency response
authorities of this section and other existing statutes administered by the Administrator of the Environmental Protection Agency to effectuate the responsibilities and powers created
by this Act. Such guidelines shall to the extent practicable be consistent with the national hazardous substance response plan, and shall include, at a minimum, the assignment of responsibility
for coordinating response actions with the issuance of administrative orders, enforcement of standards and permits, the gathering of information, and other imminent hazard and emergency
powers authorized by (1) sections 311(c)(2), 1 308, 309, and 504(a) of the Federal Water Pollution Control Act, (2) sections 3007, 3008, 3013, and 7003 of the Solid Waste Disposal Act,
(3) sections 1445 and 1431 of the Safe Drinking Water Act, (4) sections 113, 114, and 303 of the Clean Air Act, and (5) section 7 of the Toxic Substances Control Act. [42 U.S.C. 9606]
LIABILITY SEC. 107. (a) Notwithstanding any other provision or rule of law, and subject only to the defenses set forth in subsection (b) of this section— (1) the owner and operator of
a vessel or a facility, (2) any person who at the time of disposal of any hazardous substance owned or operated any facility at which such hazardous substances were disposed of, (3)
any person who by contract, agreement, or otherwise arranged for disposal or treatment, or arranged with a transporter for transport for disposal or treatment, of hazardous substances
owned or possessed by such person, by any other party or entity, at any facility or incineration vessel owned or operated by another party or entity and containing such hazardous substances,
and (4) any person who accepts or accepted any hazardous substances for transport to disposal or treatment facilities, incineration vessels or sites selected by such person, from which
there is a release, or a threatened release which causes the incurrence of response costs, of a hazardous substance, 2 shall be liable for—(A) all costs of removal or remedial action
incurred by the United States Government or a State or an Indian tribe not inconsistent with the national contingency plan; Q:\COMP\ENVIR2\CERCLA December 31, 2002
543 SUPERFUND Sec. 107 1 Section 209 of the Water Resources Development Act of 1996 (Public Law 104–303; 110 Stat. 3681) provides: SEC. 209. [42 U.S.C. 9607 note] RECOVERY OF COSTS.
Amounts recovered under section 107 of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 (42 U.S.C. 9607) for any response action taken by the Secretary
in support of the civil works program of the Department of the Army and any other amounts recovered by the Secretary from a contractor, insurer, surety, or other person to reimburse
the Department of the Army for any expenditure for environmental response activities in support of the Army civil works program shall be credited to the appropriate trust fund account
from which the cost of such response action has been paid or will be charged. 2 So in law. Probably should be ‘‘(A)’’. 3 So in law. Probably should be ‘‘(B)’’. (B) any other necessary
costs of response incurred by any other person consistent with the national contingency plan;(C) damages for injury to, destruction of, or loss of natural resources, including the reasonable
costs of assessing such injury, destruction, or loss resulting from such a release; and (D) the costs of any health assessment or health effects study carried out under section 104(i).
The amounts recoverable in an action under this section shall include interest on the amounts recoverable under subparagraphs (A) through (D). Such interest shall accrue from the later
of (i) the date payment of a specified amount is demanded in writing, or (ii) the date of the expenditure concerned. The rate of interest on the outstanding unpaid balance of the amounts
recoverable under this section shall be the same rate as is specified for interest on investments of the Hazardous Substance Superfund established under subchapter A of chapter 98 of
the Internal Revenue Code of 1954. For purposes of applying such amendments to interest under this subsection, the term ‘‘comparable maturity’’ shall be determined with reference to
the date on which interest accruing under this subsection commences. 1 (b) There shall be no liability under subsection (a) of this section for a person otherwise liable who can establish
by a preponderance of the evidence that the release or threat of release of a hazardous substance and the damages resulting therefrom were caused solely by— (1) an act of God; (2) an
act of war; (3) an act or omission of a third party other than an employee or agent of the defendant, or than one whose act or omission occurs in connection with a contractual relationship,
existing directly or indirectly, with the defendant (except where the sole contractual arrangement arises from a published tariff and acceptance for carriage by a common carrier by rail),
if the defendant establishes by a preponderance of the evidence that (a) 2 he exercised due care with respect to the hazardous substance concerned, taking into consideration the characteristics
of such hazardous substance, in light of all relevant facts and circumstances, and (b) 3 he took precautions against foreseeable acts or omissions of any such third party and the consequences
that could foreseeably result from such acts or omissions; or (4) any combination of the foregoing paragraphs. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 107 SUPERFUND 544 (c)(1) Except as provided in paragraph (2) of this subsection, the liability under this section of an owner or operator or other responsible person for each release
of a hazardous substance or incident involving release of a hazardous substance shall not exceed— (A) for any vessel, other than an incineration vessel, which carries any hazardous substance
as cargo or residue, $300 per gross ton, or $5,000,000, whichever is greater; (B) for any other vessel, other than an incineration vessel, $300 per gross ton, or $500,000, whichever
is greater; (C) for any motor vehicle, aircraft, hazardous liquid pipeline facility (as defined in section 60101(a) of title 49, United States Code), or rolling stock, $50,000,000 or
such lesser amount as the President shall establish by regulation, but in no event less than $5,000,000 (or, for releases of hazardous substances as defined in section 101(14)(A) of
this title into the navigable waters, $8,000,000). Such regulations shall take into account the size, type, location, storage, and handling capacity and other matters relating to the
likelihood of release in each such class and to the economic impact of such limits on each such class; or (D) for any incineration vessel or any facility other than those specified in
subparagraph (C) of this paragraph, the total of all costs of response plus $50,000,000 for any damages under this title. (2) Notwithstanding the limitations in paragraph (1) of this
subsection, the liability of an owner or operator or other responsible person under this section shall be the full and total costs of response and damages, if (A)(i) the release or threat
of release of a hazardous substance was the result of willful misconduct or willful negligence within the privity or knowledge of such person, or (ii) the primary cause of the release
was a violation (within the privity or knowledge of such person) of applicable safety, construction, or operating standards or regulations; or (B) such person fails or refuses to provide
all reasonable cooperation and assistance requested by a responsible public official in connection with response activities under the national contingency plan with respect to regulated
carriers subject to the provisions of title 49 of the United States Code or vessels subject to the provisions of title 33 or 46 of the United States Code, subparagraph (A)(ii) of this
paragraph shall be deemed to refer to Federal standards or regulations. (3) If any person who is liable for a release or threat of release of a hazardous substance fails without sufficient
cause to properly provide removal or remedial action upon order of the President pursuant to section 104 or 106 of this Act, such person may be liable to the United States for punitive
damages in an amount at least equal to, and not more than three times, the amount of any costs incurred by the Fund as a result of such failure to take proper action. The President is
authorized to commence a civil action against any such person to recover the punitive damages, which shall be in addition to any costs recovered from such person pursuant to section
112(c) of this Act. Any moneys received by the United States pursuant to this subsection shall be deposited in the Fund. (d) RENDERING CARE OR ADVICE.— Q:\COMP\ENVIR2\CERCLA December
31, 2002
545 SUPERFUND Sec. 107 (1) IN GENERAL.—Except as provided in paragraph (2), no person shall be liable under this title for costs or damages as a result of actions taken or omitted in
the course of rendering care, assistance, or advice in accordance with the National Contingency Plan (‘‘NCP’’) or at the direction of an onscene coordinator appointed under such plan,
with respect to an incident creating a danger to public health or welfare or the environment as a result of any releases of a hazardous substance or the threat thereof. This paragraph
shall not preclude liability for costs or damages as the result of negligence on the part of such person. (2) STATE AND LOCAL GOVERNMENTS.—No State or local government shall be liable
under this title for costs or damages as a result of actions taken in response to an emergency created by the release or threatened release of a hazardous substance generated by or from
a facility owned by another person. This paragraph shall not preclude liability for costs or damages as a result of gross negligence or intentional misconduct by the State or local government.
For the purpose of the preceding sentence, reckless, willful, or wanton misconduct shall constitute gross negligence. (3) SAVINGS PROVISION.—This subsection shall not alter the liability
of any person covered by the provisions of paragraph (1), (2), (3), or (4) of subsection (a) of this section with respect to the release or threatened release concerned. (e)(1) No indemnification,
hold harmless, or similar agreement or conveyance shall be effective to transfer from the owner or operator of any vessel or facility or from any person who may be liable for a release
or threat of release under this section, to any other person the liability imposed under this section. Nothing in this subsection shall bar any agreement to insure, hold harmless, or
indemnify a party to such agreement for any liability under this section. (2) Nothing in this title, including the provisions of paragraph (1) of this subsection, shall bar a cause of
action that an owner or operator or any other person subject to liability under this section, or a guarantor, has or would have, by reason of subrogation or otherwise against any person.
(f)(1) NATURAL RESOURCES LIABILITY.—In the case of an injury to, destruction of, or loss of natural resources under subparagraph (C) of subsection (a) liability shall be to the United
States Government and to any State for natural resources within the State or belonging to, managed by, controlled by, or appertaining to such State and to any Indian tribe for natural
resources belonging to, managed by, controlled by, or appertaining to such tribe, or held in trust for the benefit of such tribe, or belonging to a member of such tribe if such resources
are subject to a trust restriction on alienation: Provided, however, That no liability to the United States or State or Indian tribe shall be imposed under subparagraph (C) of subsection
(a), where the party sought to be charged has demonstrated that the damages to natural resources complained of were specifically identified as an irreversible and irretrievable commitment
of natural resources in an environmental impact statement, or other comparable environment analysis, and the decision to grant a permit or license authorizes such commitment Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 107 SUPERFUND 546 1 The words ‘‘or the Indian tribe’’ were inserted after the words ‘‘State Government’’ in the previous version of this sentence, but the same law also removed
the sentence containing those words and replaced it with this new sentence which does not contain the words ‘‘State Government’’. See sections 107(d)(2) and 207(c)(2)(D) of the Superfund
Amendments and Reauthorization Act of 1986. 2 So in law (Pub. Law. 99–499, 100 Stat. 1629). Margin is incorrect. of natural resources, and the facility or project was otherwise operating
within the terms of its permit or license, so long as, in the case of damages to an Indian tribe occurring pursuant to a Federal permit or license, the issuance of that permit or license
was not inconsistent with the fiduciary duty of the United States with respect to such Indian tribe. The President, or the authorized representative of any State, shall act on behalf
of the public as trustee of such natural resources to recover for such damages. Sums recovered by the United States Government as trustee under this subsection shall be retained by the
trustee, without further appropriation, for use only to restore, replace, or acquire the equivalent of such natural resources. Sums recovered by a State 1 as trustee under this subsection
shall be available for use only to restore, replace, or acquire the equivalent of such natural resources by the State. 1 The measure of damages in any action under subparagraph (C) of
subsection (a) shall not be limited by the sums which can be used to restore or replace such resources. There shall be no double recovery under this Act for natural resource damages,
including the costs of damage assessment or restoration, rehabilitation, or acquisition for the same release and natural resource. There shall be no recovery under the authority of subparagraph
(C) of subsection (a) where such damages and the release of a hazardous substance from which such damages resulted have occurred wholly before the enactment of this Act. (2) DESIGNATION
DESIGNATION OF FEDERAL AND STATE OFFICIALS.— 2 (A) FEDERAL.—The President shall designate in the National Contingency Plan published under section 105 of this Act the Federal officials
who shall act on behalf of the public as trustees for natural resources under this Act and section 311 of the Federal Water Pollution Control Act. Such officials shall assess damages
for injury to, destruction of, or loss of natural resources for purposes of this Act and such section 311 for those resources under their trusteeship and may, upon request of and reimbursement
from a State and at the Federal officials’ discretion, assess damages for those natural resources under the State’s trusteeship.(B) STATE.—The Governor of each State shall designate
State officials who may act on behalf of the public as trustees for natural resources under this Act and section 311 of the Federal Water Pollution Control Act and shall notify the President
of such designations. Such State officials shall assess damages to natural resources for for the purposes of this Act and such section 311 for those natural resources under their trusteeship.
(C) REBUTTABLE PRESUMPTION.—Any determination or assessment of damages to natural resources for the purposes of this Act and section 311 of the Federal Water Pol-Q:\COMP\ENVIR2\CERCLA
December 31, 2002
547 SUPERFUND Sec. 107 1 Section 232 was repealed by section 514(b) of Public Law 99–499. lution Control Act made by a Federal or State trustee in accordance with the regulations promulgated
under section 301(c) of this Act shall have the force and effect of a rebuttable presumption on behalf of the trustee in any administrative or judicial proceeding under this Act or section
311 of the Federal Water Pollution Control Act. (g) FEDERAL AGENCIES.—For provisions relating to Federal agencies, see section 120 of this Act. (h) The owner or operator of a vessel
shall be liable in accordance with this section, under maritime tort law, and as provided under section 114 of this Act notwithstanding any provision of the Act of March 3, 1851 (46
U.S.C. 183ff) or the absence of any physical damage to the proprietary interest of the claimant. (i) No person (including the United States or any State) or Indian tribe may recover
under the authority of this section for any response costs or damages resulting from the application of a pesticide product registered under the Federal Insecticide, Fungicide, and Rodenticide
Act. Nothing in this paragraph shall affect or modify in any way the obligations or liability of any person under any other provision of State or Federal law, including common law, for
damages, injury, or loss resulting from a release of any hazardous substance or for removal or remedial action or the costs of removal or remedial action of such hazardous substance.
(j) Recovery by any person (including the United States or any State or Indian tribe) for response costs or damages resulting from a federally permitted release shall be pursuant to
existing law in lieu of this section. Nothing in this paragraph shall affect or modify in any way the obligations or liability of any person under any other provision of State or Federal
law, including common law, for damages, injury, or loss resulting from a release of any hazardous substance or for removal or remedial action or the costs of removal or remedial action
of such hazardous substance. In addition, costs of response incurred by the Federal Government in connection with a discharge specified in section 101(10) (B) or (C) shall be recoverable
in an action brought under section 309(b) of the Clean Water Act. (k)(1) The liability established by this section or any other law for the owner or operator of a hazardous waste disposal
facility which has received a permit under subtitle C of the Solid Waste Disposal Act, shall be transferred to and assumed by the Post-closure Liability Fund established by section 232
1 of this Act when— (A) such facility and the owner and operator thereof has complied with the requirements of subtitle C of the Solid Waste Disposal Act and regulations issued thereunder,
which may affect the performance of such facility after closure; and (B) such facility has been closed in accordance with such regulations and the conditions of such permit, and such
facility and the surrounding area have been monitored as required by such regulations and permit conditions for a period not to exceed five years after closure to demonstrate that there
is no substantial likelihood that any migration offsite or release Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 107 SUPERFUND 548 1 See footnote 1 on previous page. from confinement of any hazardous substance or other risk to public health or welfare will occur. (2) Such transfer of liability
shall be effective ninety days after the owner or operator of such facility notifies the Administrator of the Environmental Protection Agency (and the State where it has an authorized
program under section 3006(b) of the Solid Waste Disposal Act) that the conditions imposed by this subsection have been satisfied. If within such ninety-day period the Administrator
of the Environmental Protection Agency or such State determines that any such facility has not complied with all the conditions imposed by this subsection or that insufficient information
has been provided to demonstrate such compliance, the Administrator or such State shall so notify the owner and operator of such facility and the administrator of the Fund established
by section 232 1 of this Act, and the owner and operator of such facility shall continue to be liable with respect to such facility under this section and other law until such time as
the Administrator and such State determines that such facility has complied with all conditions imposed by this subsection. A determination by the Administrator or such State that a
facility has not complied with all conditions imposed by this subsection or that insufficient information has been supplied to demonstrate compliance, shall be a final administrative
action for purposes of judicial review. A request for additional information shall state in specific terms the data required. (3) In addition to the assumption of liability of owners
and operators under paragraph (1) of this subsection,
the Post-closure Liability Fund established by section 232 1 of this Act may be used to pay costs of monitoring and care and maintenance of a site incurred by other persons after the
period of monitoring required by regulations under subtitle C of the Solid Waste Disposal Act for hazardous waste disposal facilities meeting the conditions of paragraph (1) of this
subsection. (4)(A) Not later than one year after the date of enactment of this Act, the Secretary of the Treasury shall conduct a study and shall submit a report thereon to the Congress
on the feasibility of establishing or qualifying an optional system of private insurance for postclosure financial responsibility for hazardous waste disposal facilities to which this
subsection applies. Such study shall include a specification of adequate and realistic minimum standards to assure that any such privately placed insurance will carry out the purposes
of this subsection in a reliable, enforceable, and practical manner. Such a study shall include an examination of the public and private incentives, programs, and actions necessary to
make privately placed insurance a practical and effective option to the financing system for the Post-closure Liability Fund provided in title II of this Act. (B) Not later than eighteen
months after the date of enactment of this Act and after a public hearing, the President shall by rule determine whether or not it is feasible to establish or qualify an optional system
of private insurance for postclosure financial responsibility for hazardous waste disposal facilities to which this subsection applies. If the President determines the establishment
Q:\COMP\ENVIR2\CERCLA December 31, 2002
549 SUPERFUND Sec. 107 1 So in law. Probably should be ‘‘Post-closure Liability Trust Fund’’. 2 Section 232 was repealed by section 514(b) of Public Law 99–499. or qualification of such
a system would be infeasible, he shall promptly publish an explanation of the reasons for such a determination. If the President determines the establishment or qualification of such
a system would be feasible, he shall promptly publish notice of such determination. Not later than six months after an affirmative determination under the preceding sentence and after
a public hearing, the President shall by rule promulgate adequate and realistic minimum standards which must be met by any such privately placed insurance, taking into account the purposes
of this Act and this subsection. Such rules shall also specify reasonably expeditious procedures by which privately placed insurance plans can qualify as meeting such minimum standards.
(C) In the event any privately placed insurance plan qualifies under subparagraph (B), any person enrolled in, and complying with the terms of, such plan shall be excluded from the provisions
of paragraphs (1), (2), and (3) of this subsection and exempt from the requirements to pay any tax or fee to the Post-closure Liability Fund under title II of this Act. (D) The President
may issue such rules and take such other actions as are necessary to effectuate the purposes of this paragraph. (5) SUSPENSION OF LIABILITY TRANSFER.—Notwithstanding paragraphs (1),
(2), (3), and (4) of this subsection and subsection (j) of section 111 of this Act, no liability shall be transferred to or assumed by the Post-Closure Liability Trust Fund 1 established
by section 232 2 of this Act prior to completion of the study required under paragraph (6) of this subsection, transmission of a report of such study to both Houses of Congress, and
authorization of such a transfer or assumption by Act of Congress following receipt of such study and report. (6) STUDY OF OPTIONS FOR POST-CLOSURE PROGRAM.— (A) STUDY.—The Comptroller
General shall conduct a study of options for a program for the management of the liabilities associated with hazardous waste treatment, storage, and disposal sites after their closure
which complements the policies set forth in the Hazardous and Solid Waste Amendments of 1984 and assures the protection of human health and the environment. (B) PROGRAM ELEMENTS.—The
program referred to in subparagraph (A) shall be designed to assure each of the following: (i) Incentives are created and maintained for the safe management and disposal of hazardous
wastes so as to assure protection of human health and the environment. (ii) Members of the public will have reasonable confidence that hazardous wastes will be managed and disposed of
safely and that resources will be available to address any problems that may arise and to cover costs of long-term monitoring, care, and maintenance of such sites. (iii) Persons who
are or seek to become owners and operators of hazardous waste disposal facilities will be able to manage their potential future liabilities and to attract the investment capital necessary
to build, operate, and Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 107 SUPERFUND 550 1 So in law. Probably should be ‘‘Post-closure Liability Trust Fund’’. 2 See footnote 2 on previous page. close such facilities in a manner which assures protection
of human health and the environment. (C) ASSESSMENTS.—The study under this paragraph shall include assessments of treatment, storage, and disposal facilities which have been or are likely
to be issued a permit under section 3005 of the Solid Waste Disposal Act and the likelihood of future insolvency on the part of owners and operators of such facilities. Separate assessments
shall be made for different classes of facilities and for different classes of land disposal facilities and shall include but not be limited to— (i) the current and future financial
capabilities of facility owners and operators; (ii) the current and future costs associated with facilities, including the costs of routine monitoring and maintenance, compliance monitoring,
corrective action, natural resource damages, and liability for damages to third parties; and (iii) the availability of mechanisms by which owners and operators of such facilities can
assure that current and future costs, including post-closure costs, will be financed. (D) PROCEDURES.—In carrying out the responsibilities of this paragraph, the Comptroller General
shall consult with the Administrator, the Secretary of Commerce, the Secretary of the Treasury, and the heads of other appropriate Federal agencies. (E) CONSIDERATION OF OPTIONS.—In
conducting the study under this paragraph, the Comptroller General shall consider various mechanisms and combinations of mechanisms to complement the policies set forth in the Hazardous
and Solid Waste Amendments of 1984 to serve the purposes set forth in subparagraph (B) and to assure that the current and future costs associated with hazardous waste facilities, including
postclosure costs, will be adequately financed and, to the greatest extent possible, borne by the owners and operators of such facilities. Mechanisms to be considered include, but are
not limited to—(i) revisions to closure, post-closure, and financial responsibility requirements under subtitles C and I of the Solid Waste Disposal Act; (ii) voluntary risk pooling
by owners and operators; (iii) legislation to require risk pooling by owners and operators; (iv) modification of the Post-Closure Liability Trust Fund 1 previously established by section
232 2 of this Act, and the conditions for transfer of liability under this subsection, including limiting the transfer of some or all liability under this subsection only in the case
of insolvency of owners and operators; (v) private insurance; (vi) insurance provided by the Federal Government; Q:\COMP\ENVIR2\CERCLA December 31, 2002
551 SUPERFUND Sec. 107 (vii) coinsurance, reinsurance, or pooled-risk insurance, whether provided by the private sector or provided or assisted by the Federal Government; and (viii)
creation of a new program to be administered by a new or existing Federal agency or by a federally chartered corporation. (F) RECOMMENDATIONS.—The Comptroller General shall consider
options for funding any program under this section and shall, to the extent necessary, make recommendations to the appropriate committees of Congress for additional authority to implement
such program. (l) FEDERAL LIEN.— (1) IN GENERAL.—All costs and damages for which a person is liable to the United States under subsection (a) of this section (other than the owner or
operator of a vessel under paragraph (1) of subsection (a)) shall constitute a lien in favor of the United States upon all real property and rights to such property which— (A) belong
to such person; and (B) are subject to or affected by a removal or remedial action. (2) DURATION.—The lien imposed by this subsection shall arise at the later of the following: (A) The
time costs are first incurred by the United States with respect to a response action under this Act. (B) The time that the person referred to in paragraph (1) is provided (by certified
or registered mail) written notice of potential liability. Such lien shall continue until the liability for the costs (or a judgment against the person arising out of such liability)
is satisfied or becomes unenforceable through operation of the statute of limitations provided in section 113. (3) NOTICE AND VALIDITY.—The lien imposed by this subsection shall be subject
to the rights of any purchaser, holder of a security interest, or judgment lien creditor whose interest is perfected under applicable State law before notice of the lien has been filed
in the appropriate office within the State (or county or other governmental subdivision), as designated by State law, in which the real property subject to the lien is located. Any such
purchaser, holder of a security interest, or judgment lien creditor shall be afforded the same protections against the lien imposed by this subsection as are afforded under State law
against a judgment lien which arises out of an unsecured obligation and which arises as of the time of the filing of the notice of the lien imposed by this subsection. If the State has
not by law designated one office for the receipt of such notices of liens, the notice shall be filed in the office of the clerk of the United States district court for the district in
which the real property is located. For purposes of this subsection, the terms ‘‘purchaser’’ and ‘‘security interest’’ shall have the definitions provided under section 6323(h) of the
Internal Revenue Code of 1954. (4) ACTION IN REM.—The costs constituting the lien may be recovered in an action in rem in the United States district Q:\COMP\ENVIR2\CERCLA December 31,
2002
Sec. 107 SUPERFUND 552 1 Subtitle E of title II of Public Law 104–208 added subsection (n) to section 107. Sections 2504 and 2505 of that subtitle provide: SEC. 2504. LENDER LIABILITY
RULE. (a) IN GENERAL.—Effective on the date of enactment of this Act, the portion of the final rule issued by the Administrator of the Environmental Protection Agency on April 29, 1992
(57 Fed. Reg. 18,344), prescribing section 300.1105 of title 40, Code of Federal Regulations, shall be deemed to have been validly issued under authority of the Comprehensive Environmental
Response, Compensation, and Liability Act of 1980 (42 U.S.C. 9601 et seq.) and to have been effective according to the terms of the final rule. No additional judicial proceedings shall
be necessary or may be held with respect to such portion of the final rule. Any reference in that portion of the final rule to section 300.1100 of title 40, Code of Federal Regulations,
shall be deemed to be a reference to the amendments made by this subtitle. (b) JUDICIAL REVIEW.—Notwithstanding section 113(a) of the Comprehensive Environmental Response, Compensation,
and Liability Act of 1980 (42 U.S.C. 9613(a)), no court shall have jurisdiction to review the portion of the final rule issued by the Administrator of the Environmental Protection Agency
on April 29, 1992 (57 Fed. Reg. 18,344) that prescribed section 300.1105 of title 40, Code of Federal Regulations. (c) AMENDMENT.—No provision of this section shall be construed as limiting
the authority of the President or a delegee of the President to amend the portion of the final rule issued by the Administrator of the Environmental Protection Agency on April 29, 1992
(57 Fed. Reg. 18,344), prescribing section 300.1105 of title 40, Code of Federal Regulations, consistent with the amendments made by this subtitle and other applicable law. (d) JUDICIAL
REVIEW.—No provision of this section shall be construed as precluding judicial review of any amendment of section 300.1105 of title 40, Code of Federal Regulations, made after the date
of enactment of this Act. SEC. 2505. EFFECTIVE DATE. The amendments made by this subtitle shall be applicable with respect to any claim that has not been finally adjudicated as of the
date of enactment of this Act. court for the district in which the removal or remedial action is occurring or has occurred. Nothing in this subsection shall affect the right of the United
States to bring an action against any person to recover all costs and damages for which such person is liable under subsection (a) of this section. (m) MARITIME LIEN.—All costs and damages
for which the owner or operator of a vessel is liable under subsection (a)(1) with respect to a release or threatened release from such vessel shall constitute a maritime lien in favor
of the United States on such vessel. Such costs may be recovered in an action in rem in the district court of the United States for the district in which the vessel may be found. Nothing
in this subsection shall affect the right of the United States to bring an action against the owner or operator of such vessel in any court of competent jurisdiction to recover such
costs. (n) 1 LIABILITY OF FIDUCIARIES.— (1) IN GENERAL.—The liability of a fiduciary under any provision of this Act for the release or threatened release of a hazardous substance at,
from, or in connection with a vessel or facility held in a fiduciary capacity shall not exceed the assets held in the fiduciary capacity. (2) EXCLUSION.—Paragraph (1) does not apply
to the extent that a person is liable under this Act independently of the person’s ownership of a vessel or facility as a fiduciary or actions taken in a fiduciary capacity. (3) LIMITATION.—Paragraph
s (1) and (4) do not limit the liability pertaining to a release or threatened release of a hazardous substance if negligence of a fiduciary causes or contributes to the release or threatened
release. (4) SAFE HARBOR.—A fiduciary shall not be liable in its personal capacity under this Act for— Q:\COMP\ENVIR2\CERCLA December 31, 2002
553 SUPERFUND Sec. 107 (A) undertaking or directing another person to undertake a response action under subsection (d)(1) or under the direction of an on scene coordinator designated
under the National Contingency Plan; (B) undertaking or directing another person to undertake any other lawful means of addressing a hazardous substance in connection with the vessel
or facility; (C) terminating the fiduciary relationship; (D) including in the terms of the fiduciary agreement a covenant, warranty, or other term or condition that relates to compliance
with an environmental law, or monitoring, modifying or enforcing the term or condition; (E) monitoring or undertaking 1 or more inspections of the vessel or facility; (F) providing financial
or other advice or counseling to other parties to the fiduciary relationship, including the settlor or beneficiary; (G) restructuring, renegotiating, or otherwise altering the terms
and conditions of the fiduciary relationship; (H) administering, as a fiduciary, a vessel or facility that was contaminated before the fiduciary relationship began; or (I) declining
to take any of the actions described in subparagraphs (B) through (H). (5) DEFINITIONS.—As used in this Act: (A) FIDUCIARY.—The term ‘‘fiduciary’’— (i) means a person acting for the
benefit of another party as a bona fide— (I) trustee; (II) executor; (III) administrator; (IV) custodian; (V) guardian of estates or guardian ad litem; (VI) receiver; (VII) conservator;
(VIII) committee of estates of incapacitated persons; (IX) personal representative; (X) trustee (including a successor to a trustee) under an indenture agreement, trust agreement, lease,
or similar financing agreement, for debt securities, certificates of interest or certificates of participation in debt securities, or other forms of indebtedness as to which the trustee
is not, in the capacity of trustee, the lender; or (XI) representative in any other capacity that the Administrator, after providing public notice, determines to be similar to the capacities
described in subclauses (I) through (X); and (ii) does not include— (I) a person that is acting as a fiduciary with respect to a trust or other fiduciary estate that was organized for
the primary purpose of, or is engaged in, actively carrying on a trade or business Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 107 SUPERFUND 554 for profit, unless the trust or other fiduciary estate was created as part of, or to facilitate, 1 or more estate plans or because of the incapacity of a natural
person; or (II) a person that acquires ownership or control of a vessel or facility with the objective purpose of avoiding liability of the person or of any other person. (B) FIDUCIARY
CAPACITY.—The term ‘‘fiduciary capacity’’ means the capacity of a person in holding title to a vessel or facility, or otherwise having control of or an interest in the vessel or facility,
pursuant to the exercise of the responsibilities of the person as a fiduciary. (6) SAVINGS CLAUSE.—Nothing in this subsection— (A) affects the rights or immunities or other defenses
that are available under this Act or other law that is applicable to a person subject to this subsection; or (B) creates any liability for a person or a private right of action against
a fiduciary or any other person. (7) NO EFFECT ON CERTAIN PERSONS.—Nothing in this subsection applies to a person if the person— (A)(i) acts in a capacity other than that of a fiduciary
or in a beneficiary capacity; and (ii) in that capacity, directly or indirectly benefits from a trust or fiduciary relationship; or (B)(i) is a beneficiary and a fiduciary with respect
to the same fiduciary estate; and (ii) as a fiduciary, receives benefits that exceed customary or reasonable compensation, and incidental benefits, permitted under other applicable law.
(8) LIMITATION.—This subsection does not preclude a claim under this Act against— (A) the assets of the estate or trust administered by the fiduciary; or (B) a nonemployee agent or independent
contractor retained by a fiduciary. (o) DE MICROMIS EXEMPTION.— (1) IN GENERAL.—Except as provided in paragraph (2), a person shall not be liable, with respect to response costs at a
facility on the National Priorities List, under this Act if liability is based solely on paragraph (3) or (4) of subsection (a), and the person, except as provided in paragraph (4) of
this subsection, can demonstrate that— (A) the total amount of the material containing hazardous substances that the person arranged for disposal or treatment of, arranged with a transporter
for transport for disposal or treatment of, or accepted for transport for disposal or treatment, at the facility was less than 110 gallons of liquid materials or less than 200 pounds
of solid materials (or such greater or lesser amounts as the Administrator may determine by regulation); and (B) all or part of the disposal, treatment, or transport concerned occurred
before April 1, 2001. Q:\COMP\ENVIR2\CERCLA December 31, 2002
555 SUPERFUND Sec. 107 (2) EXCEPTIONS.—Paragraph (1) shall not apply in a case in which—(A) the President determines that— (i) the materials containing hazardous substances referred
to in paragraph (1) have contributed significantly or could contribute significantly, either individually or in the aggregate, to the cost of the response action or natural resource
restoration with respect to the facility; or (ii) the person has failed to comply with an information request or administrative subpoena issued by the President under this Act or has
impeded or is impeding, through action or inaction, the performance of a response action or natural resource restoration with respect to the facility; or (B) a person has been convicted
of a criminal violation for the conduct to which the exemption would apply, and that conviction has not been vitiated on appeal or otherwise. (3) NO JUDICIAL REVIEW.—A determination
by the President under paragraph (2)(A) shall not be subject to judicial review.(4) NONGOVERNMENTAL THIRD-PARTY CONTRIBUTION ACTIONS.—In the case of a contribution action, with respect
to response costs at a facility on the National Priorities List, brought by a party, other than a Federal, State, or local government, under this Act, the burden of proof shall be on
the party bringing the action to demonstrate that the conditions described in paragraph (1)(A) and (B) of this subsection are not met. (p) MUNICIPAL SOLID WASTE EXEMPTION.— (1) IN GENERAL.—Except
as provided in paragraph (2) of this subsection, a person shall not be liable, with respect to response costs at a facility on the National Priorities List, under paragraph (3) of subsection
(a) for municipal solid waste disposed of at a facility if the person, except as provided in paragraph (5) of this subsection, can demonstrate that the person is— (A) an owner, operator,
or lessee of residential property from which all of the person’s municipal solid waste was generated with respect to the facility; (B) a business entity (including a parent, subsidiary,
or or affiliate of the entity) that, during its 3 taxable years preceding the date of transmittal of written notification from the President of its potential liability under this section,
employed on average not more than 100 full-time individuals, or the equivalent thereof, and that is a small business concern (within the meaning of the Small Business Act (15 U.S.C.
631 et seq.)) from which was generated all of the municipal solid waste attributable to the entity with respect to the facility; or (C) an organization described in section 501(c)(3)
of the Internal Revenue Code of 1986 and exempt from tax under section 501(a) of such Code that, during its taxable Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 107 SUPERFUND 556 year preceding the date of transmittal of written notification from the President of its potential liability under this section, employed not more than 100 paid
individuals at the location from which was generated all of the municipal solid waste attributable to the organization with respect to the facility. For purposes of this subsection,
the term ‘‘affiliate’’ has the meaning of that term provided in the definition of ‘‘small business concern’’ in regulations promulgated by the Small Business Administration in accordance
with the Small Business Act (15 U.S.C. 631 et seq.). (2) EXCEPTION.—Paragraph (1) shall not apply in a case in which the President determines that— (A) the municipal solid waste referred
to in paragraph (1) has contributed significantly or could contribute significantly, either individually or in the aggregate, to the cost of the response action or natural resource restoration
with respect to the facility; (B) the person has failed to comply with an information request or administrative subpoena issued by the President under this Act; or (C) the person has
impeded or is impeding, through action or inaction, the performance of a response action or natural resource restoration with respect to the facility. (3) NO JUDICIAL REVIEW.—A determination
by the President under paragraph (2) shall not be subject to judicial review. (4) DEFINITION OF MUNICIPAL SOLID WASTE.— (A) IN GENERAL.—For purposes of this subsection, the term ‘‘municipal
solid waste’’ means waste material— (i) generated by a household (including a single or multifamily residence); and (ii) generated by a commercial, industrial, or institutional entity,
to the extent that the waste material— (I) is essentially the same as waste normally generated by a household; (II) is collected and disposed of with other municipal solid waste as part
of normal municipal solid waste collection services; and (III) contains a relative quantity of hazardous substances no greater than the relative quantity of hazardous substances substances
contained in waste material generated by a typical single-family household. (B) EXAMPLES.—Examples of municipal solid waste under subparagraph (A) include food and yard waste, paper,
clothing, appliances, consumer product packaging, disposable diapers, office supplies, cosmetics, glass and metal food containers, elementary or secondary school science laboratory waste,
and household hazardous waste. (C) EXCLUSIONS.—The term ‘‘municipal solid waste’’ does not include— (i) combustion ash generated by resource recovery facilities or municipal incinerators;
or Q:\COMP\ENVIR2\CERCLA December 31, 2002
557 SUPERFUND Sec. 107 (ii) waste material from manufacturing or processing operations (including pollution control operations) that is not essentially the same as waste normally generated
by households. (5) BURDEN OF PROOF.—In the case of an action, with respect to response costs at a facility on the National Priorities List, brought under section 107 or 113 by— (A) a
party, other than a Federal, State, or local government, with respect to municipal solid waste disposed of on or after April 1, 2001; or (B) any party with respect to municipal solid
waste disposed of before April 1, 2001, the burden of proof shall be on the party bringing the action to demonstrate that the conditions described in paragraphs (1) and (4) for exemption
for entities and organizations described in paragraph (1)(B) and (C) are not met. (6) CERTAIN ACTIONS NOT PERMITTED.—No contribution action may be brought by a party, other than a Federal,
State, or local government, under this Act with respect to circumstances described in paragraph (1)(A). (7) COSTS AND FEES.—A nongovernmental entity that commences, after the date of
the enactment of this subsection, a contribution action under this Act shall be liable to the defendant for all reasonable costs of defending the action, including all reasonable attorney’s
fees and expert witness fees, if the defendant is not liable for contribution based on an exemption under this subsection or subsection (o). (q) CONTIGUOUS PROPERTIES.— (1) NOT CONSIDERED
TO BE AN OWNER OR OPERATOR.— (A) IN GENERAL.—A person that owns real property that is contiguous to or otherwise similarly situated with respect to, and that is or may be contaminated
by a release or threatened release of a hazardous substance from, real property that is not owned by that person shall not be considered to be an owner or operator of a vessel or facility
under paragraph (1) or (2) of subsection (a) solely by reason of the contamination if— (i) the person did not cause, contribute, or consent to the release or threatened release; (ii)
the person is not— (I) potentially liable, or affiliated with any other person that is potentially liable, for response costs at a facility through any direct or indirect familial relationship
or any contractual, corporate, or financial relationship (other than a contractual, corporate, or financial relationship that is created by a contract for the sale of goods or services);
or (II) the result of a reorganization of a business entity that was potentially liable; (iii) the person takes reasonable steps to— (I) stop any continuing release; (II) prevent any
threatened future release; and Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 107 SUPERFUND 558 (III) prevent or limit human, environmental, or natural resource exposure to any hazardous substance released on or from property owned by that person; (iv) the
person provides full cooperation, assistance, and access to persons that are authorized to conduct response actions or natural resource restoration at the vessel or facility from which
there has been a release or threatened release (including the cooperation and access necessary for the installation, integrity, operation, and maintenance of any complete or partial
response action or natural resource restoration at the vessel or facility); (v) the person— (I) is in compliance with any land use restrictions established or relied on in connection
with the response action at the facility; and (II) does not impede the effectiveness or integrity of any institutional control employed in connection with a response action; (vi) the
person is in compliance with any request
for information or administrative subpoena issued by the President under this Act; (vii) the person provides all legally required notices with respect to the discovery or release of
any hazardous substances at the facility; and (viii) at the time at which the person acquired the property, the person— (I) conducted all appropriate inquiry within the meaning of section
101(35)(B) with respect to the property; and (II) did not know or have reason to know that the property was or could be contaminated by a release or threatened release of one or more
hazardous substances from other real property not owned or operated by the person. (B) DEMONSTRATION.—To qualify as a person described in subparagraph (A), a person must establish by
a preponderance of the evidence that the conditions in clauses (i) through (viii) of subparagraph (A) have been met. (C) BONA FIDE PROSPECTIVE PURCHASER.—Any person that does not qualify
as a person described in this paragraph because the person had, or had reason to have, knowledge specified in subparagraph (A)(viii) at the time of acquisition of the real property may
qualify as a bona fide prospective purchaser under section 101(40) if the person is otherwise described in that section. (D) GROUND WATER.—With respect to a hazardous substance from
one or more sources that are not on the property of a person that is a contiguous property owner that enters ground water beneath the property of the person solely as a result of subsurface
migration in an aquifer, subparagraph (A)(iii) shall not require the person to conduct ground water investigations or to install ground Q:\COMP\ENVIR2\CERCLA December 31, 2002
559 SUPERFUND Sec. 107 water remediation systems, except in accordance with the policy of the Environmental Protection Agency concerning owners of property containing contaminated aquifers,
dated May 24, 1995. (2) EFFECT OF LAW.—With respect to a person described in this subsection, nothing in this subsection— (A) limits any defense to liability that may be available to
the person under any other provision of law; or (B) imposes liability on the person that is not otherwise imposed by subsection (a). (3) ASSURANCES.—The Administrator may— (A) issue
an assurance that no enforcement action under this Act will be initiated against a person described in paragraph (1); and (B) grant a person described in paragraph (1) protection against
a cost recovery or contribution action under section 113(f). (r) PROSPECTIVE PURCHASER AND WINDFALL LIEN.— (1) LIMITATION ON LIABILITY.—Notwithstanding subsection (a)(1), a bona fide
prospective purchaser whose potential liability for a release or threatened release is based solely on the purchaser’s being considered to be an owner or operator of a facility shall
not be liable as long as the bona fide prospective purchaser does not impede the performance of a response action or natural resource restoration. (2) LIEN.—If there are unrecovered
response costs incurred by the United States at a facility for which an owner of the facility is not liable by reason of paragraph (1), and if each of the conditions described in paragraph
(3) is met, the United States shall have a lien on the facility, or may by agreement with the owner, obtain from the owner a lien on any other property or other assurance of payment
satisfactory to the Administrator, for the unrecovered response costs. (3) CONDITIONS.—The conditions referred to in paragraph (2) are the following: (A) RESPONSE ACTION.—A response
action for which there are unrecovered costs of the United States is carried out at the facility. (B) FAIR MARKET VALUE.—The response action increases the fair market value of the facility
above the fair market value of the facility that existed before the response action was initiated. (4) AMOUNT; DURATION.—A lien under paragraph (2)— (A) shall be in an amount not to
exceed the increase in fair market value of the property attributable to the response action at the time of a sale or other disposition of the property; (B) shall arise at the time at
which costs are first incurred by the United States with respect to a response action at the facility; (C) shall be subject to the requirements of subsection (l)(3); and (D) shall continue
until the earlier of— Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 108 SUPERFUND 560 (i) satisfaction of the lien by sale or other means; or (ii) notwithstanding any statute of limitations under section 113, recovery of all response costs incurred
at the facility. [42 U.S.C. 9607] FINANCIAL RESPONSIBILITY SEC. 108. (a)(1) The owner or operator of each vessel (except a non-self-propelled barge that does not carry hazardous substances
as cargo) over three hundred gross tons that uses any port or place in the United States or the navigable waters or any offshore facility, shall establish and maintain, in accordance
with regulations promulgated by the President, evidence of financial responsibility of $300 per gross ton (or for a vessel carrying hazardous substances as cargo, or $5,000,000, whichever
is greater) to cover the liability prescribed under paragraph (1) of section 107(a) of this Act. Financial responsibility may be established by any one, or any combination, of the following:
insurance, guarantee, surety bond, or qualification as a self-insurer. Any bond filed filed shall be issued by a bonding company authorized to do business in the United States. In cases
where an owner or operator owns, operates, or charters more than one vessel subject to this subsection, evidence of financial responsibility need be established only to meet the maximum
liability applicable to the largest of such vessels. (2) The Secretary of the Treasury shall withhold or revoke the clearance required by section 4197 of the Revised Statutes of the
United States of any vessel subject to this subsection that does not have certification furnished by the President that the financial responsibility provisions of paragraph (1) of this
subsection have been complied with. (3) The Secretary of Transportation, in accordance with regulations issued by him, shall (A) deny entry to any port or place in the United States
or navigable waters to, and (B) detain at the port or place in the United States from which it is about to depart for any other port or place in the United States, any vessel subject
to this subsection that, upon request, does not produce certification furnished by the President that the financial responsibility provisions of paragraph (1) of this subsection have
been complied with. (4) In addition to the financial responsibility provisions of paragraph (1) of this subsection, the President shall require additional evidence of financial responsibility
for incineration vessels in such amounts, and to cover such liabilities recognized by law, as the President deems appropriate, taking into account the potential risks posed by incineration
and transport for incineration, and any other factors deemed relevant. (b)(1) Beginning not earlier than five years after the date of enactment of this Act, the President shall promulgate
requirements (for facilities in addition to those under subtitle C of the Solid Waste Disposal Act and other Federal law) that classes of facilities establish and maintain evidence of
financial responsibility consistent with the degree and duration of risk associated with the production, transportation, treatment, storage, or disposal of haz-Q:\COMP\ENVIR2\CERCLA
December 31, 2002
561 SUPERFUND Sec. 108 ardous substances. Not later than three years after the date of enactment of the Act, the President shall identify those classes for which requirements will be
first developed and publish notice of such identification in the Federal Register. Priority in the development of such requirements shall be accorded to those classes of facilities,
owners, and operators which the President determines present the highest level of risk of injury. (2) The level of financial responsibility shall be initially established, and, when
necessary, adjusted to protect against the level of risk which the President in his discretion believes is appropriate based on the payment experience of the Fund, commercial insurers,
courts settlements and judgments, and voluntary claims satisfaction. To the maximum extent practicable, the President shall cooperate with and seek the advice of the commercial insurance
industry in developing financial responsibility requirements. Financial responsibility may be established by any one, or any combination, of the following: insurance, guarantee, surety
bond, letter of credit, or qualification as a self-insurer. In promulgating requirements under this section, the President is authorized to specify policy or other contractual terms,
conditions, or defenses which are necessary, or which are unacceptable, in establishing such evidence of financial responsibility in order to effectuate the purposes of this Act. (3)
Regulations promulgated under this subsection shall incrementally impose financial responsibility requirements as quickly as can reasonably be achieved but in no event more than 4 years
after the date of promulgation. Where possible, the level of financial responsibility which the President believes appropriate as a final requirement shall be achieved through incremental,
annual increases in the requirements. (4) Where a facility is owned or operated by more than one person, evidence of financial responsibility covering the facility may be established
and maintained by by one of the owners or operators, or, in consolidated form, by or on behalf of two or more owners or operators. When evidence of financial responsibility is established
in a consolidated form, the proportional share of each participant shall be shown. The evidence shall be accompanied by a statement authorizing the applicant to act for and in behalf
of each participant in submitting and maintaining the evidence of financial responsibility. (5) The requirements for evidence of financial responsibility for motor carriers covered by
this Act shall be determined under section 30 of the Motor Carrier Act of 1980, Public Law 96–296. (c) DIRECT ACTION.— (1) RELEASES FROM VESSELS.—In the case of a release or threatened
release from a vessel, any claim authorized by section 107 or 111 may be asserted directly against any guarantor providing evidence of financial responsibility for such vessel under
subsection (a). In defending such a claim, the guarantor may invoke all rights and defenses which would be available to the owner or operator under this title. The guarantor may also
invoke the defense that the incident was caused by the willful misconduct of the owner or operator, but the guarantor may not invoke any other defense that the guarantor might Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 109 SUPERFUND 562 have been entitled to invoke in a proceeding brought by the owner or operator against him. (2) RELEASES FROM FACILITIES.—In the case of a release or threatened
release from a facility, any claim authorized by section 107 or 111 may be asserted directly against any guarantor providing evidence of financial responsibility for such facility under
subsection (b), if the person liable under section 107 is in bankruptcy, reorganization, or arrangement pursuant to the Federal Bankruptcy Code, or if, with reasonable diligence, jurisdiction
in the Federal courts cannot be obtained over a person liable under section 107 who is likely to be solvent at the time of judgment. In the case of any action pursuant to this paragraph,
the guarantor shall be entitled to invoke all rights and defenses which would have been available to the person liable under section 107 if any action had been brought against such person
by the claimant and all rights and defenses which would have been available to the guarantor if an action had been brought against the guarantor by such person. (d) LIMITATION OF GUARANTOR
LIABILITY.— (1) TOTAL LIABILITY.—The total liability of any guarantor in a direct action suit brought under this section shall be limited to the aggregate amount of the monetary limits
of the policy of insurance, guarantee, surety bond, letter of credit, or similar instrument obtained from the guarantor by the person subject to liability under section 107 for the purpose
of satisfying the requirement for evidence of financial responsibility. (2) OTHER LIABILITY.—Nothing in this subsection shall be construed to limit any other State or Federal statutory,
contractual, or common law liability of a guarantor, including, but not limited to, the liability of such guarantor for bad faith either in negotiating or in failing to negotiate the
settlement of any claim. Nothing in this subsection shall be construed, interpreted, or applied to diminish the liability of any person under section 107 of this Act or other applicable
law. [42 U.S.C. 9608] CIVIL PENALTIES AND AWARDS SEC. 109. (a) CLASS I ADMINISTRATIVE PENALTY.— (1) VIOLATIONS.—A civil penalty of not more than $25,000 per violation may be assessed
by the President in the case of any of the following— (A) A violation of the requirements of section 103 (a) or (b) (relating to notice). (B) A violation of the requirements of section
103(d)(2) (relating to destruction of records, etc.). (C) A violation of the requirements of section 108 (relating to financial responsibility, etc.), the regulations issued under section
108, or with any denial or detention order under section 108. (D) A violation of an order under section 122(d)(3) (relating to settlement agreements for action under section 104(b)).
Q:\COMP\ENVIR2\CERCLA December 31, 2002
563 SUPERFUND Sec. 109 (E) Any failure or refusal referred to in section 122(l) (relating to violations of administrative orders, consent decrees, or agreements under section 120). (2)
NOTICE AND HEARINGS.—No civil penalty may be assessed under this subsection unless the person accused of the violation is given notice and opportunity for a hearing with respect to the
violation. (3) DETERMINING AMOUNT.—In determining the amount of any penalty assessed pursuant to this subsection, the President shall take into account the nature, circumstances, extent
and gravity of the violation or violations and, with respect to the violator, ability to pay, any prior history of such violations, the degree of culpability, economic benefit or savings
(if any) resulting from the violation, and such other matters as justice may require. (4) REVIEW.—Any person against whom a civil penalty is assessed under this subsection may obtain
review thereof in the appropriate district court of the United States by filing a notice of appeal in such court within 30 days from the date of such order and by simultaneously sending
a copy of such notice by certified mail to the President. The President shall promptly file in such court a certified copy of the record upon which such violation was found or such penalty
imposed. If any person fails to pay an assessment of a civil penalty after it has become a final and unappealable order or after the appropriate court has entered final judgment in favor
of the United States, the President may request the Attorney General of the United States to institute a civil action in an appropriate district court of the United States to collect
the penalty, and such court shall have jurisdiction to hear and decide any such action. In hearing such action, the court shall have authority to review the violation and the assessment
of the civil penalty on the record. (5) SUBPOENAS.—The President may issue subpoenas for the attendance and testimony of witnesses and the production of relevant papers, books, or documents
in connection with hearings under this subsection. In case of contumacy or refusal to obey a subpoena issued pursuant to this paragraph and served upon any person, the district court
of the United States for any district in which such person is found, resides, or transacts business, upon application by the United States and after notice to such person, shall have
jurisdiction to issue an order requiring such person to appear and give testimony before the administrative law judge or to appear and produce documents before the administrative law
judge, or both, and any failure to obey such order of the court may be punished by such court as a contempt thereof. (b) CLASS II ADMINISTRATIVE PENALTY.—A civil penalty of not more
than $25,000 per day for each day during which the violation continues may be assessed by the President in the case of any of the following— (1) A violation of the notice requirements
of section 103 (a) or (b). (2) A violation of section 103(d)(2) (relating to destruction of records, etc.). Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 109 SUPERFUND 564 (3) A violation of the requirements of section 108 (relating to financial responsibility, etc.), the regulations issued under section 108, or with any denial or
detention order under section 108. (4) A violation of an order under section 122(d)(3) (relating to settlement agreements for action under section 104(b)). (5) Any failure or refusal
referred to in section 122(l) (relating to violations of administrative orders, consent decrees, or agreements under section 120). In the case of a second or subsequent violation the
amount of such penalty may be not more than $75,000 for each day during which the violation continues. Any civil penalty under this subsection shall be assessed and collected in the
same manner, and subject to the same provisions, as in the case of civil penalties assessed and collected after notice and opportunity for hearing on the record in accordance with section
554 of title 5 of the United States Code. In any proceeding for the assessment of a civil penalty under this subsection the President may issue subpoenas for the attendance and testimony
of witnesses and the production of relevant papers, books, and documents and may promulgate rules for discovery procedures. Any person who requested a hearing with respect to a civil
penalty under this subsection and who is aggrieved by an order assessing the civil penalty may file a petition for judicial review of such order with the United States Court of Appeals
for the District of Columbia Circuit or for any other circuit in which such person resides or transacts business. Such a petition may only be filed within the 30-day period beginning
on the date the order making such assessment was issued. (c) JUDICIAL ASSESSMENT.—The President may bring an action in the United States district court for the appropriate district to
assess and collect a penalty of not more than $25,000 per day for each day during which the violation (or failure or refusal) continues in the case of any of the following— (1) A violation
of the notice requirements of section 103 (a) or (b). (2) A violation of section 103(d)(2) (relating to destruction of records, etc.). (3) A violation of the requirements of section
108 (relating to financial responsibility, etc.), the regulations issued under section 108, or with any denial or detention order under section 108. (4) A violation of an order under
section 122(d)(3) (relating to settlement agreements for action under section 104(b)). (5) Any failure or refusal referred to in section 122(l) (relating to violations of administrative
orders, consent decrees, or agreements under section 120). In the case of a second or subsequent violation (or failure or refusal), the amount of such penalty may be not more than $75,000
for each day during which the violation (or failure or refusal) continues. For additional provisions providing for judicial assessment of civil penalties for failure to comply with a
request or order under section 104(e) (relating to information gathering and access authorities), see section 104(e). Q:\COMP\ENVIR2\CERCLA December 31, 2002
565 SUPERFUND Sec. 110 (d) AWARDS.—The President may pay an award of up to $10,000 to any individual who provides information leading to the arrest and conviction of any person for a
violation subject to a criminal penalty under this Act, including any violation of section 103 and any other violation referred to in this section. The President shall, by regulation,
prescribe criteria for such an award and may pay any award under this subsection from the Fund, as provided in section 111. (e) PROCUREMENT PROCEDURES.—Notwithstanding any other provision
of law, any executive agency may use competitive procedures or procedures other than competitive procedures to procure the services of experts for use in preparing or prosecuting a civil
or criminal action under this Act, whether or not the expert is expected to testify at trial. The executive agency need not provide any written justification for the use of procedures
other than competitive procedures when procuring such expert services under this Act and need not furnish for publication in the Commerce Business Daily or otherwise any notice of solicitation
or synopsis with respect to such procurement. (f) SAVINGS CLAUSE.—Action taken by the President pursuant to this section shall not affect or limit the President’s authority to enforce
any provisions of this Act. [42 U.S.C. 9609] EMPLOYEE PROTECTION SEC. 110. (a) No person shall fire or in any other way discriminate against, or cause to be fired or discriminated against,
any employee or any authorized representative of employees by reason of the fact that such employee or representative has provided information to a State or to the Federal Government,
filed, instituted, or caused to be filed or instituted any proceeding under this Act, or has testified or is about to testify in any proceeding resulting from the administration or enforcement
of the provisions of this Act. (b) Any employee or a representative of employees who believes that he has been fired or otherwise discriminated against by any person in violation of
subsection (a) of this section may, within thirty days after such alleged violation occurs, apply to the Secretary of Labor for a review of such firing or alleged discrimination. A copy
of the application shall be sent to such person, who shall be the respondent. Upon receipt of such application, the Secretary of Labor shall cause such investigation to be made as he
deems appropriate. Such investigation shall provide an opportunity for a public hearing at the request of any party to such review to enable the parties to present information relating
to such alleged violation. The parties shall be given written notice of the time and place of the hearing at least five days prior to the hearing. Any such hearing shall be of record
and shall be subject to section 554 of title 5, United States Code. Upon receiving the report of such investigation, the Secretary of Labor shall make findings of fact. If he finds that
such violation did occur, he shall issue a decision, incorporating an order therein and his findings, requiring the party committing such violation to take such affirmative action to
abate Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 111 SUPERFUND 566 1 So in law. the violation as the Secretary of Labor deems appropriate, including, but not limited to, the rehiring or reinstatement of the employee or representative
of employees to his former position with compensation. If he finds that there was no such violation, he shall issue an order denying the application. Such order issued by the Secretary
of Labor under this subparagraph shall be subject to judicial review in the same manner as orders and decisions are subject to judicial review under this Act. (c) Whenever an order is
issued under this section to abate such violation, at the request of the applicant a sum equal to the aggregate amount of all costs and expenses (including the attorney’s fees) determined
by the Secretary of Labor to have been reasonably incurred by the applicant for, or in connection with, the institution and prosecution of such proceedings, shall be assessed against
the person committing such violation. (d) This section shall have no application to any employee who acting without discretion from his employer (or his agent) deliberately violates
any requirement of this Act. (e) The President shall conduct continuing evaluations of potential loss of shifts of employment which may result from the administration or enforcement
of the provisions of this Act, including, where appropriate, investigating threatened plant closures or reductions in employment allegedly resulting from such administration or enforcement.
Any employee who is discharged, or laid off, threatened with discharge or layoff, or otherwise discriminated against by any person because of the alleged results of such administration
or enforcement, or any representative of such employee, may request the President to conduct a full investigation of the matter and, at the request of any party, shall hold public hearings,
require the parties, including the employer involved, to present information relating to the actual or potential effect of such administration or enforcement on employment and any alleged
discharge, layoff, or other discrimination, and the detailed reasons or justification therefore.1 Any such hearing shall be of record and shall be subject to section 554 of title 5,
United States Code. Upon receiving the report of such investigation, the President shall make findings of fact as to the effect of such administration or enforcement on employment and
on the alleged discharge, layoff, or discrimination and shall make such recommendations as he deems appropriate. Such report, findings, and recommendations shall be available to the
public. Nothing in this subsection shall be construed to require or authorize the President or any State to modify or withdraw any action, standard, limitation, or any other requirement
of this Act. [42 U.S.C. 9610] USES OF FUND SEC. 111. (a) IN GENERAL.—For the purposes specified in this section there is authorized to be appropriated from the Hazardous Substance Superfund
established under subchapter A of chapter 98 of the Internal Revenue Code of 1986 not more than $8,500,000,000 for the 5-year period beginning on the date of enactment of the Superfund
Amendments and Reauthorization Act of 1986, and not Q:\COMP\ENVIR2\CERCLA December 31, 2002
567 SUPERFUND Sec. 111 1 Probably should refer to section 311(d). See footnote 1 under section 105(a). more than $5,100,000,000 for the period commencing October 1, 1991, and ending
September 30, 1994, and such sums shall remain available until expended. The preceding sentence constitutes a specific authorization for the funds appropriated under title II of Public
Law 99–160 (relating to payment to the Hazardous Substances Trust Fund). The President shall use the money in the Fund for the following purposes: (1) Payment of governmental response
costs incurred pursuant to section 104 of this title, including costs incurred pursuant to the Intervention on the High Seas Act. (2) Payment of any claim for necessary response costs
incurred by any other person as a result of carrying out the national contingency plan established under section 311(c) 1 of the Clean Water Act and amended by section 105 of this title:
Provided, however, That such costs must be approved under said plan and certified by the responsible responsible Federal official. (3) Payment of any claim authorized by subsection (b)
of this section and finally decided pursuant to section 112 of this title, including those costs set out in subsection 112(c)(3) of this title.(4) Payment of costs specified under subsection
(c) of this section. (5) GRANTS FOR TECHNICAL ASSISTANCE.—The cost of grants under section 117(e) (relating to public participation grants for technical assistance). (6) LEAD CONTAMINATED
SOIL.—Payment of not to exceed $15,000,000 for the costs of a pilot program for removal, decontamination, or other action with respect to lead-contaminated soil in one to three different
metropolitan areas. The President shall not pay for any administrative costs or expenses out of the Fund unless such costs and expenses are reasonably necessary for and incidental to
the implementation of this title.(b)(1) IN GENERAL.—Claims asserted and compensable but unsatisfied under provisions of section 311 of the Clean Water Act, which are modified by section
304 304 of this Act may be asserted against the Fund under this title; and other claims resulting from a release or threat of release of a hazardous substance from a vessel or a facility
may be asserted against the Fund under this title for injury to, or destruction or loss of, natural resources, including cost for damage assessment: Provided, however, That
any such claim may be asserted only by the President, as trustee, for natural resources over which the United States has sovereign rights, or natural resources within the territory or
the fishery conservation zone of the United States to the extent they are managed or protected by the United States, or by any State for natural resources within the boundary of that
State belonging to, managed by, controlled by, or appertaining to the State, or by any Indian tribe or by the United States acting on behalf of any Indian tribe for natural resources
belonging to, managed by, controlled by, or appertaining to such tribe, or held in trust for the benefit of such tribe, Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 111 SUPERFUND 568 or belonging to a member of such tribe if such resources are subject to a trust restriction on alienation. (2) LIMITATION ON PAYMENT OF NATURAL RESOURCE CLAIMS.—
(A) GENERAL REQUIREMENTS.—No natural resource claim may be paid from the Fund unless the President determines that the claimant has exhausted all administrative and judicial remedies
to recover the amount of such claim from persons who may be liable under section 107. (B) DEFINITION.—As used in this paragraph, the term ‘‘natural resource claim’’ means any claim for
injury to, or destruction or loss of, natural resources. The term does not include any claim for the costs of natural resource damage assessment. (c) Uses of the Fund under subsection
(a) of this section include—(1) The costs of assessing both short-term and long-term injury to, destruction of, or loss of any natural resources resulting from a release of a hazardous
substance. (2) The costs of Federal or State or Indian tribe efforts in the restoration, rehabilitation, or replacement or acquiring the equivalent of any natural resources injured,
destroyed, or lost as a result of a release of a hazardous substance. (3) Subject to such amounts as are provided in appropriation Acts, the costs of a program to identify, investigate,
and take enforcement and abatement action against releases of hazardous substances. (4) Any costs incurred in accordance with subsection (m) of this section (relating to ATSDR) and section
104(i), including the costs of epidemiologic and laboratory studies, health assessments, preparation of toxicologic profiles, development and maintenance of a registry of persons exposed
to hazardous substances to allow long-term health effect studies, and diagnostic services not otherwise available to determine whether persons in populations exposed to hazardous substances
in connection with a release or a suspected release are suffering from longlatency diseases. (5) Subject to such amounts as are provided in appropriation Acts, the costs of providing
equipment and similar overhead, related to the purposes of this Act and section 311 of the Clean Water Act, and needed to supplement equipment and services available through contractors
or other non-Federal entities, and of establishing and maintaining damage assessment capability, for any Federal agency involved in strike forces, emergency task forces, or other response
teams under the national contingency plan. (6) Subject to such amounts as are provided in appropriation Acts, the costs of a program to protect the health and safety of employees involved
in response to hazardous substance releases. Such program shall be developed jointly by the Environmental Protection Agency, the Occupational Safety and Health Administration, and the
National Institute for Occupational Safety and Health and shall include, but not be limited to, measures for identifying and assessing hazards to which persons engaged in removal, remedy,
or other response to haz-Q:\COMP\ENVIR2\CERCLA December 31, 2002
569 SUPERFUND Sec. 111 1 Public Law 101–144 (103 Stat. 857) purported to amend section 9611(c)(12) of the Superfund Amendments and Reauthorization Act of 1986 (SARA) by striking ‘‘$10,000,000’’
and inserting ‘‘$20,000,000’’. The amendment made by Public Law 101–144 probably should have been made to section 111(c)(12) of the Comprehensive Environmental Response, Compensation,
and Liability Act of 1980, which is designated as section 9611 in title 42, United States Code. ardous substances may be exposed, methods to protect workers from such hazards, and necessary
regulatory and enforcement measures to assure adequate protection of such employees. (7) EVALUATION COSTS UNDER PETITION PROVISIONS OF SECTION 105(d).—Costs incurred by the President
in evaluating facilities pursuant to petitions under section 105(d) (relating to petitions for assessment of release). (8) CONTRACT COSTS UNDER SECTION 104(a)(1).—The costs of contracts
or arrangements entered into under section 104(a)(1) to oversee and review the conduct of remedial investigations and feasibility studies undertaken by persons other than the President
and the costs of appropriate Federal and State oversight of remedial activities at National Priorities List sites resulting from consent orders or settlement agreements. (9) ACQUISITION
COSTS UNDER SECTION 104(j).—The costs incurred by the President in acquiring real estate or interests in real estate under section 104(j) (relating to acquisition of property). (10)
RESEARCH, DEVELOPMENT, AND DEMONSTRATION COSTS UNDER SECTION 311.—The cost of carrying out section 311 (relating to research, development, and demonstration), except that the amounts
available for such purposes shall not exceed the amounts specified in subsection (n) of this section. (11) LOCAL GOVERNMENT REIMBURSEMENT.—Reimbursements to local governments under section
123, except that during the 8-fiscal year period beginning October 1, 1986, not more than 0.1 percent of the total amount appropriated from the Fund may be used for such reimbursements.
(12) WORKER TRAINING AND EDUCATION GRANTS.—The costs of grants under section 126(g) of the Superfund Amendments and Reauthorization Act of 1986 for training and education of workers
to the extent that such costs do not exceed $10,000,000 1 for each of the fiscal years 1987, 1988, 1989, 1990, 1991, 1992, 1993, and 1994. (13) AWARDS UNDER SECTION 109.—The costs of
any awards granted under section 109(d). (14) LEAD POISONING STUDY.—The cost of carrying out the study under subsection (f) of section 118 of the Superfund Amendments and Reauthorization
Act of 1986 (relating to lead poisoning in children). (d)(1) No money in the Fund may be used under subsection (c)(1) and (2) of this section, nor for the payment of any claim under
subsection (b) of this section, where the injury, destruction, or loss of natural resources and the release of a hazardous substance from which such damages resulted have occurred wholly
before the enactment of this Act. (2) No money in the Fund may be used for the payment of any claim claim under subsection (b) of this section where such expenses are associated with
injury or loss resulting from long-term exposure to Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 111 SUPERFUND 570 ambient concentrations of air pollutants from multiple or diffuse sources. (e)(1) Claims against or presented to the Fund shall not be valid or paid in excess
of the total money in the Fund at any one time. Such claims become valid only when additional money is collected, appropriated, or otherwise added to the Fund. Should the total claims
outstanding at any time exceed the current balance of the Fund, the President shall pay such claims, to the extent authorized under this section, in full in the order in which they were
finally determined. (2) In any fiscal year, 85 percent of the money credited to the Fund under title II of this Act shall be available only for the purposes specified in paragraphs (1),
(2), and (4) of subsection (a) of this section. No money in the Fund may be used for the payment of any claim under subsection (a)(3) or subsection (b) of this section in any fiscal
year for which the President determines that all of the Fund is needed for response to threats to public health from releases or threatened releases of hazardous substances. (3) No money
in the Fund shall be available for remedial action, other than actions specified in subsection (c) of this section, with respect to federally owned facilities; except that money in the
Fund shall be available for the provision of alternative water supplies (including the reimbursement of costs incurred by a municipality) in any case involving groundwater contamination
outside the boundaries of a federally owned facility in which the federally owned facility is not the only potentially responsible party. (4) Paragraphs (1) and (4) of subsection (a)
of this section shall in the aggregate be subject to such amounts as are provided in appropriation Acts. (f) The President is authorized to promulgate regulations designating one or
more Federal officials who may obligate money in the Fund in accordance with this section or portions thereof. The President is also authorized to delegate authority to obligate money
in the Fund or to settle claims to officials of a State or Indian tribe operating under a contract or cooperative agreement with the Federal Government pursuant to section 104(d) of
this title. (g) The President shall provide for the promulgation of rules and regulations with respect to the notice to be provided to potential injured parties by an owner and operator
of any vessel, or facility from which a hazardous substance has been released. Such rules and regulations shall consider the scope and form of the notice which would be appropriate to
carry out the purposes of this title. Upon promulgation of such rules and regulations, the owner and operator of any vessel or facility from which a hazardous substance has been released
shall provide notice in accordance with such rules and regulations. With respect to releases from public vessels, the President shall provide such notification as is appropriate to potential
injured parties. Until the promulgation of such rules and regulations, the owner and operator of any vessel or facility from which a hazardous substance has been released shall provide
reasonable notice to potential injured parties by publication in local newspapers serving the affected area. øSubsection (h) repealed.¿ Q:\COMP\ENVIR2\CERCLA December 31, 2002
571 SUPERFUND Sec. 111 (i) Except in a situation requiring action to avoid an irreversible loss of natural resources or to prevent or reduce any continuing danger to natural resources
or similar need for emergency action, funds may not be used under this Act for the restoration, rehabilitation, or replacement or acquisition of the equivalent of any natural resources
until a plan for the use of such funds for such purposes has been developed and adopted by affected Federal agencies and the Governor or Governors of any State having sustained damage
to natural resources within its borders, belonging to, managed by or appertaining to such State, and by the governing body of any Indian tribe having sustained damage to natural resources
belonging to, managed by, controlled by, or appertaining to such tribe, or held in trust for the benefit of such tribe, or belonging to a member of such tribe if such resources are subject
to a trust restriction on alienation, after adequate public notice and opportunity for hearing and consideration of all public comment. (j) The President shall use the money in the Post-closure
Liability Fund for any of the purposes specified in subsection (a) of this section with respect to a hazardous waste disposal facility for which liability has transferred to such fund
under section 107(k) of this Act, and, in addition, for payment of any claim or appropriate request for costs of response, damages, or other compensation for injury or loss under section
107 of this Act or any other State or Federal law, resulting from a release of a hazardous substance from such a facility. (k) INSPECTOR GENERAL.—In each fiscal year, the Inspector General
of each department, agency, or instrumentality of the United States which is carrying out any authority of this Act shall conduct an annual audit of all payments, obligations, reimbursements,
or other uses of the Fund in the prior fiscal year, to assure that the Fund is being properly administered and that claims are being appropriately and expeditiously considered. The audit
shall include an examination of a sample of agreements with States (in accordance with the provisions of the Single Audit Act) carrying out response actions under this title and an examination
of remedial investigations and feasibility studies prepared for remedial actions. The Inspector General shall submit to the Congress an annual report regarding the audit report required
under this subsection. The report shall contain such recommendations as the Inspector General deems appropriate. Each department, agency, or instrumentality of the United States shall
cooperate with its inspector general in carrying out this subsection. (l) To the extent that the provisions of this Act permit, a foreign claimant may assert a claim to the same extent
that a United States claimant may assert a claim if— (1) the release of a hazardous substance occurred (A) in the navigable waters or (B) in or on the territorial sea or adjacent shoreline
of a foreign country of which the claimant is a resident; (2) the claimant is not otherwise compensated for his loss; (3) the hazardous substance was released from a facility or from
a vessel located adjacent to or within the navigable waters or was discharged in connection with activities conducted under the Outer Continental Shelf Lands Act, as amended (43 Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 111 SUPERFUND 572 U.S.C. 1331 et seq.) or the Deepwater Port Act of 1974, as amended (33 U.S.C. 1501 et seq.); and (4) recovery is authorized by a treaty or an executive agreement
between the United States and foreign country involved, or if the Secretary of State, in consultation with the Attorney General and other appropriate officials, certifies that such country
provides a comparable remedy for United States claimants. (m) AGENCY FOR TOXIC SUBSTANCES AND DISEASE REGISTRY.— There shall be directly available to the Agency for Toxic Substances
and Disease Registry to be used for the purpose of carrying out activities described in subsection (c)(4) and section 104(i) not less than $50,000,000 per fiscal year for each of fiscal
years 1987 and 1988, not less than $55,000,000 for fiscal year 1989, and not less than $60,000,000 per fiscal year for each of fiscal years 1990, 1991, 1992, 1993, and 1994. Any funds
so made available which are not obligated by the end of the fiscal year in which made available shall be returned to the Fund. (n) LIMITATIONS ON RESEARCH, DEVELOPMENT, AND DEMONSTRATION
PROGRAM.— (1) SECTION 311(b).—For each of the fiscal years 1987, 1988, 1989, 1990, 1991, 1992, 1993, and 1994, not more than $20,000,000 of the amounts available in the Fund may be used
for the purposes of carrying out the applied research, development, and demonstration program for alternative or innovative technologies and training program authorized under section
311(b) (relating to research, development, and demonstration) other than basic research. Such amounts shall remain available until expended. (2) SECTION 311(a).—From the amounts available
in the Fund, not more than the following amounts may be used for the purposes of section 311(a) (relating to hazardous substance research, demonstration, and training activities): (A)
For the fiscal year 1987, $3,000,000. (B) For the fiscal year 1988, $10,000,000. (C) For the fiscal year 1989, $20,000,000. (D) For the fiscal year 1990, $30,000,000. (E) For each of
the fiscal years 1991, 1992, 1993, and 1994, $35,000,000. No more than 10 percent of such amounts shall be used for training under section 311(a) in any fiscal year. (3) SECTION 311(d).—For
each of the fiscal years 1987, 1988, 1989, 1990, 1991, 1992, 1993, and 1994, not more than $5,000,000 of the amounts available in the Fund may be used for the purposes of section 311(d)
(relating to university hazardous substance research centers). (o) NOTIFICATION PROCEDURES FOR LIMITATIONS ON CERTAIN PAYMENTS.—Not later than 90 days after the enactment of this subsection,
the President shall develop and implement procedures to adequately notify, as soon as practicable after a site is included on the National Priorities List, concerned local and State
officials and other concerned persons of the limitations, set forth in subsection (a)(2) of this section, on the payment of claims for necessary response costs incurred with respect
to such site. Q:\COMP\ENVIR2\CERCLA December 31, 2002
573 SUPERFUND Sec. 112 1 Section 221(b) was repealed by section 517(c)(1) of Public Law 99–499. (p) GENERAL REVENUE SHARE OF SUPERFUND.— (1) IN GENERAL.—The following sums are authorized
to be appropriated, out of any money in the Treasury not otherwise appropriated, to the Hazardous Substance Superfund: (A) For fiscal year 1987, $212,500,000. (B) For fiscal year 1988,
$212,500,000. (C) For fiscal year 1989, $212,500,000. (D) For fiscal year 1990, $212,500,000. (E) For fiscal year 1991, $212,500,000. (F) For fiscal year 1992, $212,500,000. (G) For
fiscal year 1993, $212,500,000. (H) For fiscal year 1994, $212,500,000. In addition there is authorized to be appropriated to the Hazardous Substance Superfund for each fiscal year an
amount equal to so much of the aggregate amount authorized to be appropriated under this subsection (and paragraph (2) of section 221(b) 1 of the Hazardous Substance Response Revenue
Act of 1980) as has not been appropriated before the beginning of the fiscal year involved. (2) COMPUTATION.—The amounts authorized to be appropriated under paragraph (1) of this subsection
in a given fiscal year shall be available only to the extent that such amount exceeds the amount determined by the Secretary under section 9507(b)(2) of the Internal Revenue Code of
1986 for the prior fiscal year. [42 U.S.C. 9611] CLAIMS PROCEDURE SEC. 112. (a) CLAIMS AGAINST THE FUND FOR RESPONSE COSTS.—No claim may be asserted against the Fund pursuant to section
111(a) unless such claim is presented in the first instance to the owner, operator, or guarantor of the vessel or facility from which a hazardous substance has been released, if known
to the claimant, and to any other person known to the claimant who may be liable under section 107. In any case where the claim has not been satisfied within 60 days of presentation
in accordance with this subsection, the claimant may present the claim to the Fund for payment. No claim against the Fund may be approved or certified during the pendency of an action
by the claimant in court to recover costs which are the subject of the claim. (b)(1) PRESCRIBING FORMS AND PROCEDURES.—The President shall prescribe appropriate forms and procedures
for claims filed hereunder, which shall include a provision requiring the claimant to make a sworn verification of the claim to the best of his knowledge. Any person who knowingly gives
or causes to be given any false information as a part of any such claim shall, upon conviction, be fined in accordance with the applicable provisions of title 18 of the United States
Code or imprisoned for not more than 3 years (or not more than 5 years in the case of a second or subsequent conviction), or both. (2) PAYMENT OR REQUEST FOR HEARING.—The President may,
if satisfied that the information developed during the processing of Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 112 SUPERFUND 574 the claim warrants it, make and pay an award of the claim, except that no claim may be awarded to the extent that a judicial judgment has been made on the costs
that are the subject of the claim. If the President declines to pay all or part of the claim, the claimant may, within 30 days after receiving notice of the President’s decision, request
an administrative hearing. (3) BURDEN OF PROOF.—In any proceeding under this subsection, the claimant shall bear the burden of proving his claim. (4) DECISIONS.—All administrative decisions
made hereunder shall be in writing, with notification to all appropriate parties, and shall be rendered within 90 days of submission of a claim to an administrative law judge, unless
all the parties to the claim agree in writing to an extension or unless the President, in his discretion, extends the time limit for a period not to exceed sixty days. (5) FINALITY AND
APPEAL.—All administrative decisions hereunder shall be final, and any party to the proceeding may appeal a decision within 30 days of notification of the award or decision. Any such
appeal shall be made to the Federal district court for the district where the release or threat of release took place. In any such appeal, the decision shall be considered binding and
conclusive, and shall not be overturned except for arbitrary or capricious abuse of discretion. (6) PAYMENT.—Within 20 days after the expiration of the appeal period for any administrative
decision concerning an award, or within 20 days after the final judicial determination of any appeal taken pursuant to this subsection, the President shall pay any such award from the
Fund. The President shall determine the method, terms, and time of payment. (c)(1) Payment of any claim by the Fund under this section shall be subject to the United States Government
acquiring by subrogation the rights of the claimant to recover those costs of removal or damages for which it has compensated the claimant from the person responsible or liable for such
release. (2) Any person, including the Fund, who pays compensation pursuant to this Act to any claimant for damages or costs resulting from a release of a hazardous substance shall be
subrogated to all rights, claims, and causes of action for such damages and costs of removal that the claimant has under this Act or any other law. (3) Upon request of the President,
the Attorney General shall commence an action on behalf of the Fund to recover any compensation paid by the Fund to any claimant pursuant to this title, and, without regard to any limitation
of liability, all interest, administrative and adjudicative costs, and attorney’s fees incurred by the Fund by reason of the claim. Such an action may be commenced against any owner,
operator, or guarantor, or against any other person who is liable, pursuant to any law, to the compensated claimant or to the Fund, for the damages or costs for which compensation was
paid. (d) STATUTE OF LIMITATIONS.— (1) CLAIMS FOR RECOVERY OF COSTS.—No claim may be presented under this section for recovery of the costs referred to in section 107(a) after the date
6 years after the date of completion of all response action. Q:\COMP\ENVIR2\CERCLA December 31, 2002
575 SUPERFUND Sec. 113 (2) CLAIMS FOR RECOVERY OF DAMAGES.—No claim may be presented under this section for recovery of the damages referred to in section 107(a) unless the claim is
presented within 3 years after the later of the following: (A) The date of the discovery of the loss and its connection with the release in question. (B) The date on which final regulations
are promulgated under section 301(c). (3) MINORS AND INCOMPETENTS.—The time limitations contained herein shall not begin to run— (A) against a minor until the earlier of the date when
such minor reaches 18 years of age or the date on which a legal representative is duly appointed for the minor, or (B) against an incompetent person until the earlier of the date on
which such person’s incompetency ends or the date on which a legal representative is duly appointed for such incompetent person. (e) Regardless of any State statutory or common law to
the contrary, no person who asserts a claim against the Fund pursuant to this title shall be deemed or held to have waived any other claim not covered or assertable against the Fund
under this title arising from the same incident, transaction, or set of circumstances, nor to have split a cause of action. Further, no person asserting a claim against the Fund pursuant
to this title shall as a result of any determination of a question of fact or law made in connection with that claim be deemed or held to be collaterally estopped from raising such question
in connection with any other claim not covered or assertable against the Fund under this title arising from the same incident, transaction, or set of circumstances. (f) DOUBLE RECOVERY
PROHIBITED.—Where the President has paid out of the Fund for any response costs or any costs specified under section 111(c) (1) or (2), no other claim may be paid out of the Fund for
the same costs. [42 U.S.C. 9612] LITIGATION, JURISDICTION AND VENUE SEC. 113. (a) Review of any regulation promulgated under this Act may be had upon application by any interested person
only in the Circuit Court of Appeals of the United States for the District of Columbia. Any such application shall be made within ninety days from the date of promulgation of such regulations.
Any matter with respect to which review could have been obtained under this subsection shall not be subject to judicial review in any civil or criminal proceeding for enforcement or
to obtain damages or recovery of response costs. (b) Except as provided in subsections (a) and (h) of this section, the United States district courts shall have exclusive original jurisdiction
over all controversies arising under this Act, without regard to the citizenship of the parties or the amount in controversy. Venue shall lie in any district in which the release or
damages occurred, or in which the defendant resides, may be found, or has his principal office. For the purposes of this section, the Fund shall reside in the District of Columbia. Q:\COMP\ENVIR2\CER
CLA December 31, 2002
Sec. 113 SUPERFUND 576 (c) The provisions of subsections (a) and (b) of this section shall not apply to any controversy or other matter resulting from the assessment of collection of
any tax, as provided by title II of this Act, or to the review of any regulation promulgated under the Internal Revenue Code of 1954. (d) No provision of this Act shall be deemed or
held to moot any litigation concerning any release of any hazardous substance, or any damages associated therewith, commenced prior to enactment of this Act. (e) NATIONWIDE SERVICE OF
PROCESS.—In any action by the United States under this Act, process may be served in any district where the defendant is found, resides, transacts business, or has appointed an agent
for the service of process. (f) CONTRIBUTION.— (1) CONTRIBUTION.—Any person may seek contribution from any other person who is liable or potentially liable under section 107(a), during
or following any civil action under section 106 or under section 107(a). Such claims shall be brought in accordance with this section and the Federal Rules of Civil Procedure, and shall
be governed by Federal law. In resolving contribution claims, the court may allocate response costs among liable parties using such equitable factors as the court determines are appropriate.
Nothing in this subsection shall diminish the right of any person to bring an action for contribution in the absence of a civil action under section 106 or section 107. (2) SETTLEMENT.—A
person who has resolved its liability to the United States or a State in an administrative or judicially approved settlement shall not be liable for claims for contribution regarding
matters addressed in the settlement. Such settlement does not discharge any of the other potentially liable persons unless its terms so provide, but it reduces the potential liability
of the others by the amount of the settlement. (3) PERSONS NOT PARTY TO SETTLEMENT.—(A) If the United States or a State has obtained less than complete relief from a person who has resolved
its liability to the United States or the State in an administrative or judicially approved settlement, the United States or the State may bring an action against any person who has
not so resolved its liability. (B) A person who has resolved its liability to the United States or a State for some or all of a response action or for some or all of the costs of such
action in an administrative or judicially approved settlement may seek contribution from any person who is not party to a settlement referred to in paragraph (2). (C) In any action under
this paragraph, the rights of any person who has resolved its liability to the United States or a State shall be subordinate to the rights of the United States or the State. Any contribution
action brought under this paragraph shall be governed by Federal law. (g) PERIOD IN WHICH
ACTION MAY BE BROUGHT.— (1) ACTIONS FOR NATURAL RESOURCE DAMAGES.—Except as provided in paragraphs (3) and (4), no action may be commenced for damages (as defined in section 101(6))
under this Q:\COMP\ENVIR2\CERCLA December 31, 2002
577 SUPERFUND Sec. 113 Act, unless that action is commenced within 3 years after the later of the following: (A) The date of the discovery of the loss and its connection with the release
in question. (B) The date on which regulations are promulgated under section 301(c). With respect to any facility listed on the National Priorities List (NPL), any Federal facility identified
under section 120 (relating to Federal facilities), or any vessel or facility at which a remedial action under this Act is otherwise scheduled, an action for damages under this Act must
be commenced within 3 years after the completion of the remedial action (excluding operation and maintenance activities) in lieu of the dates referred to in subparagraph (A) or (B).
In no event may an action for damages under this Act with respect to such a vessel or facility be commenced (i) prior to 60 days after the Federal or State natural resource trustee provides
to the President and the potentially responsible party a notice of intent to file suit, or (ii) before selection of the remedial action if the President is diligently proceeding with
a remedial investigation and feasibility study under section 104(b) or section 120 (relating to Federal facilities). The limitation in the preceding sentence on commencing an action
before giving notice or before selection of the remedial action does not apply to actions filed on or before the enactment of the Superfund Amendments and Reauthorization Act of 1986.
(2) ACTIONS FOR RECOVERY OF COSTS.—An initial action for recovery of the costs referred to in section 107 must be commenced— (A) for a removal action, within 3 years after completion
of the removal action, except that such cost recovery action must be brought within 6 years after a determination to grant a waiver under section 104(c)(1)(C) for continued response
action; and (B) for a remedial action, within 6 years after initiation of physical on-site construction of the remedial action, except that, if the remedial action is initiated within
3 years after the completion of the removal action, costs incurred in the removal action may be recovered in the cost recovery action brought under this subparagraph. In any such action
described in this subsection, the court shall enter a declaratory judgment on liability for response costs or damages that will be binding on any subsequent action or actions to recover
further response costs or damages. A subsequent action or actions under section 107 for further response costs at the vessel or facility may be maintained at any time during the response
action, but must be commenced no later than 3 years after the date of completion of all response action. Except as otherwise provided in this paragraph, an action may be commenced under
section 107 for recovery of costs at any time after such costs have been incurred. (3) CONTRIBUTION.—No action for contribution for any response costs or damages may be commenced more
than 3 years after— Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 113 SUPERFUND 578 (A) the date of judgment in any action under this Act for recovery of such costs or damages, or (B) the date of an administrative order under section 122(g) (relating
to de minimis settlements) or 122(h) (relating to cost recovery settlements) or entry of a judicially approved settlement with respect to such costs or damages. (4) SUBROGATION.—No action
based on rights subrogated pursuant to this section by reason of payment of a claim may be commenced under this title more than 3 years after the date of payment of such claim. (5) ACTIONS
TO RECOVER INDEMNIFICATION PAYMENTS.— Notwithstanding any other provision of this subsection, where a payment pursuant to an indemnification agreement with a response action contractor
is made under section 119, an action under section 107 for recovery of such indemnification payment from a potentially responsible party may be brought at any time before the expiration
of 3 years from the date on which such payment is made. (6) MINORS AND INCOMPETENTS.—INCOMPETENTS.—The time limitations contained herein shall not begin to run— (A) against a minor until
the earlier of the date when such minor reaches 18 years of age or the date on which a legal representative is duly appointed for such minor, or (B) against an incompetent person until
the earlier of the date on which such incompetent’s incompetency ends or the date on which a legal representative is duly appointed for such incompetent. (h) TIMING OF REVIEW.—No Federal
court shall have jurisdiction under Federal law other than under section 1332 of title 28 of the United States Code (relating to diversity of citizenship jurisdiction) or under State
law which is applicable or relevant and appropriate under section 121 (relating to cleanup standards) to review any challenges to removal or remedial action selected under section 104,
or to review any order issued under section 106(a), in any action except one of the following: (1) An action under section 107 to recover response costs or damages or for contribution.
(2) An action to enforce an order issued under section 106(a) or to recover a penalty for violation of such order. (3) An action for reimbursement under section 106(b)(2). (4) An action
under section 310 (relating to citizens suits) alleging that the removal or remedial action taken under section 104 or secured under section 106 was in violation of any requirement of
this Act. Such an action may not be brought with regard to a removal where a remedial action is to be undertaken at the site. (5) An action under section 106 in which the United States
has moved to compel a remedial action. (i) INTERVENTION.—In any action commenced under this Act or under the Solid Waste Disposal Act in a court of the United States, any person may
intervene as a matter of right when such person claims an interest relating to the subject of the action and is so situated that the disposition of the action may, as a practical matter,
impair or impede the person’s ability to protect that interest, un-Q:\COMP\ENVIR2\CERCLA December 31, 2002
579 SUPERFUND Sec. 113 less the President or the State shows that the person’s interest is adequately represented by existing parties. (j) JUDICIAL REVIEW.— (1) LIMITATION.—In any judicial
action under this Act, judicial review of any issues concerning the adequacy of any response action taken or ordered by the President shall be limited to the administrative record. Otherwise
applicable principles of administrative law shall govern whether any supplemental materials may be considered by the court. (2) STANDARD.—In considering objections raised in any judicial
action under this Act, the court shall uphold the President’s decision in selecting the response action unless the objecting party can demonstrate, on the administrative record, that
the decision was arbitrary and capricious or otherwise not in accordance with law. (3) REMEDY.—If the court finds that the selection of the response action was arbitrary and capricious
or otherwise not in accordance with law, the court shall award (A) only the response costs or damages that are not inconsistent with the national contingency plan, and (B) such other
relief as is consistent with the National Contingency Plan. (4) PROCEDURAL ERRORS.—In reviewing alleged procedural errors, the court may disallow costs or damages only if the errors
were so serious and related to matters of such central relevance to the action that the action would have been significantly changed had such errors not been made. (k) ADMINISTRATIVE
RECORD AND PARTICIPATION PROCEDURES.—(1) ADMINISTRATIVE RECORD.—The President shall establish an administrative record upon which the President shall base the selection of a response
action. The administrative record shall be available to the public at or near the facility at issue. The President also may place duplicates of the administrative record at any other
location. (2) PARTICIPATION PROCEDURES.— (A) REMOVAL ACTION.—The President shall promulgate regulations in accordance with chapter 5 of title 5 of the United States Code establishing
procedures for the appropriate participation of interested persons in the development of the administrative record on which the President will base the selection of removal actions and
on which judicial review of removal actions will be based. (B) REMEDIAL ACTION.—The President shall provide for the participation of interested persons, including potentially responsible
parties, in the development of the administrative record on which the President will base the selection of remedial actions and on which judicial review of remedial actions will be based.
The procedures developed under this subparagraph shall include, at a minimum, each of the following: (i) Notice to potentially affected persons and the public, which shall be accompanied
by a brief analysis of the plan and alternative plans that were considered. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 114 SUPERFUND 580 (ii) A reasonable opportunity to comment and provide information regarding the plan. (iii) An opportunity for a public meeting in the affected area, in accordance
with section 117(a)(2) (relating to public participation). (iv) A response to each of the significant comments, criticisms, and new data submitted in written or oral presentations. (v)
A statement of the basis and purpose of the selected action. For purposes of this subparagraph, the administrative record shall include all items developed and received under this subparagraph
and all items described in the second sentence of section 117(d). The President shall promulgate regulations in accordance with chapter 5 of title 5 of the United States Code to carry
out the requirements of this subparagraph. (C) INTERIM RECORD.—Until such regulations under subparagraphs (A) and (B) are promulgated, the administrative record shall consist of all
items developed and received pursuant to current procedures for selection of the response action, including procedures for the participation of interested parties and the public. The
development of an administrative record and the selection of response action under this Act shall not include an adjudicatory hearing. (D) POTENTIALLY RESPONSIBLE PARTIES.—The President
shall make reasonable efforts to identify and notify potentially responsible parties as early as possible before selection of a response action. Nothing in this paragraph shall be construed
to be a defense to liability. (l) NOTICE OF ACTIONS.—Whenever any action is brought under this Act in a court of the United States by a plaintiff other than the United States, the plaintiff
shall provide a copy of the complaint to the Attorney General of the United States and to the Administrator of the Environmental Protection Agency. [42 U.S.C. 9613] RELATIONSHIP TO OTHER
LAW SEC. 114. (a) Nothing in this Act shall be construed or interpreted as preempting any State from imposing any additional liability or requirements with respect to the release of
hazardous substances within such State. (b) Any person who receives compensation for removal costs or damages or claims pursuant to this Act shall be precluded from recovering compensation
for the same removal costs or damages or claims pursuant to any other State or Federal law. Any person who receives compensation for removal costs or damages or claims pursuant to any
other Federal or State law shall be precluded from receiving compensation for the same removal costs or damages or claims as provided in this Act. (c) RECYCLED OIL.— (1) SERVICE STATION
DEALERS, ETC.—No person (including the United States or any State) may recover, under the author-Q:\COMP\ENVIR2\CERCLA December 31, 2002
581 SUPERFUND Sec. 114 ity of subsection (a)(3) or (a)(4) of section 107, from a service station dealer for any response costs or damages resulting from a release or threatened release
of recycled oil, or use the authority of section 106 against a service station dealer other than a person described in subsection (a)(1) or (a)(2) of section 107, if such recycled oil—
(A) is not mixed with any other hazardous substance, and (B) is stored, treated, transported, or otherwise managed in compliance with regulations or standards promulgated pursuant to
section 3014 of the Solid Waste Disposal Act and other applicable authorities. Nothing in this paragraph shall affect or modify in any way the obligations or liability of any person
under any other provision of State or Federal law, including common law, for damages, injury, or loss resulting from a release or threatened release of any hazardous substance or for
removal or remedial action or the costs of removal or remedial action. (2) PRESUMPTION.—Solely for the purposes of this subsection, a service station dealer may presume that a small
quantity of used oil is not mixed with other hazardous substances if it— (A) has been removed from the engine of a light duty motor vehicle or household appliances by the owner of such
vehicle or appliances, and (B) is presented, by such owner, to the dealer for collection, accumulation, and delivery to an oil recycling facility. (3) DEFINITION.—For purposes of this
subsection, the terms ‘‘used oil’’ and ‘‘recycled oil’’ have the same meanings as set forth in sections 1004(36) and 1004(37) of the Solid Waste Disposal Act and regulations promulgated
pursuant to that Act. (4) EFFECTIVE DATE.—The effective date of paragraphs (1) and (2) of this subsection shall be the effective date of regulations or standards promulgated under section
3014 of the Solid Waste Disposal Act that include, among other provisions, a requirement to conduct corrective action to respond to any releases of recycled oil under subtitle C or subtitle
I of such Act. (d) Except as provided in this title, no owner or operator of a vessel or facility who establishes and maintains evidence of financial responsibility in accordance with
this title shall be required under any State or local law, rule, or regulation to establish or maintain any other evidence of financial responsibility in connection with liability for
the release of a hazardous substance from such vessel or facility. Evidence of compliance with the financial responsibility requirements of this title shall be accepted by a State in
lieu of any other requirement of financial responsibility imposed by such State in connection with liability for the release of a hazardous substance from such vessel or facility. [42
U.S.C. 9614] Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 115 SUPERFUND 582 AUTHORITY TO DELEGATE, ISSUE REGULATIONS SEC. 115. The President is authorized to delegate and assign any duties or powers imposed upon or assigned to him and
to promulgate any regulations necessary to carry out the provisions of this title. [42 U.S.C. 9615] SEC. 116. SCHEDULES. (a) ASSESSMENT AND LISTING OF FACILITIES.—It shall be a goal
of this Act that, to the maximum extent practicable— (1) not later than January 1, 1988, the President shall complete preliminary assessments of all facilities that are contained (as
of the date of enactment of the Superfund Amendments and Reauthorization Act of 1986) on the Comprehensive Environmental Response, Compensation, and Liability Information System (CERCLIS)
including in each assessment a statement as to whether a site inspection is necessary and by whom it should be carried out; and (2) not later than January 1, 1989, the President shall
assure the completion of site inspections at all facilities for which the President has stated a site inspection is necessary pursuant to paragraph (1). (b) EVALUATION.—Within 4 years
after enactment of the Superfund Amendments and Reauthorization Act of 1986, each facility listed (as of the date of such enactment) in the CERCLIS shall be evaluated if the President
determines that such evaluation is warranted on the basis of a site inspection or preliminary assessment. The evaluation shall be in accordance with the criteria established in section
105 under the National Contingency Plan for determining priorities among release for inclusion on the National Priorities List. In the case of a facility listed in the CERCLIS after
the enactment of the Superfund Amendments and Reauthorization Act of 1986, the facility shall be evaluated within 4 years after the date of such listing if the President determines that
such evaluation is warranted on the basis of a site inspection or preliminary assessment. (c) EXPLANATIONS.—If any of the goals established by subsection (a) or (b) are not achieved,
the President shall publish an explanation of why such action could not be completed by the specified date. (d) COMMENCEMENT OF RI/FS.—The President shall assure that remedial investigations
and feasibility studies (RI/FS) are commenced for facilities listed on the National Priorities List, in addition to those commenced prior to the date of enactment of the Superfund Amendments
and Reauthorization Act of 1986, in accordance with the following schedule: (1) not fewer than 275 by the date 36 months after the date of enactment of the Superfund Amendments and Reauthorization
Act of 1986, and (2) if the requirement of paragraph (1) is not met, not fewer than an additional 175 by the date 4 years after such date of enactment, an additional 200 by the date
5 years after such date of enactment, and a total of 650 by the date 5 years after such date of enactment. Q:\COMP\ENVIR2\CERCLA December 31, 2002
583 SUPERFUND Sec. 117 (e) COMMENCEMENT OF REMEDIAL ACTION.—The President shall assure that substantial and continuous physical on-site remedial action commences at facilities on the
National Priorities List, in addition to those facilities on which remedial action has commenced prior to the date of enactment of the Superfund Amendments and Reauthorization Act of
1986, at a rate not fewer than: (1) 175 facilities during the first 36-month period after enactment of this subsection; and (2) 200 additional facilities during the following 24 months
after such 36-month period. [42 U.S.C. 9616] SEC. 117. PUBLIC PARTICIPATION. (a) PROPOSED PLAN.—Before adoption of any plan for remedial action to be undertaken by the President, by
a State, or by any other person, under section 104, 106, 120, or 122, the President or State, as appropriate, shall take both of the following actions: (1) Publish a notice and brief
analysis of the proposed plan and make such plan available to the public. (2) Provide a reasonable opportunity for submission of written and oral comments and an opportunity for a public
meeting at or near the facility at issue regarding the proposed plan and regarding any proposed findings under section 121(d)(4) (relating to cleanup standards). The President or the
State shall keep a transcript of the meeting and make such transcript available to the public. The notice and analysis published under paragraph (1) shall include sufficient information
as may be necessary to provide a reasonable explanation of the proposed plan and alternative proposals considered. (b) FINAL PLAN.—Notice of the final remedial action plan adopted shall
be published and the plan shall be made available to the public before commencement of any remedial action. Such final plan shall be accompanied by a discussion of any significant changes
(and the reasons for such changes) in the proposed plan and a response to each of the significant comments, criticisms, and new data submitted in written or oral presentations under
subsection (a). (c) EXPLANATION OF DIFFERENCES.—After adoption of a final remedial action plan— (1) if any remedial action is taken, (2) if any enforcement action under section 106 is
taken, or (3) if any settlement or consent decree under section 106 or section 122 is entered into, and if such action, settlement, or decree differs in any significant respects from
the final plan, the President or the State shall publish an explanation of the significant differences and the reasons such changes were made. (d) PUBLICATION.—For the purposes of this
section, publication shall include, at a minimum, publication in a major local newspaper of general circulation. In addition, each item developed, received, published, or made available
to the public under this sec-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 118 SUPERFUND 584 tion shall be available for public inspection and copying at or near the facility at issue. (e) GRANTS FOR TECHNICAL ASSISTANCE.— (1) AUTHORITY.—Subject to such
amounts as are provided in appropriations Acts and in accordance with rules promulgated by the President, the President may make grants available to any group of individuals which may
be affected by a release or threatened release at any facility which is listed on the National Priorities List under the National Contingency Plan. Such grants may be used to obtain
technical assistance in interpreting information with regard to the nature of the hazard, remedial investigation and feasibility study, record of decision, remedial design, selection
and construction of remedial action, operation and maintenance, or removal action at such facility. (2) AMOUNT.—The amount of any grant under this subsection may not exceed $50,000 for
a single grant recipient. The President may waive the $50,000 limitation in any case where such waiver is necessary to carry out the purposes of this subsection. Each grant recipient
shall be required, as a condition of the grant, to contribute at least 20 percent of the total of costs of the technical assistance for which such grant is made. The President may waive
the 20 percent contribution requirement if the grant recipient demonstrates financial need and such waiver is necessary to facilitate public participation in the selection of remedial
action at the facility. Not more than one grant may be made under this subsection with respect to a single facility, but the grant may be renewed to facilitate public participation at
all stages of remedial action. [42 U.S.C. 9617] SEC. 118. HIGH PRIORITY FOR DRINKING WATER SUPPLIES. For purposes of taking action under section 104 or 106 and listing facilities on
the National Priorities List, the President shall give a high priority to facilities where the release of hazardous substances or pollutants or contaminants has resulted in the closing
of drinking water wells wells or has contaminated a principal drinking water supply. [42 U.S.C. 9618] SEC. 119. RESPONSE ACTION CONTRACTORS. (a) LIABILITY OF RESPONSE ACTION CONTRACTORS.—
(1) RESPONSE ACTION CONTRACTORS.—A person who is a response action contractor with respect to any release or threatened release of a hazardous substance or pollutant or contaminant from
a vessel or facility shall not be liable under this title or under any other Federal law to any person for injuries, costs, damages, expenses, or other liability (including but not limited
to claims for indemnification or contribution and claims by third parties for death, personal injury, illness or loss of or damage to property or economic loss) which results from such
release or threatened release. (2) NEGLIGENCE, ETC.—Paragraph (1) shall not apply in the case of a release that is caused by conduct of the response Q:\COMP\ENVIR2\CERCLA December 31,
2002
585 SUPERFUND Sec. 119 action contractor which is negligent, grossly negligent, or which constitutes intentional misconduct. (3) EFFECT ON WARRANTIES; EMPLOYER LIABILITY.—Nothing in
this subsection shall affect the liability of any person under any warranty under Federal, State, or common law. Nothing in this subsection shall affect the liability of an employer
who is a response action contractor to any employee of such employer under any provision of law, including any provision of any law relating to worker’s compensation. (4) GOVERNMENTAL
EMPLOYEES.—A state employee or an employee of a political subdivision who provides services relating to response action while acting within the scope of his authority as a governmental
employee shall have the same exemption from liability (subject to the other provisions of this section) as is provided to the response action contractor under this section. (b) SAVINGS
PROVISIONS.— (1) LIABILITY OF OTHER PERSONS.—The defense provided by section 107(b)(3) shall not be available to any potentially responsible party with respect to any costs or damages
caused by any act or omission of a response action contractor. Except as provided in subsection (a)(4) and the preceding sentence, nothing in this section shall affect the liability
under this Act or under any other Federal or State law of any person, other than a response action contractor. (2) BURDEN OF PLAINTIFF.—Nothing in this section shall affect the plaintiff’s
burden of establishing liability under this title. (c) INDEMNIFICATION.— (1) IN GENERAL.—The President may agree to hold harmless and indemnify any response action contractor meeting
the requirements of this subsection against any liability (including the expenses of litigation or settlement) for negligence arising out of the contractor’s performance in carrying
out response action activities under this title, unless such liability was caused by conduct of the contractor which was grossly negligent or which constituted intentional misconduct.
(2) APPLICABILITY.—This This subsection shall apply only with respect to a response action carried out under written agreement with— (A) the President; (B) any Federal agency; (C) a
State or political subdivision which has entered into a contract or cooperative agreement in accordance with section 104(d)(1) of this title; or (D) any potentially responsible party
carrying out any agreement under section 122 (relating to settlements) or section 106 (relating to abatement). (3) SOURCE OF FUNDING.—This subsection shall not be subject to section
1301 or 1341 of title 31 of the United States Code or section 3732 of the Revised Statutes (41 U.S.C. 11) or to section 3 of the Superfund Amendments and Reauthorization Act of 1986.
For purposes of section 111, amounts expended pursuant to this subsection for indemnification of any Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 119 SUPERFUND 586 response action contractor (except with respect to federally owned or operated facilities) shall be considered governmental response costs incurred pursuant to
section 104. If sufficient funds are unavailable in the Hazardous Substance Superfund established under subchapter A of chapter 98 of the Internal Revenue Code of 1954 to make payments
pursuant to such indemnification or if the Fund is repealed, there are authorized to be appropriated such amounts as may be necessary to make such payments. (4) REQUIREMENTS.—An indemnification
agreement may be provided under this subsection only if the President determines that each of the following requirements are met: (A) The liability covered by the indemnification agreement
exceeds or is not covered by insurance available, at a fair and reasonable price, to the contractor at the time the contractor enters into the contract to provide response action, and
adequate insurance to cover such liability is not generally available at the time the response action contract is entered into. (B) The response action contractor has made diligent efforts
to obtain insurance coverage from non-Federal sources to cover such liability. (C) In the case of a response action contract covering more than one facility, the response action contractor
agrees to continue to make such diligent efforts each time the contractor begins work under the contract at a new facility. (5) LIMITATIONS.— (A) LIABILITY COVERED.—Indemnification under
this subsection shall apply only to response action contractor liability which results from a release of any hazardous substance or pollutant or contaminant if such release arises out
of response action activities. (B) DEDUCTIBLES AND LIMITS.—An indemnification agreement under this subsection shall include deductibles and shall place limits on the amount of indemnification
to be made available. (C) CONTRACTS WITH POTENTIALLY RESPONSIBLE PARTIES.— (i) DECISION TO INDEMNIFY.—In deciding whether to enter into an indemnification agreement with with a response
action contractor carrying out a written contract or agreement with any potentially responsible party, the President shall determine an amount which the potentially responsible party
is able to indemnify the contractor. The President may enter into such
an indemnification agreement only if the President determines that such amount of indemnification is inadequate to cover any reasonable potential liability of the contractor arising
out of the contractor’’s negligence in performing the contract or agreement with such party. The President shall make the determinations in the preceding sentences (with respect to the
amount and the adequacy of the amount) taking into Q:\COMP\ENVIR2\CERCLA December 31, 2002
587 SUPERFUND Sec. 119 account the total net assets and resources of potentially responsible parties with respect to the facility at the time of such determinations. (ii) CONDITIONS.—The
President may pay a claim under an indemnification agreement referred to in clause (i) for the amount determined under clause (i) only if the contractor has exhausted all administrative,
judicial, and common law claims for indemnification against all potentially responsible parties participating in the clean-up of the facility with respect to the liability of the contractor
arising out of the contractor’s negligence in performing the contract or agreement with such party. Such indemnification agreement shall require such contractor to pay any deductible
established under subparagraph (B) before the contractor may recover any amount from the potentially responsible party or under the indemnification agreement. (D) RCRA FACILITIES.—No
owner or operator of a facility regulated under the Solid Waste Disposal Act may be indemnified under this subsection with respect to such facility. (E) PERSONS RETAINED OR HIRED.—A
person retained or hired by a person described in subsection (e)(2)(B) shall be eligible for indemnification under this subsection only if the President specifically approves of the
retaining or hiring of such person. (6) COST RECOVERY.—For purposes of section 107, amounts expended pursuant to this subsection for indemnification of any person who is a response action
contractor with respect to any release or threatened release shall be considered a cost of response incurred by the United States Government with respect to such release. (7) REGULATIONS.—The
President shall promulgate regulations for carrying out the provisions of this subsection. Before promulgation of the regulations, the President shall develop guidelines to carry out
this section. Development of such guidelines shall include reasonable opportunity for public comment. (8) STUDY.—The Comptroller General shall conduct a study in the fiscal year ending
September 30, 1989, on the application of this subsection, including whether indemnification agreements under this subsection are being used, the number of claims that have been filed
under such agreements, and the need for this subsection. The Comptroller General shall report the findings of the study to Congress no later than September 30, 1989. (d) EXCEPTION.—The
exemption provided under subsection (a) and the authority of the President to offer indemnification under subsection (c) shall not apply to any person covered by the provisions of paragraph
(1), (2), (3), or (4) of section 107(a) with respect to the release or threatened release concerned if such person would be covered by such provisions even if such person had not carried
out any actions referred to in subsection (e) of this section. (e) DEFINITIONS.—For purposes of this section— Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 119 SUPERFUND 588 1 So in law. Clause (iii) was added by section 101(f) of Public Law 100–202 without striking out the ‘‘and’’ at the end of clause (i). 2 So in law. ‘‘Recipients
of grants’’ probably should be ‘‘recipient of a grant’’. 3 So in law. Should probably be ‘‘section 126 of the Superfund Amendments and Reauthorization Act of 1986 (42 U.S.C. 9660a)’’.
4 So in law. The word ‘‘and’’ probably should not appear. (1) RESPONSE ACTION CONTRACT.—The term ‘‘response action contract’’ means any written contract or agreement entered into by
a response action contractor (as defined in paragraph (2)(A) of this subsection) with— (A) the President; (B) any Federal agency; (C) a State or political subdivision which has entered
into a contract or cooperative agreement in accordance with section 104(d)(1) of this Act; or (D) any potentially responsible party carrying out an agreement under section 106 or 122;
to provide any remedial action under this Act at a facility listed on the National Priorities List, or any removal under this Act, with respect to any release or threatened release of
a hazardous substance or pollutant or contaminant from the facility or to provide any evaluation, planning, engineering, surveying and mapping, design, construction, equipment, or any
ancillary services thereto for such facility. (2) RESPONSE ACTION CONTRACTOR.—The term ‘‘response action contractor’’ means— (A) any— (i) person who enters into a response action contract
with respect to any release or threatened release of a hazardous substance or pollutant or contaminant from a facility and is carrying out such contract; and 1 (ii) person, public or
nonprofit private entity, conducting a field demonstration pursuant to section 311(b); and (iii) Recipients 2 of grants (including sub-grantees) under section 126 3 for the training
and education of workers who are or may be engaged in activities related to hazardous waste removal, containment, or emergency response under this Act; and 4 (B) any person who is retained
or hired by a person described in subparagraph (A) to provide any services relating to a response action; and (C) any surety who after October 16, 1990, provides a bid, performance or
payment bond to a response action contractor, and begins activities to meet its obligations under such bond, but only in connection with such activities or obligations. (3) INSURANCE.—The
term ‘‘insurance’’ means liability insurance which is fair and reasonably priced, as determined by the President, and which is made available at the time the contractor enters into the
response action contract to provide response action. (f) COMPETITION.—Response action contractors and subcontractors for program management, construction management, architec-Q:\COMP\ENVIR2\CERCLA
December 31, 2002
589 SUPERFUND Sec. 120 1 Section 120(b) of the Superfund Amendments and Reauthorization Act of 1986 (P.L. 99–499) provides: (b) LIMITED GRANDFATHER.—Section 120 of CERCLA shall not apply
to any response action or remedial action for which a plan is under development by the Department of Energy on the date of enactment of this Act [October 17, 1986] with respect to facilities—
(1) owned or operated by the United States and subject to the jurisdiction of such Department; (2) located in St. Charles and St. Louis counties, Missouri, or the city of St. Louis,
Missouri; and Continued tural and engineering, surveying and mapping, and related services shall be selected in accordance with title IX of the Federal Property and Administrative Services
Act of 1949. The Federal selection procedures shall apply to appropriate contracts negotiated by all Federal governmental agencies involved in carrying out this Act. Such procedures
shall be followed by response action contractors and subcontractors. (g) SURETY BONDS.— (1) If under the Act of August 24, 1935 (40 U.S.C. 270a– 270d), commonly referred to as the ‘‘Miller
Act’’, surety bonds are required for any direct Federal procurement of any response action contract and are not waived pursuant to the Act of April 29, 1941 (40 U.S.C. 270e–270f), they
shall be issued in accordance with such Act of August 24, 1935. (2) If under applicable Federal law surety bonds are required for any direct Federal procurement of any response action
contract, no right of action shall accrue on the performance bond issued on such response action contract to or for the use of any person other than the obligee named in the bond. (3)
If under applicable Federal law surety bonds are required for any direct Federal procurement of any response action contract, unless otherwise provided for by the procuring agency in
the bond, in the event of a default, the surety’s liability on a performance bond shall be only for the cost of completion of the contract work in accordance with the plans and specifications
less the balance of funds remaining to be paid under the contract, up to the penal sum of the bond. The surety shall in no event be liable on bonds to indemnify or compensate the obligee
for loss or liability arising from personal injury or property damage whether or not caused by a breach of the bonded contract. (4) Nothing in this subsection shall be construed as preempting,
limiting, superseding, affecting, applying to, or modifying any State laws, regulations, requirements, rules, practices or procedures. Nothing in this subsection shall be construed as
affecting, applying to, modifying, limiting, superseding, or preempting any rights, authorities, liabilities, demands, actions, causes of action, losses, judgments, claims, statutes
of limitation, or obligations under Federal or State law, which do not arise on or under the bond. (5) This subsection shall not apply to bonds executed before October 17, 1990. [42
U.S.C. 9619] SEC. 120. FEDERAL FACILITIES.1 (a) APPLICATION OF ACT TO FEDERAL GOVERNMENT.— Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 120 SUPERFUND 590 (3) published in the National Priorities List. In preparing such plans, the Secretary of Energy shall consult with the Administrator of the Environmental Protection
Agency. (1) IN GENERAL.—Each department, agency, and instrumentality of the United States (including the executive, legislative, and judicial branches of government) shall be subject
to, and comply with, this Act in the same manner and to the same extent, both procedurally and substantively, as any nongovernmental entity, including liability under section 107 of
this Act. Nothing in this section shall be construed to affect the liability of any person or entity under sections 106 and 107. (2) APPLICATION OF REQUIREMENTS TO FEDERAL FACILITIES.—All
guidelines, rules, regulations, and criteria which are applicable to preliminary assessments carried out under this Act for facilities at which hazardous substances are located, applicable
to evaluations of such facilities under the National Contingency Plan, applicable to inclusion on the National Priorities List, or applicable to remedial actions at such facilities shall
also be applicable to facilities which are owned or operated by a department, agency, or instrumentality of the United States in the same manner and to the extent as such guidelines,
rules, regulations, and criteria are applicable to other facilities. No department, agency, or instrumentality of the United States may adopt or utilize any such guidelines, rules, regulations,
or criteria which are inconsistent with the guidelines, rules, regulations, and criteria established by the Administrator under this Act. (3) EXCEPTIONS.—This subsection shall not apply
to the extent otherwise provided in this section with respect to applicable time periods. This subsection shall also not apply to any requirements relating to bonding, insurance, or
financial responsibility. Nothing in this Act shall be construed to require a State to comply with section 104(c)(3) in the case of a facility which is owned or operated by any department,
agency, or instrumentality of the United States. (4) STATE LAWS.—State laws concerning removal and remedial action, including State laws regarding enforcement, shall apply to removal
and remedial action at facilities owned or operated by a department, agency, or instrumentality of the United States or facilities that are the subject of a deferral under subsection
(h)(3)(C) when such facilities are not included on the National Priorities List. The preceding sentence shall not apply to the extent a State law would apply any standard or requirement
to such facilities which is more stringent than the standards and requirements applicable to facilities which are not owned or operated by any such department, agency, or instrumentality.
(b) NOTICE.—Each department, agency, and instrumentality of the United States shall add to the inventory of Federal agency hazardous waste facilities required to be submitted under section
3016 of the Solid Waste Disposal Act (in addition to the information required under section 3016(a)(3) of such Act) information on contamination from each facility owned or operated
by the department, agency, or instrumentality if such contamination affects con-Q:\COMP\ENVIR2\CERCLA December 31, 2002
591 SUPERFUND Sec. 120 tiguous or adjacent property owned by the department, agency, or instrumentality or by any other person, including a description of the monitoring data obtained.
(c) FEDERAL AGENCY HAZARDOUS WASTE COMPLIANCE DOCKET.—The Administrator shall establish a special Federal Agency Hazardous Waste Compliance Docket (hereinafter in this section referred
to as the ‘‘docket’’) which shall contain each of the following: (1) All information submitted under section 3016 of the Solid Waste Disposal Act and subsection (b) of this section regarding
any Federal facility and notice of each subsequent action taken under this Act with respect to the facility. (2) Information submitted by each department, agency, or instrumentality
of the United States under section 3005 or 3010 of such Act. (3) Information submitted by the department, agency, or instrumentality under section 103 of this Act. The docket shall be
available for public inspection at reasonable times. Six months after establishment of the docket and every 6 months thereafter, the Administrator shall publish in the Federal Register
a list of the Federal facilities which have been included in the docket during the immediately preceding 6-month period. Such publication shall also indicate where in the appropriate
regional office of the Environmental Protection Agency additional information may be obtained with respect to any facility on the docket. The Administrator shall establish a program
to provide information to the public with respect to facilities which are included in the docket under this subsection. (d) ASSESSMENT AND EVALUATION.— (1) IN GENERAL.—The Administrator
shall take steps to assure that a preliminary assessment is conducted for each facility on the docket. Following such preliminary assessment, the Administrator shall, where appropriate—
(A) evaluate such facilities in accordance with the criteria established in accordance with section 105 under the National Contingency Plan for determining priorities among releases;
and (B) include such facilities on the National Priorities List maintained under such plan if the facility meets such criteria. (2) APPLICATION OF CRITERIA.— (A) IN GENERAL.—Subject
to subparagraph (B), the criteria referred to in paragraph (1) shall be applied in the same manner as the criteria are applied to facilities that are owned or operated by persons other
than the United States. (B) RESPONSE UNDER OTHER LAW.—It shall be an appropriate factor to be taken into consideration for the purposes of section 105(a)(8)(A) that the head of the department,
agency, or instrumentality that owns or operates a facility has arranged with the Administrator or appropriate State authorities to respond appropriately, under authority of a law other
than this Act, to a release or threatened release of a hazardous substance. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 120 SUPERFUND 592 (3) COMPLETION.—Evaluation and listing under this subsection shall be completed in accordance with a reasonable schedule established by the Administrator. (e)
REQUIRED ACTION BY DEPARTMENT.— (1) RIFS.—Not later than 6 months after the inclusion of any facility on the National Priorities List, the department, agency, or instrumentality which
owns or operates such facility shall, in consultation with the Administrator and appropriate State authorities, commence a remedial investigation and feasibility study for such facility.
In the case of any facility which is listed on such list before the date of the enactment of this section, the department, agency, or instrumentality which owns or operates such facility
shall, in consultation with the Administrator and appropriate State authorities, commence such an investigation and study for such facility within one year after such date of enactment.
The Administrator and appropriate State authorities shall publish a timetable and deadlines for expeditious completion of such investigation and study. (2) COMMENCEMENT OF REMEDIAL ACTION;
INTERAGENCY AGREEMENT.—The Administrator shall review the results of each investigation and study conducted as provided in paragraph (1). Within 180 days thereafter, the head of the
department, agency, or instrumentality concerned shall enter into an interagency agreement with the Administrator for the expeditious completion by such department, agency, or instrumentality
of all necessary remedial action at such facility. Substantial continuous physical onsite remedial action shall be commenced at each facility not later than 15 months after completion
of the investigation and study. All such interagency agreements, including review of alternative remedial action plans and selection of remedial action, shall comply with the public
participation requirements of section 117. (3) COMPLETION OF REMEDIAL ACTIONS.—Remedial actions at facilities subject to interagency agreements under this section shall be completed
as expeditiously as practicable. Each agency shall include in its annual budget submissions to the Congress a review of alternative agency funding which could be used to provide for
the costs of remedial action. The budget submission shall also include a statement of the hazard posed by the facility to human health, welfare, and the environment and identify the
specific consequences of failure to begin and complete remedial action. (4) CONTENTS OF AGREEMENT.—Each interagency agreement under this subsection shall include, but shall not be limited
to, each of the following: (A) A review of alternative remedial actions and selection of a remedial action by the head of the relevant department, agency, or instrumentality and the
Administrator or, if unable to reach agreement on selection of a remedial action, selection by the Administrator. (B) A schedule for the completion of each such remedial action. Q:\COMP\ENVIR2\CERCLA
December 31, 2002
593 SUPERFUND Sec. 120 (C) Arrangements for long-term operation and maintenance of the facility. (5) ANNUAL REPORT.—Each department, agency, or instrumentality responsible for compliance
with this section shall furnish an annual report to the Congress concerning its progress in implementing the requirements of this section. Such reports shall include, but shall not be
limited to, each of the following items: (A) A report on the progress in reaching interagency agreements under this section. (B) The specific cost estimates and budgetary proposals involved
in each interagency agreement. (C) A brief summary of the public comments regarding each proposed interagency agreement. (D) A description of the instances in which no agreement was
reached. (E) A report on progress in conducting investigations and studies under paragraph (1). (F) A report on progress in conducting remedial actions. (G) A report on progress in conducting
remedial action at facilities which are not listed on the National Priorities List. With respect to instances in which no agreement was reached within the required time period, the department,
agency, or instrumentality filing the report under this paragraph shall include in such report an explanation of the reasons why no agreement was reached. The annual report required
by this paragraph shall also contain a detailed description on a Stateby-State basis of the status of each facility subject to this section, including a description of the hazard presented
by each facility, plans and schedules for initiating and completing response action, enforcement status (where appropriate), and an explanation of any postponements or failure to complete
response action. Such reports shall also be submitted to the affected States. (6) SETTLEMENTS WITH OTHER PARTIES.—If the Administrator, in consultation with the head of the relevant
department, agency, or instrumentality of the United States, determines that remedial investigations and feasibility studies or remedial action will be done properly at the Federal facility
by another potentially responsible party within the deadlines provided in paragraphs (1), (2), and (3) of this subsection, the Administrator may enter into an agreement with such party
under section 122 (relating to settlements). Following approval by the Attorney General of any such agreement relating to a remedial action, the agreement shall be entered in the appropriate
United States district court as a consent decree under section 106 of this Act. (f) STATE AND LOCAL PARTICIPATION.—The Administrator and each department, agency, or instrumentality responsible
for compliance with this section shall afford to relevant State and local officials the opportunity to participate in the planning and selection of the remedial action, including but
not limited to the review of all Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 120 SUPERFUND 594 applicable data as it becomes available and the development of studies, reports, and action plans. In the case of State officials, the opportunity to participate
shall be provided in accordance with section 121. (g) TRANSFER OF AUTHORITIES.—Except for authorities which are delegated by the Administrator to an officer or employee of the Environmental
Protection Agency, no authority vested in the Administrator under this section may be transferred, by executive order of the President or otherwise, to any other officer or employee
of the United States or to any other person. (h) PROPERTY TRANSFERRED BY FEDERAL AGENCIES.— (1) NOTICE.—After the last day of the 6-month period beginning on the effective date of regulations
under paragraph (2) of this subsection, whenever any department, agency, or instrumentality of the United States enters into any contract for the sale or other transfer of real property
which is owned by the United States and on which any hazardous substance was stored for for one year or more, known to have been released, or disposed of, the head of such department,
agency, or instrumentality shall include in such contract notice of the type and quantity of such hazardous substance and notice of the time at which such storage, release, or disposal
took place, to the extent such information is available on the basis of a complete search of agency files. (2) FORM OF NOTICE; REGULATIONS.—Notice under this subsection shall be provided
in such form and manner as may be provided in regulations promulgated by the Administrator. As promptly as practicable after the enactment of this subsection but not later than 18 months
after the date of such enactment, and after consultation with the Administrator of the General Services Administration, the Administrator shall promulgate regulations regarding the notice
required to be provided under this subsection. (3) CONTENTS OF CERTAIN DEEDS.— (A) IN GENERAL.—After the last day of the 6-month period beginning on the effective date of regulations
under paragraph (2) of this subsection, in the case of any real property owned by the United States on which any hazardous substance was stored for one year or more, known to have been
released, or disposed of, each deed entered into for the transfer of such property by the United States to any other person or entity shall contain— (i) to the extent such information
is available on the basis of a complete search of agency files— (I) a notice of the type and quantity of such hazardous substances, (II) notice of the time at which such storage, release,
or disposal took place, and (III) a description of the remedial action taken, if any; (ii) a covenant warranting that— (I) all remedial action necessary to protect human health and the
environment with respect to any such substance remaining on the property Q:\COMP\ENVIR2\CERCLA December 31, 2002
595 SUPERFUND Sec. 120 has been taken before the date of such transfer, and (II) any additional remedial action found to be necessary after the date of such transfer shall be conducted
by the United States; and (iii) a clause granting the United States access to the property in any case in which remedial action or corrective action is found to be necessary after the
date of such transfer. (B) COVENANT REQUIREMENTS.—For purposes of subparagraphs (A)(ii)(I) and (C)(iii), all remedial action described in such subparagraph has been taken if the construction
and installation of an approved remedial design has been completed, and the remedy has been demonstrated to the Administrator to be operating properly and successfully. The carrying
out of long-term pumping and treating, or operation and maintenance, after the remedy has been demonstrated to the Administrator to be operating properly and successfully does not preclude
the transfer of the property. The requirements of subparagraph (A)(ii) shall not apply in any case in which the person or entity to whom the real property is transferred is a potentially
responsible party with respect to such property. The requirements of subparagraph (A)(ii) shall not apply in any case in which the transfer of the property occurs or has occurred by
means of a lease, without regard to whether the lessee has agreed to purchase the property or whether the duration of the lease is longer than 55 years. In the case of a lease entered
into after September 30, 1995, with respect to real property located at an installation approved for closure or realignment under a base closure law, the agency leasing the property,
in consultation with the Administrator, shall determine before leasing the property that the property is suitable for lease, that the uses contemplated for the lease are consistent with
protection of human health and the environment, and that there are adequate assurances that the United States will take all remedial action referred to in subparagraph (A)(ii) that has
not been taken on the date of the lease. (C) DEFERRAL.— (i) IN GENERAL.—The Administrator, with the concurrence of the Governor of the State in which the facility is located (in the
case of real property at a Federal facility that is listed on the National Priorities List), or the Governor of the State in which the facility is located (in the case of real property
at a Federal facility not listed on the National Priorities List) may defer the requirement of subparagraph (A)(ii)(I) with respect to the property if the Administrator or the Governor,
as the case may be, determines that the property is suitable for transfer, based on a finding that— (I) the property is suitable for transfer for the use intended by the transferee,
and the intended Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 120 SUPERFUND 596 use is consistent with protection of human health and the environment; (II) the deed or other agreement proposed to govern the transfer between the United States
and the transferee of the property contains the assurances set forth in clause (ii); (III) the Federal agency requesting deferral has provided notice, by publication in a newspaper of
general circulation in the vicinity of the property, of the proposed transfer and of the opportunity for the public to submit, within a period of not less than 30 days after the date
of the notice, written comments on the suitability of the property for transfer; and (IV) the deferral and the transfer of the property will not substantially delay any necessary response
action at the property. (ii) RESPONSE ACTION ASSURANCES.—With regard to a release or threatened release of a hazardous substance for which a Federal agency is potentially responsible
under this section, the deed or other agreement proposed to govern the transfer shall contain assurances that— (I) provide for any necessary restrictions on the use of the property to
ensure the protection of human health and the environment; (II) provide that there will be restrictions on use necessary to ensure that required remedial investigations, response action,
and oversight activities will not be disrupted; (III) provide that all necessary response action will be taken and identify the schedules for investigation and completion of all necessary
response action as approved by the appropriate regulatory agency; and (IV) provide that the Federal agency responsible for the property subject to transfer will submit
a budget request to the Director of the Office of Management and Budget that adequately addresses schedules for investigation and completion of all necessary response action, subject
to congressional authorizations and appropriations. (iii) WARRANTY.—When all response action necessary to protect human health and the environment with respect to any substance remaining
on the property on the date of transfer has been taken, the United States shall execute and deliver to the transferee an appropriate document containing a warranty that all such response
action has been taken, and the making of the warranty shall be considered to satisfy the requirement of subparagraph (A)(ii)(I). (iv) FEDERAL RESPONSIBILITY.—A deferral under this subparagraph
shall not increase, diminish, or affect in any manner any rights or obligations of a Fed-Q:\COMP\ENVIR2\CERCLA December 31, 2002
597 SUPERFUND Sec. 120 eral agency (including any rights or obligations under sections 106, 107, and 120 existing prior to transfer) with respect to a property transferred under this
subparagraph. (4) IDENTIFICATION OF UNCONTAMINATED PROPERTY.—(A) In the case of real property to which this paragraph applies (as set forth in subparagraph (E)), the head of the department,
agency, or instrumentality of the United States with jurisdiction over the property shall identify the real property on which no hazardous substances and no petroleum products or their
derivatives were known to have been released or disposed of. Such identification shall be based on an investigation of the real property to determine or discover the obviousness of the
presence or likely presence of a release or threatened release of any hazardous substance or any petroleum product or its derivatives, including aviation fuel and motor oil, on the real
property. The identification shall consist, at a minimum, of a review of each of the following sources of information concerning the current and previous uses of the real property: (i)
A detailed search of Federal Government records pertaining to the property. (ii) Recorded chain of title documents regarding the real property. (iii) Aerial photographs that may reflect
prior uses of the real property and that are reasonably obtainable through State or local government agencies. (iv) A visual inspection of the real property and any buildings, structures,
equipment, pipe, pipeline, or other improvements on the real property, and a visual inspection of properties immediately adjacent to the real property. (v) A physical inspection of property
adjacent to the real property, to the extent permitted by owners or operators of such property. (vi) Reasonably obtainable Federal, State, and local government records of each adjacent
facility where there has been a release of any hazardous substance or any petroleum product or its derivatives, including aviation fuel and motor oil, and which is likely to cause or
or contribute to a release or threatened release of any hazardous substance or any petroleum product or its derivatives, including aviation fuel and motor oil, on the real property.
(vii) Interviews with current or former employees involved in operations on the real property. Such identification shall also be based on sampling, if appropriate under the circumstances.
The results of the identification shall be provided immediately to the Administrator and State and local government officials and made available to the public. (B) The identification
required under subparagraph (A) is not complete until concurrence in the results of the identification is obtained, in the case of real property that is part of a facility on the National
Priorities List, from the Administrator, or, in the case of real property that is not part of a facility on the National Priorities List, from the appropriate State official. Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 120 SUPERFUND 598 In the case of a concurrence which is required from a State official, the concurrence is deemed to be obtained if, within 90 days after receiving a request for
the concurrence, the State official has not acted (by either concurring or declining to concur) on the request for concurrence. (C)(i) Except as provided in clauses (ii), (iii), and
(iv), the identification and concurrence required under subparagraphs (A) and (B), respectively, shall be made at least 6 months before the termination of operations on the real property.
(ii) In the case of real property described in subparagraph (E)(i)(II) on which operations have been closed or realigned or scheduled for closure or realignment pursuant to a base closure
law described in subparagraph (E)(ii)(I) or (E)(ii)(II) by the date of the enactment of the Community Environmental Response Facilitation Act, the identification and concurrence required
under subparagraphs (A) and (B), respectively, shall be made not later than 18 months after such date of enactment. (iii) In the case of real property described in subparagraph (E)(i)(II)
on which operations are closed or realigned or become scheduled for closure or realignment pursuant to the base closure law described in subparagraph (E)(ii)(II) after the date of the
enactment of the Community Environmental Response Facilitation Act, the identification and concurrence required under subparagraphs (A) and (B), respectively, shall be made not later
than 18 months after the date by which a joint resolution disapproving the closure or realignment of the real property under section 2904(b) of such base closure law must be enacted,
and such a joint resolution has not been enacted. (iv) In the case of real property described in subparagraphs (E)(i)(II) on which operations are closed or realigned pursuant to a base
closure law described in subparagraph (E)(ii)(III) or (E)(ii)(IV), the identification and concurrence required under subparagraphs (A) and (B), respectively, shall be made not later
than 18 months after the date on which the real property is selected for closure or realignment pursuant to such a base closure law. (D) In the case of the sale or other transfer of
any parcel of real property identified under subparagraph (A), the deed entered into for the sale or transfer of such property by the United States to any other person or entity shall
contain— (i) a covenant warranting that any response action or corrective action found to be necessary after the date of such sale or transfer shall be conducted by the United States;
and (ii) a clause granting the United States access to the property in any case in which a response action or corrective action is found to be necessary after such date at such property,
or such access is necessary to carry out a response action or corrective action on adjoining property. (E)(i) This paragraph applies to— (I) real property owned by the United States
and on which the United States plans to terminate Federal Government operations, other than real property described in subclause (II); and Q:\COMP\ENVIR2\CERCLA December 31, 2002
599 SUPERFUND Sec. 120 (II) real property that is or has been used as a military installation and on which the United States plans to close or realign military operations pursuant to
a base closure law. (ii) For purposes of this paragraph, the term ‘‘base closure law’’ includes the following: (I) Title II of the Defense Authorization Amendments and Base Closure and
Realignment Act (Public Law 100– 526; 10 U.S.C. 2687 note). (II) The Defense Base Closure and Realignment Act of 1990 (part A of title XXIX of Public Law 101–510; 10 U.S.C. 2687 note).
(III) Section 2687 of title 10, United States Code. (IV) Any provision of law authorizing the closure or realignment of a military installation enacted on or after the date of enactment
of the Community Environmental Response Facilitation Act. (F) Nothing in this paragraph shall affect, preclude, or otherwise impair the termination of Federal Government operations on
real property owned by the United States. (5) NOTIFICATION OF STATES REGARDING CERTAIN LEASES.— In the case of real property owned by the United States, on which any hazardous substance
or any petroleum product or its derivatives (including aviation fuel and motor oil) was stored for one year or more, known to have been released, or disposed of, and on which the United
States plans to terminate Federal Government operations, the head of the department, agency, or instrumentality of the United States with jurisdiction over the property shall notify
the State in which the property is located of any lease entered into by the United States that will encumber the property beyond the date of termination of operations on the property.
Such notification shall be made before entering into the lease and shall include the length of the lease, the name of person to whom the property is leased, and a description of the
uses that will be allowed under the lease of the property and buildings and other structures on the property. (i) OBLIGATIONS UNDER SOLID WASTE DISPOSAL ACT.—Nothing in this section
shall affect or impair the obligation of any department, agency, or instrumentality of the United States to comply with any requirement of the Solid Waste Disposal Act (including corrective
action requirements). (j) NATIONAL SECURITY.— (1) SITE SPECIFIC PRESIDENTIAL ORDERS.—The President may issue such orders regarding response actions at any specified site or facility
of the Department of Energy or the Department of Defense as may be necessary to protect the national security interests of the United States at that site or facility. Such orders may
include, where necessary to protect such interests, an exemption from any requirement contained in this title or under title III of the Superfund Amendments and Reauthorization Act of
1986 with respect to the site or facility concerned. The President shall notify the Congress within 30 days of the issuance of an order under this paragraph pro-Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 121 SUPERFUND 600 1 Section 121(b) of the Superfund Amendments and Reauthorization Act of 1986 (P.L. 99–499) provides: (b) EFFECTIVE DATE.—With respect to section 121 of CERCLA,
as added by this section— (1) The requirements of section 121 of CERCLA shall not apply to any remedial action for which the Record of Decision (hereinafter in this section referred
to as the ‘‘ROD’’) was signed, or the consent decree was lodged, before date of enactment [October 17, 1986]. (2) If the ROD was signed, or the consent decree lodged, within the 30-day
period immediately following enactment of the Act, the Administrator shall certify in writing that the portion of the remedial action covered by the ROD or consent decree complies to
the maximum extent practicable with section 121 of CERCLA. Any ROD signed before enactment of this Act and reopened after enactment of this Act to modify or supplement the selection
of remedy shall be subject to the requirements of section 121 of CERCLA. viding for any such exemption. Such notification shall include a statement of the reasons for the granting of
the exemption. An exemption under this paragraph shall be for a specified period which may not exceed one year. Additional exemptions may be granted, each upon the President’s issuance
of a new order under this paragraph for the site or facility concerned. Each such additional exemption shall be for a specified period which may not exceed one year. It is the intention
of the Congress that whenever an exemption is issued under this paragraph the response action shall proceed as expeditiously as practicable. The Congress shall be notified periodically
of the progress of any response action with respect to which an exemption has been issued under this paragraph. No exemption shall be granted under this paragraph due to lack of appropriation
unless the President shall have specifically requested such appropriation as a part of the budgetary process and the Congress shall have failed to make available such requested appropriation.
(2) CLASSIFIED INFORMATION.—Notwithstanding any other provision of law, all requirements of the Atomic Energy Act and all Executive orders concerning the handling of restricted data
and national security information, including ‘‘need to know’’ requirements, shall be applicable to any grant of access to classified information under the provisions of this Act or under
title III of the Superfund Amendments and Reauthorization Act of 1986. [42 U.S.C. 9620] SEC. 121. CLEANUP STANDARDS.1 (a) SELECTION OF REMEDIAL ACTION.—The President shall select appropriate
remedial actions determined to be necessary to be carried out under section 104 or secured under section 106 which are in accordance with this section and, to the extent practicable,
the national contingency plan, and which provide for cost-effective response. In evaluating the cost effectiveness of proposed alternative remedial actions, the President shall take
into account the total short-and long-term costs of such actions, including the costs of operation and maintenance for the entire period during which such activities will be required.
(b) GENERAL RULES.—(1) Remedial actions in which treatment which permanently and significantly reduces the volume, toxicity or mobility of the hazardous substances, pollutants, and contaminants
is a principal element, are to be preferred over remedial actions not involving such treatment. The offsite transport and dis-Q:\COMP\ENVIR2\CERCLA December 31, 2002
601 SUPERFUND Sec. 121 posal of hazardous substances or contaminated materials without such treatment should be the least favored alternative remedial action where practicable treatment
technologies are available. The President shall conduct an assessment of permanent solutions and alternative treatment technologies or resource recovery technologies that, in whole or
in part, will result in a permanent and significant decrease in the toxicity, mobility, or volume of the hazardous substance, pollutant, or contaminant. In making such assessment, the
President shall specifically address the long-term effectiveness of various alternatives. In assessing alternative remedial actions, the President shall, at a minimum, take into account:
(A) the long-term uncertainties associated with land disposal; (B) the goals, objectives, and requirements of the Solid Waste Disposal Act; (C) the persistence, toxicity, mobility, and
propensity to bioaccumulate of such hazardous substances and their constituents; (D) short-and long-term potential for adverse health effects from human exposure; (E) long-term maintenance
costs; (F) the potential for future remedial action costs if the alternative remedial action in question were to fail; and (G) the potential threat to human health and the environment
associated with excavation, transportation, and redisposal, or containment. The President shall select a remedial action that is protective of human health and the environment, that
is cost effective, and that utilizes permanent solutions and alternative treatment technologies or resource recovery technologies to the maximum extent practicable. If the President
selects a remedial action not appropriate for a preference under this subsection, the President shall publish an explanation as to why a remedial action involving such reductions was
not selected. (2) The President may select an alternative remedial action meeting the objectives of this subsection whether or not such action has been achieved in practice at any other
facility or site that has similar characteristics. In making such a selection, the President may take into account the degree of support for such remedial action by parties interested
in such site. (c) REVIEW.—If the President selects a remedial action that results in any hazardous substances, pollutants, or contaminants remaining at the site, the President shall
review such remedial action no less often than each 5 years after the initiation of such remedial action to assure that human health and the environment are being protected by the remedial
action being implemented. In addition, if upon such review it is the judgment of the President that action is appropriate at such site in accordance with section 104 or 106, the President
shall take or require such action. The President shall report to the Congress a list of facilities for which such review is required, the results of all such reviews, and any actions
taken as a result of such reviews. (d) DEGREE OF CLEANUP.—(1) Remedial actions selected under this section or otherwise required or agreed to by the President Q:\COMP\ENVIR2\CERCLA December
31, 2002
Sec. 121 SUPERFUND 602 under this Act shall attain a degree of cleanup of hazardous substances, pollutants, and contaminants released into the environment and of control of further release
at a minimum which assures protection of human health and the environment. Such remedial actions shall be relevant and appropriate under the circumstances presented by the release or
threatened release of such substance, pollutant, or contaminant. (2)(A) With respect to any hazardous substance, pollutant or contaminant that will remain onsite, if— (i) any standard,
requirement, criteria, or limitation under any Federal environmental law, including, but not limited to, the Toxic Substances Control Act, the Safe Drinking Water Act, the Clean Air
Act, the Clean Water Act, the Marine Protection, Research and Sanctuaries Act, or the Solid Waste Disposal Act; or (ii) any promulgated standard, requirement, criteria, or limitation
under a State environmental or facility siting law that is more stringent than any Federal standard, standard, requirement, criteria, or limitation, including each such State standard,
requirement, criteria, or limitation contained in a program approved, authorized or delegated by the Administrator under a statute cited in subparagraph (A), and that has been identified
to the President by the State in a timely manner, is legally applicable to the hazardous substance or pollutant or contaminant concerned or is relevant and appropriate under the circumstances
of the release or threatened release of such hazardous substance or pollutant or contaminant, the remedial action selected under section 104 or secured under section 106 shall require,
at the completion of the remedial action, a level or standard of control for such hazardous substance or pollutant or contaminant which at least attains such legally applicable or relevant
and appropriate standard, requirement, criteria, or limitation. Such remedial action shall require a level or standard of control which at least attains Maximum Contaminant Level Goals
established under the Safe Drinking Water Act and water quality criteria established under section 304 or 303 of the Clean Water Act, where such goals or criteria are relevant and appropriate
under the circumstances of the release or threatened release. (B)(i) In determining whether or not any water quality criteria under the Clean Water Act is relevant and appropriate under
the circumstances of the release or threatened release, the President shall consider the designated or potential use of the surface or groundwater, the environmental media affected,
the purposes for which such criteria were developed, and the latest information available. (ii) For the purposes of this section, a process for establishing alternate concentration limits
to those otherwise applicable for hazardous constituents in groundwater under subparagraph (A) may not be used to establish applicable standards under this paragraph if the process assumes
a point of human exposure beyond the boundary of the facility, as defined at the conclusion of the remedial investigation and feasibility study, except where— (I) there are known and
projected points of entry of such groundwater into surface water; and Q:\COMP\ENVIR2\CERCLA December 31, 2002
603 SUPERFUND Sec. 121 (II) on the basis of measurements or projections, there is or will be no statistically significant increase of such constituents from such groundwater in such
surface water at the point of entry or at any point where there is reason to believe accumulation of constituents may occur downstream; and (III) the remedial action includes enforceable
measures that will preclude human exposure to the contaminated groundwater at any point between the facility boundary and all known and projected points of entry of such groundwater
into surface water then the assumed point of human exposure may be at such known and projected points of entry. (C)(i) Clause (ii) of this subparagraph shall be applicable only in cases
where, due to the President’s selection, in compliance with subsection (b)(1), of a proposed remedial action which does not permanently and significantly reduce the volume, toxicity,
or mobility of hazardous substances, pollutants, or contaminants, the proposed disposition of waste generated by or associated with the remedial action selected by the President is land
disposal in a State referred to in clause (ii). (ii) Except as provided in clauses (iii) and (iv), a State standard, requirement, criteria, or limitation (including any State siting
standard or requirement) which could effectively result in the statewide prohibition of land disposal of hazardous substances, pollutants, or contaminants shall not apply. (iii) Any
State standard, requirement, criteria, or limitation referred to in clause (ii) shall apply where each of the following conditions is met: (I) The State standard, requirement, criteria,
or limitation is of general applicability and was adopted by formal means. (II) The State standard, requirement, criteria, or limitation was adopted on the basis of hydrologic, geologic,
or other relevant considerations and was not adopted for the purpose of precluding onsite remedial actions or other land disposal for reasons unrelated to protection of human health
and the environment. environment. (III) The State arranges for, and assures payment of the incremental costs of utilizing, a facility for disposition of the hazardous substances, pollutants,
or contaminants concerned. (iv) Where the remedial action selected by the President does not conform to a State standard and the State has initiated a law suit against the Environmental
Protection Agency prior to May 1, 1986, to seek to have the remedial action conform to such standard, the President shall conform the remedial action to the State standard. The State
shall assure the availability of an offsite facility for such remedial action. (3) In the case of any removal or remedial action involving the transfer of any hazardous substance or
pollutant or contaminant offsite, such hazardous substance or pollutant or contaminant shall only be transferred to a facility which is operating in compliance with section 3004 and
3005 of the Solid Waste Disposal Act (or, where applicable, in compliance with the Toxic Substances Control Act or other applicable Federal law) and all applicable State requirements.
Such substance or pollutant or contaminant may be Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 121 SUPERFUND 604 transferred to a land disposal facility only if the President determines that both of the following requirements are met: (A) The unit to which the hazardous substance
or pollutant or contaminant is transferred is not releasing any hazardous waste, or constituent thereof, into the groundwater or surface water or soil. (B) All such releases from other
units at the facility are being controlled by a corrective action program approved by the Administrator under subtitle C of the Solid Waste Disposal Act. The President shall notify the
owner or operator of such facility of determinations under this paragraph. (4) The President may select a remedial action meeting the requirements of paragraph (1) that does not attain
a level or standard of control at least equivalent to a legally applicable or relevant and appropriate standard, requirement, criteria, or limitation as required by paragraph (2) (including
subparagraph (B) thereof), if the President finds that— (A) the remedial action selected is only part of a total remedial action that will attain such level or standard of control when
completed; (B) compliance with such requirement at that facility will result in greater risk to human health and the environment than alternative options; (C) compliance with such requirements
is technically impracticable from an engineering perspective; (D) the remedial action selected will attain a standard of performance that is equivalent to that required under the otherwise
applicable standard, requirement, criteria, or limitation, through use of another method or approach; (E) with respect to a State standard, requirement, criteria, or limitation, the
State has not consistently applied (or demonstrated the intention to consistently apply) the standard, requirement, criteria, or limitation in similar circumstances at other remedial
actions within the State; or (F) in the case of a remedial action to be undertaken solely under section 104 using the Fund, selection of a remedial action that attains such level or
standard of control will not provide a balance between the need for protection of public health and welfare and the environment at the facility under consideration, and the availability
of amounts from the Fund to respond to other sites which present or may present a threat to public health or welfare or the environment, taking into consideration the relative immediacy
of such threats. The President shall publish such findings, together with an explanation and appropriate documentation. (e) PERMITS AND ENFORCEMENT.—(1) No Federal, State, or local permit
shall be required for the portion of any removal or remedial action conducted entirely onsite, where such remedial action is selected and carried out in compliance with this section.
(2) A State may enforce any Federal or State standard, requirement, criteria, or limitation to which the remedial action is required to conform under this Act in the United States district
court for the district in which the facility is located. Any consent decree Q:\COMP\ENVIR2\CERCLA December 31, 2002
605 SUPERFUND Sec. 121 shall require the parties to attempt expeditiously to resolve disagreements concerning implementation of the remedial action informally with the appropriate Federal
and State agencies. Where the parties agree, the consent decree may provide for administrative enforcement. Each consent decree shall also contain stipulated penalties for violations
of the decree in an amount not to exceed $25,000 per day, which may be enforced by either the President or the State. Such stipulated penalties shall not be construed to impair or affect
the authority of the court to order compliance with the specific terms of any such decree. (f) STATE INVOLVEMENT.—(1) The President shall promulgate regulations providing for substantial
and meaningful involvement by each State in initiation, development, and selection of remedial actions to be undertaken in that State. The regulations, at a minimum, shall include each
of the following: (A) State involvement in decisions whether to perform a preliminary assessment and site inspection. (B) Allocation of responsibility for hazard ranking system scoring.
(C) State concurrence in deleting sites from the National Priorities List. (D) State participation in the long-term planning process for all remedial sites within the State. (E) A reasonable
opportunity for States to review and comment on each of the following: (i) The remedial investigation and feasibility study and all data and technical documents leading to its issuance.
(ii) The planned remedial action identified in the remedial investigation and feasibility study. (iii) The engineering design following selection of the final remedial action. (iv) Other
technical data and reports relating to implementation of the remedy. (v) Any proposed finding or decision by the President to exercise the authority of subsection (d)(4). (F) Notice
to the State of negotiations with potentially responsible parties regarding the scope of any response action at a facility in the State and an opportunity to participate in such negotiations
and, subject to paragraph (2), be a party to any settlement. (G) Notice to the State and an opportunity to comment on the President’s proposed plan for remedial action as well as on
alternative plans under consideration. The President’s proposed decision regarding the selection of remedial action shall be accompanied by a response to the comments submitted by the
State, including an explanation regarding any decision under subsection (d)(4)
on compliance with promulgated State standards. A copy of such response shall also be provided to the State. (H) Prompt notice and explanation of each proposed action to the State in
which the facility is located. Prior to the promulgation of such regulations, the President shall provide notice to the State of negotiations with potentially respon-Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 121 SUPERFUND 606 sible parties regarding the scope of any response action at a facility in the State, and such State may participate in such negotiations and, subject to paragraph
(2), any settlements. (2)(A) This paragraph shall apply to remedial actions secured under section 106. At least 30 days prior to the entering of any consent decree, if the President
proposes to select a remedial action that does not attain a legally applicable or relevant and appropriate standard, requirement, criteria, or limitation, under the authority of subsection
(d)(4), the President shall provide an opportunity for the State to concur or not concur in such selection. If the State concurs, the State may become a signatory to the consent decree.(B)
If the State does not concur in such selection, and the State desires to have the remedial action conform to such standard, requirement, criteria, or limitation, the State shall intervene
in the action under section 106 before entry of the consent decree, to seek to have the remedial action so conform. Such intervention shall be a matter of right. The remedial action
shall conform to such standard, requirement, criteria, or limitation if the State establishes, on the administrative record, that the finding of the President was not supported by substantial
evidence. If the court determines that the remedial action shall conform to such standard, requirement, criteria, or limitation, the remedial action shall be so modified and the State
may become a signatory to the decree. If the court determines that the remedial action need not conform to such standard, requirement, criteria, or limitation, and the State pays or
assures the payment of the additional costs attributable to meeting such standard, requirement, criteria, or limitation, the remedial action shall be so modified and the State shall
become a signatory to the decree. (C) The President may conclude settlement negotiations with potentially responsible parties without State concurrence. (3)(A) This paragraph shall apply
to to remedial actions at facilities owned or operated by a department, agency, or instrumentality of the United States. At least 30 days prior to the publication of the President’s
final remedial action plan, if the President proposes to select a remedial action that does not attain a legally applicable or relevant and appropriate standard, requirement, criteria,
or limitation, under the authority of subsection (d)(4), the President shall provide an opportunity for the State to concur or not concur in such selection. If the State concurs, or
does not act within 30 days, the remedial action may proceed. (B) If the State does not concur in such selection as provided in subparagraph (A), and desires to have the remedial action
conform to such standard, requirement, criteria, or limitation, the State may maintain an action as follows: (i) If the President has notified the State of selection of such a remedial
action, the State may bring an action within 30 days of such notification for the sole purpose of determining whether the finding of the President is supported by substantial evidence.
Such action shall be brought in the United States district court for the district in which the facility is located. (ii) If the State establishes, on the administrative record, that
the President’s finding is not supported by substantial evi-Q:\COMP\ENVIR2\CERCLA December 31, 2002
607 SUPERFUND Sec. 122 dence, the remedial action shall be modified to conform to such standard, requirement, criteria, or limitation. (iii) If the State fails to establish that the
President’s finding was not supported by substantial evidence and if the State pays, within 60 days of judgment, the additional costs attributable to meeting such standard, requirement,
criteria, or limitation, the remedial action shall be selected to meet such standard, requirement, criteria, or limitation. If the State fails to pay within 60 days, the remedial action
selected by the President shall proceed through completion. (C) Nothing in this section precludes, and the court shall not enjoin, the Federal agency from taking any remedial action
unrelated to or not inconsistent with such standard, requirement, criteria, or limitation. [42 U.S.C. 9621] SEC. 122. SETTLEMENTS. (a) AUTHORITY TO ENTER INTO AGREEMENTS.—The President,
in his discretion, may enter into an agreement with any person (including the owner or operator of the facility from which a release or substantial threat of release emanates, or any
other potentially responsible person), to perform any response action (including any action described in section 104(b)) if the President determines that such action will be done properly
by such person. Whenever practicable and in the public interest, as determined by the President, the President shall act to facilitate agreements under this section that are in the public
interest and consistent with the National Contingency Plan in order to expedite effective remedial actions and minimize litigation. If the President decides not to use the procedures
in this section, the President shall notify in writing potentially responsible parties at the facility of such decision and the reasons why use of the procedures is inappropriate. A
decision of the President to use or not to use the procedures in this section is not subject to judicial review. (b) AGREEMENTS WITH POTENTIALLY RESPONSIBLE PARTIES.— (1) MIXED FUNDING.—An
agreement under this section may provide that the President will reimburse the parties to the agreement from the Fund, with interest, for certain costs of actions under the agreement
that the parties have agreed to perform but which the President has agreed to finance. In any case in which the President provides such reimbursement, the President shall make all reasonable
efforts to recover the amount of such reimbursement under section 107 or under other relevant authorities. (2) REVIEWABILITY.—The President’s decisions regarding the availability of
fund financing under this subsection shall not be subject to judicial review under subsection (d). (3) RETENTION OF FUNDS.—If, as part of any agreement, the President will be carrying
out any action and the parties will be paying amounts to the President, the President may, notwithstanding any other provision of law, retain and use such amounts for purposes of carrying
out the agreement. (4) FUTURE OBLIGATION OF FUND.—In the case of a completed remedial action pursuant to an agreement described in Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 122 SUPERFUND 608 paragraph (1), the Fund shall be subject to an obligation for subsequent remedial actions at the same facility but only to the extent that such subsequent actions
are necessary by reason of the failure of the original remedial action. Such obligation shall be in a proportion equal to, but not exceeding, the proportion contributed by the Fund for
the original remedial action. The Fund’s obligation for such future remedial action may be met through Fund expenditures or through payment, following settlement or enforcement action,
by parties who were not signatories to the original agreement. (c) EFFECT OF AGREEMENT.— (1) LIABILITY.—Whenever the President has entered into an agreement under this section, the liability
to the United States under this Act of each party to the agreement, including any future liability to the United States, arising from the release or threatened release that is the subject
of the agreement shall be limited as provided in the agreement pursuant to a covenant not to sue in accordance with subsection (f). A covenant not to sue may provide that future liability
to the United States of a settling potentially responsible party under the agreement may be limited to the same proportion as that established in the original settlement agreement. Nothing
in this section shall limit or otherwise affect the authority of any court to review in the consent decree process under subsection (d) any covenant not to sue contained in an agreement
under this section. In determining the extent to which the liability of parties to an agreement shall be limited pursuant to a covenant not to sue, the President shall be guided by the
principle that a more complete covenant not to sue shall be provided for a more permanent remedy undertaken by such parties. (2) ACTIONS AGAINST OTHER PERSONS.—If an agreement has been
entered into under this section, the President may take any action under section 106 against any person who is not a party to the agreement, once the period for submitting a proposal
under subsection (e)(2)(B) has expired. Nothing in this section shall be construed to affect either of the following: (A) The liability of any person under section 106 or 107 with respect
to any costs or damages which are not included in the agreement. (B) The authority of the President to maintain an action under this Act against any person who is not a party to the
agreement. (d) ENFORCEMENT.— (1) CLEANUP AGREEMENTS.— (A) CONSENT DECREE.—Whenever the President enters into an agreement under this section with any potentially responsible party with
respect to remedial action under section 106, following approval of the agreement by the Attorney General, except as otherwise provided in the case of certain administrative settlements
referred to in subsection (g), the agreement shall be entered in the appropriate United States district court as a consent decree. The President need not make any finding regarding an
imminent and substantial endangerment to the public health or Q:\COMP\ENVIR2\CERCLA December December 31, 2002
609 SUPERFUND Sec. 122 the environment in connection with any such agreement or consent decree. (B) EFFECT.—The entry of any consent decree under this subsection shall not be construed
to be an acknowledgment by the parties that the release or threatened release concerned constitutes an imminent and substantial endangerment to the public health or welfare or the environment.
Except as otherwise provided in the Federal Rules of Evidence, the participation by any party in the process under this section shall not be considered an admission of liability for
any purpose, and the fact of such participation shall not be admissible in any judicial or administrative proceeding, including a subsequent proceeding under this section. (C) STRUCTURE.—The
President may fashion a consent decree so that the entering of such decree and compliance with such decree or with any determination or agreement made pursuant to this section shall
not be considered an admission of liability for any purpose. (2) PUBLIC PARTICIPATION.— (A) FILING OF PROPOSED JUDGMENT.—At least 30 days before a final judgment is entered under paragraph
(1), the proposed judgment shall be filed with the court. (B) OPPORTUNITY FOR COMMENT.—The Attorney General shall provide an opportunity to persons who are not named as parties to the
action to comment on the proposed judgment before its entry by the court as a final judgment. The Attorney General shall consider, and file with the court, any written comments, views,
or allegations relating to the proposed judgment. The Attorney General may withdraw or withhold its consent to the proposed judgment if the comments, views, and allegations concerning
the judgment disclose facts or considerations which indicate that the proposed judgment is inappropriate, improper, or inadequate. (3) 104(b) AGREEMENTS.—Whenever the President enters
into an agreement under this section with any potentially responsible party with respect to action under section 104(b), the President shall issue an order or enter into a decree setting
setting forth the obligations of such party. The United States district court for the district in which the release or threatened release occurs may enforce such order or decree. (e)
SPECIAL NOTICE PROCEDURES.— (1) NOTICE.—Whenever the President determines that a period of negotiation under this subsection would facilitate an agreement with potentially responsible
parties for taking response action (including any action described in section 104(b)) and would expedite remedial action, the President shall so notify all such parties and shall provide
them with information concerning each of the following: (A) The names and addresses of potentially responsible parties (including owners and operators and other persons referred to in
section 107(a)), to the extent such information is available. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 122 SUPERFUND 610 (B) To the extent such information is available, the volume and nature of substances contributed by each potentially responsible party identified at the facility.
(C) A ranking by volume of the substances at the facility, to the extent such information is available. The President shall make the information referred to in this paragraph available
in advance of notice under this paragraph upon the request of a potentially responsible party in accordance with procedures provided by the President. The provisions of subsection (e)
of section 104 regarding protection of confidential information apply to information provided under this paragraph. Disclosure of information generated by the President under this section
to persons other than the Congress, or any duly authorized Committee thereof, is subject to other privileges or protections provided by law, including (but not limited to) those applicable
to attorney work product. Nothing contained in this paragraph or in other provisions of this Act shall be construed, interpreted, or applied to diminish the required disclosure of information
under other provisions of this or other Federal or State laws. (2) NEGOTIATION.— (A) MORATORIUM.—Except as provided in this subsection, the President may not commence action under section
104(a) or take any action under section 106 for 120 days after providing notice and information under this subsection with respect to such action. Except as provided in this subsection,
the President may not commence a remedial investigation and feasibility study under section 104(b) for 90 days after providing notice and information under this subsection with respect
to such action. The President may commence any additional studies or investigations authorized under section 104(b), including remedial design, during the negotiation period. (B) PROPOSALS.—Persons
receiving notice and information under paragraph (1) of this subsection with respect to action under section 106 shall have 60 days from the date of receipt of such such notice to make
a proposal to the President for undertaking or financing the action under section 106. Persons receiving notice and information under paragraph (1) of this subsection with respect to
action under section 104(b) shall have 60 days from the date of receipt of such notice to make a proposal to the President for undertaking or financing the action under section 104(b).
(C) ADDITIONAL PARTIES.—If an additional potentially responsible party is identified during the negotiation period or after an agreement has been entered into under this subsection concerning
a release or threatened release, the President may bring the additional party into the negotiation or enter into a separate agreement with such party. (3) PRELIMINARY ALLOCATION OF RESPONSIBILITY.—
(A) IN GENERAL.—The President shall develop guidelines for preparing nonbinding preliminary allocations of responsibility. In developing these guidelines the President Q:\COMP\ENVIR2\CERCLA
December 31, 2002
611 SUPERFUND Sec. 122 may include such factors as the President considers relevant, such as: volume, toxicity, mobility, strength of evidence, ability to pay, litigative risks, public
interest considerations, precedential value, and inequities and aggravating factors. When it would expedite settlements under this section and remedial action, the President may, after
completion of the remedial investigation and feasibility study, provide a nonbinding preliminary allocation of responsibility which allocates percentages of the total cost of response
among potentially responsible parties at the facility. (B) COLLECTION OF INFORMATION.—To collect information necessary or appropriate for performing the allocation under subparagraph
(A) or for otherwise implementing this section, the President may by subpoena require the attendance and testimony of witnesses and the production of reports, papers, documents, answers
to questions, and other information that the President deems necessary. Witnesses shall be paid the the same fees and mileage that are paid witnesses in the courts of the United States.
In the event of contumacy or failure or refusal of any person to obey any such subpoena, any district court of the United States in which venue is proper shall have jurisdiction to order
any such person to comply with such subpoena. Any failure to obey such an order of the court is punishable by the court as a contempt thereof. (C) EFFECT.—The nonbinding preliminary
allocation of responsibility shall not be admissible as evidence in any proceeding, and no court shall have jurisdiction to review the nonbinding preliminary allocation of responsibility.
The nonbinding preliminary allocation of responsibility shall not constitute an apportionment or other statement on the divisibility of harm or causation. (D) COSTS.—The costs incurred
by the President in producing the nonbinding preliminary allocation of responsibility shall be reimbursed by the potentially responsible parties whose offer is accepted by the President.
Where an offer under this section is not accepted, such costs shall be considered costs of response. (E) DECISION TO REJECT OFFER.—Where the President, in his discretion, has provided
a nonbinding preliminary allocation of responsibility and the potentially responsible parties have made a substantial offer providing for response to the President which he rejects,
the reasons for the rejection shall be provided in a written explanation. The President’s decision to reject such an offer shall not be subject to judicial review. (4) FAILURE TO PROPOSE.—If
the President determines that a good faith proposal for undertaking or financing action under section 106 has not been submitted within 60 days of the provision of notice pursuant to
this subsection, the President may thereafter commence action under section 104(a) or take an action against any person under section 106 of this Act. If the President determines that
a good faith proposal for under-Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 122 SUPERFUND 612 taking or financing action under section 104(b) has not been submitted within 60 days after the provision of notice pursuant to this subsection, the President
may thereafter commence action under section 104(b). (5) SIGNIFICANT THREATS.—Nothing in this subsection shall limit the President’s authority to undertake response or enforcement action
regarding a significant threat to public health or the environment within the negotiation period established by this subsection. (6) INCONSISTENT RESPONSE ACTION.—When either the President,
or a potentially responsible party pursuant to an administrative order or consent decree under this Act, has initiated a remedial investigation and feasibility study for a particular
facility under this Act, no potentially responsible party may undertake any remedial action at the facility unless such remedial action has been authorized by the President. (f) COVENANT
NOT TO SUE.— (1) DISCRETIONARY COVENANTS.—The President may, in his discretion, provide any person with a covenant not to sue concerning any liability to the United States under this
Act, including future liability, resulting from a release or threatened release of a hazardous substance addressed by a remedial action, whether that action is onsite or offsite, if
each of the following conditions is met: (A) The covenant not to sue is in the public interest. (B) The covenant not to sue would expedite response action consistent with the National
Contingency Plan under section 105 of this Act. (C) The person is in full compliance with a consent decree under section 106 (including a consent decree entered into in accordance with
this section) for response to the release or threatened release concerned. (D) The response action has been approved by the President. (2) SPECIAL COVENANTS NOT TO SUE.—In the case of
any person to whom the President is authorized under paragraph (1) of this subsection to provide a covenant not to sue, for the portion of remedial action— (A) which involves the transport
and secure disposition offsite of hazardous substances in a facility meeting the requirements of sections 3004 (c), (d), (e), (f), (g), (m), (o), (p), (u), and (v) and 3005(c) of the
Solid Waste Disposal Act, where the President has rejected a proposed remedial action that is consistent with the National Contingency Plan that does not include such offsite disposition
and has thereafter required offsite disposition; or (B) which involves the treatment of hazardous substances so as to destroy, eliminate, or permanently immobilize the hazardous constituents
of such substances, such that, in the judgment of the President, the substances no longer present any current or currently foreseeable future significant risk to public health, welfare
or the environment, no byproduct of the treatment or destruction process presents any significant hazard to public health, welfare or Q:\COMP\ENVIR2\CERCLA December 31, 2002
613 SUPERFUND Sec. 122 the environment, and all byproducts are themselves treated, destroyed, or contained in a manner which assures that such byproducts do not present any current or
currently foreseeable future significant risk to public health, welfare or the environment, the President shall provide such person with a covenant not to sue with respect to future
liability to the United States under this Act for a future release or threatened release of hazardous substances from such facility, and a person provided such covenant not to sue shall
not be liable to the United States under section 106 or 107 with respect to such release or threatened release at a future time. (3) REQUIREMENT THAT REMEDIAL ACTION BE COMPLETED.— A
covenant not to sue concerning future liability to the United States shall not take effect until the President certifies that remedial action has been completed in accordance with the
requirements of this Act at the facility that is the subject of such covenant. (4) FACTORS.—In assessing the appropriateness of a covenant not to sue under paragraph (1) and any condition
to be included in a covenant not to sue under paragraph (1) or (2), the President shall consider whether the covenant or condition is in the public interest on the basis of such factors
as the following: (A) The effectiveness and reliability of the remedy, in light of the other alternative remedies considered for the facility concerned. (B) The nature of the risks remaining
at the facility. (C) The extent to which performance standards are included in the order or decree. (D) The extent to which the response action provides a complete remedy for the facility,
including a reduction in the hazardous nature of the substances at the facility. (E) The extent to which the technology used in the response action is demonstrated to be effective. (F)
Whether the Fund or other sources of funding would be available for any additional remedial actions that might eventually be necessary at the facility. (G) Whether the remedial action
will be carried out, in whole or in significant part, by the responsible parties themselves. (5) SATISFACTORY PERFORMANCE.—Any covenant not to sue under this subsection shall be subject
to the satisfactory performance by such party of its obligations under the agreement concerned. (6) ADDITIONAL CONDITION FOR FUTURE LIABILITY.—(A) Except for the portion of the remedial
action which is subject to a covenant not to sue under paragraph (2) or under subsection (g) (relating to de minimis settlements), a covenant not to sue a person concerning future liability
to the United States shall include an exception to the covenant that allows the President to sue such person concerning future liability resulting from the release or threatened release
that is the subject of the covenant where such liability arises out of conditions which are Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 122 SUPERFUND 614 unknown at the time the President certifies under paragraph (3) that remedial action has been completed at the facility concerned. (B) In extraordinary circumstances,
the President may determine, after assessment of relevant factors such as those referred to in paragraph (4) and volume, toxicity, mobility, strength of evidence, ability to pay, litigative
risks, public interest considerations, precedential value, and inequities and aggravating factors, not to include the exception referred to in subparagraph (A) if other terms, conditions,
or requirements of the agreement containing the covenant not to sue are sufficient to provide all reasonable assurances that public health and the environment will be protected from
any future releases at or from the facility. (C) The President is authorized to include any provisions allowing future enforcement action under section 106 or 107 that in the discretion
of the President are necessary and appropriate to assure protection of public health, welfare, and the environment. (g) DE MINIMIS SETTLEMENTS.— (1) EXPEDITED FINAL SETTLEMENT.—Whenever
practicable and in the public interest, as determined by the President, the President shall as promptly as possible reach a final settlement with a potentially responsible party in an
administrative or civil action under section 106 or 107 if such settlement involves only a minor portion of the response costs at the facility concerned and, in the judgment of the President,
the conditions in either of the following subparagraph (A) or (B) are met: (A) Both of the following are minimal in comparison to other hazardous substances at the facility: (i) The
amount of the hazardous substances contributed by that party to the facility. (ii) The toxic or other hazardous effects of the substances contributed by that party to the facility. (B)
The potentially responsible party— (i) is the owner of the real property on or in which the facility is located; (ii) did not conduct or permit the generation, transportation, storage,
treatment, or disposal of any hazardous substance at the facility; and (iii) did not contribute to the release or threat of release of a hazardous substance at the facility through any
action or omission. This subparagraph (B) does not apply if the potentially responsible party purchased the real property with actual or constructive knowledge that the property was
used for the generation, transportation, storage, treatment, or disposal of any hazardous substance. (2) COVENANT NOT TO SUE.—The President may provide a covenant not to sue with respect
to the facility concerned to any party who has entered into a settlement under this subsection unless such a covenant would be inconsistent with the public interest as determined under
subsection (f). Q:\COMP\ENVIR2\CERCLA December 31, 2002
615 SUPERFUND Sec. 122 (3) EXPEDITED AGREEMENT.—The President shall reach any such settlement or grant any such covenant not to sue as soon as possible after the President has available
the information necessary to reach such a settlement or grant such a covenant. (4) CONSENT DECREE OR ADMINISTRATIVE ORDER.—A settlement under this subsection shall be entered as a consent
decree or embodied in an administrative order setting forth the terms of the settlement. In the case of any facility where the total response costs exceed $500,000 (excluding interest),
if the settlement is embodied as an administrative order, the order may be issued only with the prior written approval of the Attorney General. If the Attorney General or his designee
has not approved or disapproved the order within 30 days of this referral, the order shall be deemed to be approved unless the Attorney General and the Administrator have agreed to extend
the time. The district court for the district in which the release or threatened release
occurs may enforce any such administrative order. (5) EFFECT OF AGREEMENT.—A party who has resolved its liability to the United States under this subsection shall not be liable for claims
for contribution regarding matters addressed in the settlement. Such settlement does not discharge any of the other potentially responsible parties unless its terms so provide, but it
reduces the potential liability of the others by the amount of the settlement. (6) SETTLEMENTS WITH OTHER POTENTIALLY RESPONSIBLE PARTIES.—Nothing in this subsection shall be construed
to affect the authority of the President to reach settlements with other potentially responsible parties under this Act. (7) REDUCTION IN SETTLEMENT AMOUNT BASED ON LIMITED ABILITY TO
PAY.— (A) IN GENERAL.—The condition for settlement under this paragraph is that the potentially responsible party is a person who demonstrates to the President an inability or a limited
ability to pay response costs. (B) CONSIDERATIONS.—In determining whether or not a demonstration is made under subparagraph (A) by a person, the President shall take into consideration
the ability of the person to pay response costs and still maintain its basic business operations, including consideration of the overall financial condition of the person and demonstrable
constraints on the ability of the person to raise revenues. (C) INFORMATION.—A person requesting settlement under this paragraph shall promptly provide the President with all relevant
information needed to determine the ability of the person to pay response costs. (D) ALTERNATIVE PAYMENT METHODS.—If the President determines that a person is unable to pay its total
settlement amount at the time of settlement, the President shall consider such alternative payment methods as may be necessary or appropriate. (8) ADDITIONAL CONDITIONS FOR EXPEDITED
SETTLEMENTS.— Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 122 SUPERFUND 616 (A) WAIVER OF CLAIMS.—The President shall require, as a condition for settlement under this subsection, that a potentially responsible party waive all of the claims
(including a claim for contribution under this Act) that the party may have against other potentially responsible parties for response costs incurred with respect to the facility, unless
the President determines that requiring a waiver would be unjust. (B) FAILURE TO COMPLY.—The President may decline to offer a settlement to a potentially responsible party under this
subsection if the President determines that the potentially responsible party has failed to comply with any request for access or information or an administrative subpoena issued by
the President under this Act or has impeded or is impeding, through action or inaction, the performance of a response action with respect to the facility. (C) RESPONSIBILITY TO PROVIDE
INFORMATION AND ACCESS.—A potentially responsible party that enters into a settlement under this subsection shall not be relieved of the responsibility to provide any information or
access requested in accordance with subsection (e)(3)(B) or section 104(e). (9) BASIS OF DETERMINATION.—If the President determines that a potentially responsible party is not eligible
for settlement under this subsection, the President shall provide the reasons for the determination in writing to the potentially responsible party that requested a settlement under
this subsection. (10) NOTIFICATION.—As soon as practicable after receipt of sufficient information to make a determination, the President shall notify any person that the President determines
is eligible under paragraph (1) of the person’s eligibility for an expedited settlement. (11) NO JUDICIAL REVIEW.—A determination by the President under paragraph (7), (8), (9), or (10)
shall not be subject to judicial review. (12) NOTICE OF SETTLEMENT.—After a settlement under this subsection becomes final with respect to a facility, the President shall promptly notify
potentially responsible parties at the facility that have not resolved their liability to the United States of the settlement. (h) COST RECOVERY SETTLEMENT AUTHORITY.— (1) AUTHORITY
TO SETTLE.—The head of any department or agency with authority to undertake a response action under this Act pursuant to the national contingency plan may consider, compromise, and settle
a claim under section 107 for costs incurred by the United States Government if the claim has not been referred to the Department of Justice for further action. In the case of any facility
where the total response costs exceed $500,000 (excluding interest), any claim referred to in the preceding sentence may be compromised and settled only with the prior written approval
of the Attorney General. (2) USE OF ARBITRATION.—Arbitration in accordance with regulations promulgated under this subsection may be used as Q:\COMP\ENVIR2\CERCLA December 31, 2002
617 SUPERFUND Sec. 122 a method of settling claims of the United States where the total response costs for the facility concerned do not exceed $500,000 (excluding interest). After consultation
with the Attorney General, the department or agency head may establish and publish regulations for the use of arbitration or settlement under this subsection. (3) RECOVERY OF CLAIMS.—If
any person fails to pay a claim that has been settled under this subsection, the department or agency head shall request the Attorney General to bring a civil action in an appropriate
district court to recover the amount of such claim, plus costs, attorneys’ fees, and interest from the date of the settlement. In such an action, the terms of the settlement shall not
be subject to review. (4) CLAIMS FOR CONTRIBUTION.—A person who has resolved its liability to the United States under this subsection shall not be liable for claims for contribution
regarding matters addressed in the settlement. Such settlement shall not discharge any of the other potentially liable persons unless its terms so provide, but it reduces the potential
liability of the others by the amount of the settlement. (i) SETTLEMENT PROCEDURES.— (1) PUBLICATION IN FEDERAL REGISTER.—At least 30 days before any settlement (including any settlement
arrived at through arbitration) may become final under subsection (h), or under subsection (g) in the case of a settlement embodied in an administrative order, the head of the department
or agency which has jurisdiction over the proposed settlement shall publish in the Federal Register notice of the proposed settlement. The notice shall identify the facility concerned
and the parties to the proposed settlement. (2) COMMENT PERIOD.—For a 30-day period beginning on the date of publication of notice under paragraph (1) of a proposed settlement, the head
of the department or agency which has jurisdiction over the proposed settlement shall provide an opportunity for persons who are not parties to the proposed settlement to file written
comments relating to the proposed settlement. (3) CONSIDERATION OF COMMENTS.—The head of the department or agency shall consider any comments filed under paragraph (2) in determining
whether or not to consent to the proposed settlement and may withdraw or withhold consent to the proposed settlement if such comments disclose facts or considerations which indicate
the proposed settlement is inappropriate, improper, or inadequate. (j) NATURAL RESOURCES.— (1) NOTIFICATION OF TRUSTEE.—Where a release or threatened release of any hazardous substance
that is the subject of negotiations under this section may have resulted in damages to natural resources under the trusteeship of the United States, the President shall notify the Federal
natural resource trustee of the negotiations and shall encourage the participation of such trustee in the negotiations. (2) COVENANT NOT TO SUE.—An agreement under this section may contain
a covenant not to sue under section Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 123 SUPERFUND 618 107(a)(4)(C) for damages to natural resources under the trusteeship of the United States resulting from the release or threatened release of hazardous substances
that is the subject of the agreement, but only if the Federal natural resource trustee has agreed in writing to such covenant. The Federal natural resource trustee may agree to such
covenant if the potentially responsible party agrees to undertake appropriate actions necessary to protect and restore the natural resources damaged by such release or threatened release
of hazardous substances. (k) SECTION NOT APPLICABLE TO VESSELS.—The provisions of this section shall not apply to releases from a vessel. (l) CIVIL PENALTIES.—A potentially responsible
party which is a party to an administrative order or consent decree entered pursuant to an agreement under this section or section 120 (relating to Federal facilities) or which is a
party to an agreement under section 120 and which fails or refuses to comply with any term or condition of the order, decree or agreement shall be subject to a civil penalty in accordance
with section 109. (m) APPLICABILITY OF GENERAL PRINCIPLES OF LAW.—In the case of consent decrees and other settlements under this section (including covenants not to sue), no provision
of this Act shall be construed to preclude or otherwise affect the applicability of general principles of law regarding the setting aside or modification of consent decrees or other
settlements. [42 U.S.C. 9622] SEC. 123. REIMBURSEMENT TO LOCAL GOVERNMENTS. (a) APPLICATION.—Any general purpose unit of local government for a political subdivision which is affected
by a release or threatened release at any facility may apply to the President for reimbursement under this section. (b) REIMBURSEMENT.— (1) TEMPORARY EMERGENCY MEASURES.—The President
is authorized to reimburse local community authorities for expenses incurred (before or after the enactment of the Superfund Amendments and Reauthorization Act of 1986) in carrying out
temporary emergency measures necessary to prevent or mitigate injury to human health or the environment associated with the release or threatened release of any hazardous substance or
pollutant or contaminant. Such measures may include, where appropriate, security fencing to limit access, response to fires and explosions, and other measures which require immediate
response at the local level. (2) LOCAL FUNDS NOT SUPPLANTED.—Reimbursement under this section shall not supplant local funds normally provided for response. (c) AMOUNT.—The amount of
any reimbursement to any local authority under subsection (b)(1) may not exceed $25,000 for a single response. The reimbursement under this section with respect to a single facility
shall be limited to the units of local government having jurisdiction over the political subdivision in which the facility is located. Q:\COMP\ENVIR2\CERCLA December 31, 2002
619 SUPERFUND Sec. 125 (d) PROCEDURE.—Reimbursements authorized pursuant to this section shall be in accordance with rules promulgated by the Administrator within one year after the
enactment of the Superfund Amendments and Reauthorization Act of 1986. [42 U.S.C. 9623] SEC. 124. METHANE RECOVERY. (a) IN GENERAL.—In the case of a facility at which equipment for the
recovery or processing (including recirculation of condensate) of methane has been installed, for purposes of this Act: (1) The owner or operator of such equipment shall not be considered
an ‘‘owner or operator’’, as defined in section 101(20), with respect to such facility. (2) The owner or operator of such equipment shall not be considered to have arranged for disposal
or treatment of any hazardous substance at such facility pursuant to section 107 of this Act. (3) The owner or operator of such equipment shall not be subject to any action under section
106 with respect to such facility. (b) EXCEPTIONS.—Subsection (a) does not apply with respect to a release or threatened release of a hazardous substance from a facility described in
subsection (a) if either of the following circumstances exist: (1) The release or threatened release was primarily caused by activities of the owner or operator of the equipment described
in subsection (a). (2) The owner or operator of such equipment would be covered by paragraph (1), (2), (3), or (4) of subsection (a) of section 107 with respect to such release or threatened
release if he were not the owner or operator of such equipment. In the case of any release or threatened release referred to in paragraph (1), the owner or operator of the equipment
described in subsection (a) shall be liable under this Act only for costs or damages primarily caused by the activities of such owner or operator. [42 U.S.C. 9624] SEC. 125. SECTION
3001(b)(3)(A)(i) WASTE. (a) REVISION OF HAZARD RANKING SYSTEM.—This section shall apply only to facilities which are not included or proposed for inclusion on the National Priorities
List and and which contain substantial volumes of waste described in section 3001(b)(3)(A)(i) of the Solid Waste Disposal Act. As expeditiously as practicable, the President shall revise
the hazard ranking system in effect under the National Contingency Plan with respect to such facilities in a manner which assures appropriate consideration of each of the following site-specific
characteristics of such facilities: (1) The quantity, toxicity, and concentrations of hazardous constituents which are present in such waste and a comparison thereof with other wastes.
(2) The extent of, and potential for, release of such hazardous constituents into the environment. (3) The degree of risk to human health and the environment posed by such constituents.
Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 126 SUPERFUND 620 (b) INCLUSION PROHIBITED.—Until the hazard ranking system is revised as required by this section, the President may not include on the National Priorities List
any facility which contains substantial volumes of waste described in section 3001(b)(3)(A)(i) of the Solid Waste Disposal Act on the basis of an evaluation made principally on the volume
of such waste and not on the concentrations of the hazardous constituents of such waste. Nothing in this section shall be construed to affect the President’s authority to include any
such facility on the National Priorities List based on the presence of other substances at such facility or to exercise any other authority of this Act with respect to such other substances.
[42 U.S.C. 9625] SEC. 126. INDIAN TRIBES. (a) TREATMENT GENERALLY.—The governing body of an Indian tribe shall be afforded substantially the same treatment as a State with respect to
the provisions of section 103(a) (regarding notification of releases), section 104(c)(2) (regarding consultation on remedial actions), section 104(e) (regarding access to information),
section 104(i) (regarding health authorities) and section 105 (regarding roles and responsibilities under the national contingency plan and submittal of priorities for remedial action,
but not including the provision regarding the inclusion of at least one facility per State on the National Priorities List). (b) COMMUNITY RELOCATION.—Should the President determine
that proper remedial action is the permanent relocation of tribal members away from a contaminated site because it is cost effective and necessary to protect their health and welfare,
such finding must be concurred in by the affected tribal government before relocation shall occur. The President, in cooperation with the Secretary of the Interior, shall also assure
that all benefits of the relocation program are provided to the affected tribe and that alternative land of equivalent value is available and satisfactory to the tribe. Any lands acquired
for relocation of tribal members shall be held in trust by the United States for the benefit of the tribe. (c) STUDY.—The President shall conduct a survey, in consultation with the Indian
tribes, to determine the extent of hazardous waste sites on Indian lands. Such survey shall be included within a report which shall make recommendations on the program needs of tribes
under this Act, with particular emphasis on how tribal participation in the administration of such programs can be maximized. Such report shall be submitted to Congress along with the
President’s budget request for fiscal year 1988. (d) LIMITATION.—Notwithstanding any other provision of this Act, no action under this Act by an Indian tribe shall be barred until the
later of the following: (1) The applicable period of limitations has expired. (2) 2 years after the United States, in its capacity as trustee for the tribe, gives written notice to the
governing body of the tribe that it will not present a claim or commence an action on behalf of the tribe or or fails to present a claim or commence an action within the time limitations
specified in this Act. [42 U.S.C. 9626] Q:\COMP\ENVIR2\CERCLA December 31, 2002
621 SUPERFUND Sec. 127 SEC. 127. RECYCLING TRANSACTIONS. (a) LIABILITY CLARIFICATION.— (1) As provided in subsections (b), (c), (d), and (e), a person who arranged for recycling of recyclable
material shall not be liable under sections 107(a)(3) and 107(a)(4) with respect to such material. (2) A determination whether or not any person shall be liable under section 107(a)(3)
or section 107(a)(4) for any material that is not a recyclable material as that term is used in subsections (b) and (c), (d), or (e) of this section shall be made, without regard to
subsections (b), (c), (d), or (e) of this section. (b) RECYCLABLE MATERIAL DEFINED.—For purposes of this section, the term ‘‘recyclable material’’ means scrap paper, scrap plastic, scrap
glass, scrap textiles, scrap rubber (other than whole tires), scrap metal, or spent lead-acid, spent nickel-cadmium, and other spent batteries, as well as minor amounts of material incident
to or adhering to the scrap material as a result of its normal and customary use prior prior to becoming scrap; except that such term shall not include— (1) shipping containers of a
capacity from 30 liters to 3,000 liters, whether intact or not, having any hazardous substance (but not metal bits and pieces or hazardous substance that form an integral part of the
container) contained in or adhering thereto; or (2) any item of material that contained polychlorinated biphenyls at a concentration in excess of 50 parts per million or any new standard
promulgated pursuant to applicable Federal laws. (c) TRANSACTIONS INVOLVING SCRAP PAPER, PLASTIC, GLASS, TEXTILES, OR RUBBER.—Transactions involving scrap paper, scrap plastic, scrap
glass, scrap textiles, or scrap rubber (other than whole tires) shall be deemed to be arranging for recycling if the person who arranged for the transaction (by selling recyclable material
or otherwise arranging for the recycling of recyclable material) can demonstrate by a preponderance of the evidence that all of the following criteria were met at the time of the transaction:
(1) The recyclable material met a commercial specification grade. (2) A market existed for the recyclable material. (3) A substantial portion of the recyclable material was made available
for use as feedstock for the manufacture of a new saleable product. (4) The recyclable material could have been a replacement or substitute for a virgin raw material, or the product
to be made from the recyclable material could have been a replacement or substitute for a product made, in whole or in part, from a virgin raw material. (5) For transactions occurring
90 days or more after the date of enactment of this section, the person exercised reasonable care to determine that the facility where the recyclable material was handled, processed,
reclaimed, or otherwise managed by another person (hereinafter in this section referred to as a ‘‘consuming facility’’) was in compliance with substantive (not procedural or administrative)
provisions of any Federal, Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 127 SUPERFUND 622 State, or local environmental law or regulation, or compliance order or decree issued pursuant thereto, applicable to the handling, processing, reclamation, storage,
or other management activities associated with recyclable material. (6) For purposes of this subsection, ‘‘reasonable care’’ shall be determined using criteria that include (but are
not limited to)— (A) the price paid in the recycling transaction; (B) the ability of the person to detect the nature of the consuming facility’s operations concerning its handling, processing,
reclamation, or other management activities associated with recyclable material; and (C) the result of inquiries made to the appropriate Federal, State, or local environmental agency
(or agencies) regarding the consuming facility’s past and current compliance with substantive (not procedural or administrative) provisions of any Federal, State, or local environmental
law or regulation, or compliance order or decree issued pursuant thereto, applicable to the handling, processing, reclamation, storage, or other management activities associated with
the recyclable material. For the purposes of this paragraph, a requirement to obtain a permit applicable to the handling, processing, reclamation, or other management activity associated
with the recyclable materials shall be deemed to be a substantive provision. (d) TRANSACTIONS INVOLVING SCRAP METAL.— (1) Transactions involving scrap metal shall be deemed to be arranging
for recycling if the person who arranged for the transaction (by selling recyclable material or otherwise arranging for the recycling of recyclable material) can demonstrate by a preponderance
of the evidence that at the time of the transaction— (A) the person met the criteria set forth in subsection (c) with respect to the scrap metal; (B) the person was in compliance with
any applicable regulations or standards regarding the storage, transport, management, or other activities associated with the recycling of scrap metal that the Administrator promulgates
under the Solid Waste Disposal Act subsequent to the enactment of this section and with regard to transactions occurring after the effective date of such regulations or standards; and
(C) the person did not melt the scrap metal prior to the transaction. (2) For purposes of paragraph (1)(C), melting of scrap metal does not include the thermal separation of 2 or more
materials due to differences in their melting points (referred to as ‘‘sweating’’). (3) For purposes of this subsection, the term ‘‘scrap metal’’ means bits and pieces of metal parts
(e.g., bars, turnings, rods, sheets, wire) or metal pieces that may be combined together with bolts or soldering (e.g., radiators, scrap automobiles, railroad box cars), which when worn
or superfluous can be recy-Q:\COMP\ENVIR2\CERCLA December 31, 2002
623 SUPERFUND Sec. 127 cled, except for scrap metals that the Administrator excludes from this definition by regulation. (e) TRANSACTIONS INVOLVING BATTERIES.—Transactions involving
spent lead-acid batteries, spent nickel-cadmium batteries, or other spent batteries shall be deemed to be arranging for recycling if the person who arranged for the transaction (by selling
recyclable material or otherwise arranging for the recycling of recyclable material) can demonstrate by a preponderance of the evidence that at the time of the transaction— (1) the person
met the criteria set forth in subsection (c) with respect to the spent lead-acid batteries, spent nickel-cadmium batteries, or other spent batteries, but the person did not recover the
valuable components of such batteries; and (2)(A) with respect to transactions involving lead-acid batteries, the person was in compliance with applicable Federal environmental regulations
or standards, and any amendments thereto, regarding the storage, transport, management, or other activities associated with the recycling of spent lead-acid batteries; (B) with respect
to transactions involving nickel-cadmium batteries, Federal environmental regulations or standards are in effect regarding the storage, transport, management, or other activities associated
with the recycling of spent nickelcadmium batteries, and the person was in compliance with applicable regulations or standards or any amendments thereto; or (C) with respect to transactions
involving other spent batteries, Federal environmental regulations or standards are in effect regarding the storage, transport, management, or other activities associated with the recycling
of such batteries, and the person was in compliance with applicable regulations or standards or any amendments thereto. (f) EXCLUSIONS.— (1) The exemptions set forth in subsections (c),
(d), and (e) shall not apply if— (A) the person had an objectively reasonable basis to believe at the time of the recycling transaction— (i) that the recyclable material would not be
recycled;(ii) that the recyclable material would be burned as fuel, or for energy recovery or incineration; or (iii) for transactions occurring before 90 days after the date of the enactment
of this section, that the consuming facility was not in compliance with a substantive (not procedural or administrative) provision of any Federal, State, or local environmental law or
regulation, or compliance order or decree issued pursuant thereto, applicable to the handling, processing, reclamation, or other management activities associated with the recyclable
material; (B) the person had reason to believe that hazardous substances had been added to the recyclable material for purposes other than processing for recycling; or Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 127 SUPERFUND 624 (C) the person failed to exercise reasonable care with respect to the management and handling of the recyclable material (including adhering to customary industry
practices current at the time of the recycling transaction designed to minimize, through source control, contamination of the recyclable material by hazardous substances). (2) For purposes
of this subsection, an objectively reasonable basis for belief shall be determined using criteria that include (but are not limited to) the size of the person’s business, customary industry
practices (including customary industry practices current at the time of the recycling transaction designed to minimize, through source control, contamination of the recyclable material
by hazardous substances), the price paid in the recycling transaction, and the ability of the person to detect the nature of the consuming facility’s operations concerning its handling,
processing, reclamation, or other management activities associated with the recyclable material. (3) For purposes of this subsection, a requirement to obtain a permit applicable to the
handling, processing, reclamation, or other management activities associated with recyclable material shall be deemed to be a substantive provision. (g) EFFECT ON OTHER LIABILITY.—Nothing
in this section shall be deemed to affect the liability of a person under paragraph (1) or (2) of section 107(a). (h) REGULATIONS.—The Administrator has the authority, under section
115, to promulgate additional regulations concerning this section. (i) EFFECT ON PENDING OR CONCLUDED ACTIONS.—The exemptions provided in this section shall not affect any concluded
judicial or administrative action or any pending judicial action initiated by the United States prior to enactment of this section. (j) LIABILITY FOR ATTORNEY’S FEES FOR CERTAIN ACTIONS.—
Any person who commences an action in contribution against a person who is not liable by operation of this section shall be liable to that person for all reasonable costs of defending
defending that action, including all reasonable attorney’s and expert witness fees. (k) RELATIONSHIP TO LIABILITY UNDER OTHER LAWS.—Nothing in this section shall affect— (1) liability
under any other Federal, State, or local statute or regulation promulgated pursuant to any such statute, including any requirements promulgated by the Administrator under the Solid Waste
Disposal Act; or (2) the ability of the Administrator to promulgate regulations under any other statute, including the Solid Waste Disposal Act. (l) LIMITATION ON STATUTORY CONSTRUCTION.—Nothing
in this section shall be construed to— (1) affect any defenses or liabilities of any person to whom subsection (a)(1) does not apply; or (2) create any presumption of liability against
any person to whom subsection (a)(1) does not apply. [42 U.S.C. 9627] Q:\COMP\ENVIR2\CERCLA December 31, 2002
625 SUPERFUND Sec. 128 SEC. 128. STATE RESPONSE PROGRAMS. (a) ASSISTANCE TO STATES.— (1) IN GENERAL.— (A) STATES.—The Administrator may award a grant to a State or Indian tribe that—
(i) has
a response program that includes each of the elements, or is taking reasonable steps to include each of the elements, listed in paragraph (2); or (ii) is a party to a memorandum of agreement
with the Administrator for voluntary response programs. (B) USE OF GRANTS BY STATES.— (i) IN GENERAL.—A State or Indian tribe may use a grant under this subsection to establish or enhance
the response program of the State or Indian tribe. (ii) ADDITIONAL USES.—In addition to the uses under clause (i), a State or Indian tribe may use a grant under this subsection to— (I)
capitalize a revolving loan fund for brownfield remediation under section 104(k)(3); or (II) purchase insurance or develop a risk sharing pool, an indemnity pool, or insurance mechanism
to provide financing for response actions under a State response program. (2) ELEMENTS.—The elements of a State or Indian tribe response program referred to in paragraph (1)(A)(i) are
the following: (A) Timely survey and inventory of brownfield sites in the State. (B) Oversight and enforcement authorities or other mechanisms, and resources, that are adequate to ensure
that— (i) a response action will— (I) protect human health and the environment; and (II) be conducted in accordance with applicable Federal and State law; and (ii) if the person conducting
the response action fails to complete the necessary response activities, including operation and maintenance or long-term monitoring activities, the necessary response activities are
completed. (C) Mechanisms and resources to provide meaningful opportunities for public participation, including— (i) public access to documents that the State, Indian tribe, or party
conducting the cleanup is relying on or developing in making cleanup decisions or conducting site activities; (ii) prior notice and opportunity for comment on proposed cleanup plans
and site activities; and (iii) a mechanism by which— (I) a person that is or may be affected by a release or threatened release of a hazardous substance, pollutant, or contaminant at
a brownfield Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 128 SUPERFUND 626 site located in the community in which the person works or resides may request the conduct of a site assessment; and (II) an appropriate State official shall consider
and appropriately respond to a request under subclause (I). (D) Mechanisms for approval of a cleanup plan, and a requirement for verification by and certification or similar documentation
from the State, an Indian tribe, or a licensed site professional to the person conducting a response action indicating that the response is complete. (3) FUNDING.—There is authorized
to be appropriated to carry out this subsection $50,000,000 for each of fiscal years 2002 through 2006. (b) ENFORCEMENT IN CASES OF A RELEASE SUBJECT TO STATE PROGRAM.— (1) ENFORCEMENT.—
(A) IN GENERAL.— Except as provided in subparagraph (B) and subject to subparagraph (C), in the case of an eligible response site at which— (i) there is a release or threatened release
of a hazardous substance, pollutant, or contaminant; and (ii) a person is conducting or has completed a response action regarding the specific release that is addressed by the response
action that is in compliance with the State program that specifically governs response actions for the protection of public health and the environment, the President may not use authority
under this Act to take an administrative or judicial enforcement action under section 106(a) or to take a judicial enforcement action to recover response costs under section 107(a) against
the person regarding the specific release that is addressed by the response action. (B) EXCEPTIONS.—The President may bring an administrative or judicial enforcement action under this
Act during or after completion of a response action described in subparagraph (A) with respect to a release or threatened release at an eligible response site described in that subparagraph
if— (i) the State requests that the President provide assistance in the performance of a response action; (ii) the Administrator determines that contamination has migrated or will migrate
across a State line, resulting in the need for further response action to protect human health or the environment, or the President determines that contamination has migrated or is likely
to migrate onto property subject to the jurisdiction, custody, or control of a department, agency, or instrumentality of the United States and may impact the authorized purposes of the
Federal property; (iii) after taking into consideration the response activities already taken, the Administrator determines that— Q:\COMP\ENVIR2\CERCLA December 31, 2002
627 SUPERFUND Sec. 128 (I) a release or threatened release may present an imminent and substantial endangerment to public health or welfare or the environment; and (II) additional response
actions are likely to be necessary to address, prevent, limit, or mitigate the release or threatened release; or (iv) the Administrator, after consultation with the State, determines
that information, that on the earlier of the date on which cleanup was approved or completed, was not known by the State, as recorded in documents prepared or relied on in selecting
or conducting the cleanup, has been discovered regarding the contamination or conditions at a facility such that the contamination or conditions at the facility present a threat requiring
further remediation to protect public health or welfare or the environment. Consultation with the State shall not limit the ability of the Administrator to make this determination. (C)
PUBLIC RECORD.—The limitations on the authority of the President under subparagraph (A) apply only at sites in States that maintain, update not less than annually, and make available
to the public a record of sites, by name and location, at which response actions have been completed in the previous year and are planned to be addressed under the State program that
specifically governs response actions for the protection of public health and the environment in the upcoming year. The public record shall identify whether or not the site, on completion
of the response action, will be suitable for unrestricted use and, if not, shall identify the institutional controls relied on in the remedy. Each State and tribe receiving financial
assistance under subsection (a) shall maintain and make available to the public a record of sites as provided in this paragraph. (D) EPA NOTIFICATION.— (i) IN GENERAL.—In the case of
an eligible response site at which there is a release or threatened release of a hazardous substance, pollutant, or contaminant and for which the Administrator intends to carry out an
action that may be barred under subparagraph (A), the Administrator shall— (I) notify the State of the action the Administrator intends to take; and (II)(aa) wait 48 hours for a reply
from the State under clause (ii); or (bb) if the State fails to reply to the notification or if the Administrator makes a determination under clause (iii), take immediate action under
that clause. (ii) STATE REPLY.—Not later than 48 hours after a State receives notice from the Administrator under clause (i), the State shall notify the Administrator if— Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 128 SUPERFUND 628 (I) the release at the eligible response site is or has been subject to a cleanup conducted under a State program; and (II) the State is planning to abate the
release or threatened release, any actions that are planned. (iii) IMMEDIATE FEDERAL ACTION.—The Administrator may take action immediately after giving notification under clause (i)
without waiting for a State reply under clause (ii) if the Administrator determines that one or more exceptions under subparagraph (B) are met. (E) REPORT TO CONGRESS.—Not later than
90 days after the date of initiation of any enforcement action by the President under clause (ii), (iii), or (iv) of subparagraph (B), the President shall submit to Congress a report
describing the basis for the enforcement action, including specific references to the facts demonstrating that enforcement action is permitted under subparagraph (B). (2) SAVINGS PROVISION.—
(A) COSTS INCURRED PRIOR TO LIMITATIONS.—Nothing in paragraph (1) precludes the President from seeking to recover costs incurred prior to the date of the enactment of this section or
during a period in which the limitations of paragraph (1)(A) were not applicable. (B) EFFECT ON AGREEMENTS BETWEEN STATES AND EPA.—Nothing in paragraph (1)— (i) modifies or otherwise
affects a memorandum of agreement, memorandum of understanding, or any similar agreement relating to this Act between a State agency or an Indian tribe and the Administrator that is
in effect on or before the date of the enactment of this section (which agreement shall remain in effect, subject to the terms of the agreement); or (ii) limits the discretionary authority
of the President to enter into or modify an agreement with a State, an Indian tribe, or any other person relating to the implementation by the President of statutory authorities. (3)
EFFECTIVE DATE.—This subsection applies only to response actions conducted after February 15, 2001. (c) EFFECT ON FEDERAL LAWS.—Nothing in this section affects any liability or response
authority under any Federal law, including— (1) this Act, except as provided in subsection (b); (2) the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.); (3) the Federal Water Pollution
Control Act (33 U.S.C. 1251 et seq.); (4) the Toxic Substances Control Act (15 U.S.C. 2601 et seq.); and (5) the Safe Drinking Water Act (42 U.S.C. 300f et seq.). [42 U.S.C. 9628] Q:\COMP\ENVIR2\CERC
LA December 31, 2002
629 SUPERFUND Sec. 301 1 Subtitle A inserted a new chapter 38 (relating to environmental taxes) in the Internal Revenue Code, consisting of a subchapter A (tax on petroleum) and subchapter
B (tax on certain chemicals). However, since the enactment of CERLCA, chapter 38 has been amended extensively, most notably by title V of the Superfund Amendments and Reauthorization
Act of 1986 (P.L. 99–499) and by section 8032 of the Omnibus Budget Reconciliation Act of 1986 (P.L. 99– 509). See the Internal Revenue Code of 1986 for the current text of chapter 38.
TITLE II—HAZARDOUS SUBSTANCE RESPONSE REVENUE ACT OF 1980 SEC. 201. SHORT TITLE; AMENDMENT OF 1954 CODE. (a) SHORT TITLE.—This title may be cited as the ‘‘Hazardous Substance Response
Revenue Act of 1980’’. (b) AMENDMENT OF 1954 CODE.—Except as otherwise expressly provided, whenever in this title an amendment or repeal is expressed in terms of an amendment to, or
repeal of, a section or other provision, the reference shall be considered to be made to a section or other provision of the Internal Revenue Code of 1954. Subtitle A—Imposition of Taxes
on Petroleum and Certain Chemicals 1 * * * * * * * Subtitle B—Establishment of Hazardous Substance Response Trust Fund øRepealed by section 517(c)(1) of SARA of 1986 (P.L. 99–499)¿ Subtitle
C—Post-Closure Tax and Trust Fund øSection 231 provided a new subchapter C of chapter 38 of the Internal Revenue Code of 1954.¿ øSection 232 repealed by section 514(b) of SARA of 1986
(P.L. 99–499)¿ TITLE III—MISCELLANEOUS PROVISIONS REPORTS AND STUDIES SEC. 301. (a)(1) The President shall submit to the Congress, within four years after enactment of this Act, a comprehensive
report on experience with the implementation of this Act, including, but not limited to— (A) the extent to which the Act and Fund are effective in enabling Government to respond to and
mitigate the effects of releases of hazardous substances; (B) a summary of past receipts and disbursements from the Fund; (C) a projection of any future funding needs remaining after
after the expiration of authority to collect taxes, and of the threat to public health, welfare, and the environment posed by the projected releases which create any such needs; Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 301 SUPERFUND 630 1 So in law. Should probably have the word ‘‘and’’ after the semicolon. (D) the record and experience of the Fund in recovering Fund disbursements from liable
parties; (E) the record of State participation in the system of response, liability, and compensation established by this Act; (F) the impact of the taxes imposed by title II of this
Act on the Nation’s balance of trade with other countries; (G) an assessment of the feasibility and desirability of a schedule of taxes which would take into account one or more of the
following: the likelihood of a release of a hazardous substance, the degree of hazard and risk of harm to public health, welfare, and the environment resulting from any such release,
incentives to proper handling, recycling, incineration, and neutralization of hazardous wastes, and disincentives to improper or illegal handling or disposal of hazardous materials,
administrative and reporting burdens on Government and industry, and the extent to which the tax burden falls on the substances and parties which create the problems addressed by this
Act. In preparing the report, the President shall consult with appropriate Federal, State, and local agencies, affected industries and claimants, and such other interested parties as
he may find useful. Based upon the analyses and consultation required by this subsection, the President shall also include in the report any recommendations for legislative changes he
may deem necessary for the better effectuation of the purposes of this Act, including but not limited to recommendations concerning authorization levels, taxes, State participation,
liability and liability limits, and financial responsibility provisions for the Response Trust Fund and the Post-closure Liability Trust Fund; (H) an exemption from or an increase in
the substances or the amount of taxes imposed by section 4661 of the Internal Revenue Code of 1954 for copper, lead, and zinc oxide, and for feedstocks when used in the manufacture and
production of fertilizers, based upon the expenditure experience of the Response Trust Fund; 1 (I) the economic impact of taxing coal-derived substances and recycled metals. (2) The
Administrator of the Environmental Protection Agency (in consultation with the Secretary of the Treasury) shall submit to the Congress (i) within four years after enactment of this Act,
a report identifying additional wastes designated by rule as hazardous after the effective date of this Act and pursuant to section 3001 of the Solid Waste Disposal Act and recommendations
on appropriate tax rates for such wastes for the Post-closure Liability Trust Fund. The report shall, in addition, recommend a tax rate, considering the quantity and potential danger
to human health and the environment posed by the disposal of any wastes which the Administrator, pursuant to subsection 3001(b)(2)(B) and subsection 3001(b)(3)(A) of the Solid Waste
Disposal Act of 1980, has determined should be subject to regulation under subtitle C of such Act, (ii) within three years after enactment of this Act, a report on the necessity for
and the adequacy of the revenue raised, in relation to Q:\COMP\ENVIR2\CERCLA December 31, 2002
631 SUPERFUND Sec. 301 estimated future requirements, of the Post-closure Liability Trust Fund. (b) The President shall conduct a study to determine (1) whether adequate private insurance
protection is available on reasonable terms and conditions to the owners and operators of vessels and facilities subject to liability under section 107 of this Act, and (2) whether the
market for such insurance is sufficiently competitive to assure purchasers of features such as a reasonable range of deductibles, coinsurance provisions, and exclusions. The President
shall submit the results of his study, together with his recommendations, within two years of the date of enactment of this Act, and shall submit an interim report on his study within
one year of the date of enactment of this Act. (c)(1) The President, acting through Federal officials designated by the National Contingency Plan published under section 105 of this
Act, shall study and, not later than two years after the enactment of this Act, shall promulgate regulations for the assessment of damages for injury to, destruction of, or loss of natural
resources resulting from a release of oil or a hazardous substance for the purposes of this Act and section 311(f) (4) and (5) of the Federal Water Pollution Control Act. Notwithstanding
the failure of the President to promulgate the regulations required under this subsection on the required date, the President shall promulgate such regulations not later than 6 months
after the enactment of the Superfund Amendments and Reauthorization Act of 1986. (2) Such regulations shall specify (A) standard procedures for simplified assessments requiring minimal
field observation, including establishing measures of damages based on units of discharge or release or units of affected area, and (B) alternative protocols for conducting assessments
in individual cases to determine the type and extent of short-and long-term injury, destruction, or loss. Such regulations shall identify the best available procedures to determine such
damages, including both direct and indirect injury, destruction, or loss and shall take into consideration factors including, but not limited to, replacement value, use value, and ability
of the ecosystem or resource to recover. (3) Such regulations shall be reviewed and revised as appropriate every two years. (d) The Administrator of the Environmental Protection Agency
shall, in consultation with other Federal agencies and appropriate representatives of State and local governments and nongovernmental agencies, conduct a study and report to the Congress
within two years of the date of enactment of this Act on the issues, alternatives, and policy considerations involved in the selection of locations for hazardous waste treatment, storage,
and disposal facilities. This study shall include— (A) an assessment of current and projected treatment, storage, and disposal capacity needs and shortfalls for hazardous waste by management
category on a State-by-State basis; (B) an evaluation of the appropriateness of a regional regional approach to siting and designing hazardous waste management facilities and the identification
of hazardous waste management regions, interstate or intrastate, or both, with similar hazardous waste management needs; Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 301 SUPERFUND 632 (C) solicitation and analysis of proposals for the construction and operation of hazardous waste management facilities by nongovernmental entities, except that
no proposal solicited under terms of this subsection shall be analyzed if it involves cost to the United States Government or fails to comply with the requirements of subtitle C of the
Solid Waste Disposal Act and other applicable provisions of law; (D) recommendations on the appropriate balance between public and private sector involvement in the siting, design, and
operation of new hazardous waste management facilities; (E) documentation of the major reasons for public opposition to new hazardous waste management facilities; and (F) an evaluation
of the various options for overcoming obstacles to siting new facilities, including needed legislation for implementing the most suitable option or options. (e)(1) In order to determine
the adequacy of existing common law and statutory remedies in providing legal redress for harm to man and the environment caused by the release of hazardous substances into the environment,
there shall be submitted to the Congress a study within twelve months of enactment of this Act. (2) This study shall be conducted with the assistance of the American Bar Association,
the American Law Institute, the Association of American Trial Lawyers, and the National Association of State Attorneys General with the President of each entity selecting three members
from each organization to conduct the study. The study chairman and one reporter shall be elected from among the twelve members of the study group. (3) As part of their review of the
adequacy of existing common law and statutory remedies, the study group shall evaluate the following: (A) the nature, adequacy, and availability of existing remedies under present law
in compensating for harm to man from the release of hazardous substances; (B) the nature of barriers to recovery (particularly with respect to burdens of going forward and of proof and
relevancy) and the role such barriers play in the legal system; (C) the scope of the evidentiary burdens placed on the plaintiff in proving harm from the release of hazardous substances,
particularly in light of the scientific uncertainty over causation with respect to— (i) carcinogens, mutagens, and teratogens, and (ii) the human health effects of exposure to low doses
of hazardous substances over long periods of time; (D) the nature and adequacy of existing remedies under present law in providing compensation for damages to natural resources from
the release of hazardous substances; (E) the scope of liability under existing law and the consequences, particularly with respect to obtaining insurance, of any changes in such liability;
(F) barriers to recovery posed by existing statutes of limitations. (4) The report shall be submitted to the Congress with appropriate recommendations. Such recommendations shall explicitly
address— Q:\COMP\ENVIR2\CERCLA December 31, 2002
633 SUPERFUND Sec. 301 (A) the need for revisions in existing statutory or common law, and (B) whether such revisions should take the form of Federal statutes or the development of a
model code which is recommended for adoption by the States. (5) The Fund shall pay administrative expenses incurred for the study. No expenses shall be available to pay compensation,
except expenses on a per diem basis for the one reporter, but in no case shall the total expenses of the study exceed $300,000. (f) The President, acting through the Administrator of
the Environmental Protection Agency, the Secretary of Transportation, the Administrator of the Occupational Safety and Health Administration, and the Director of the National Institute
for Occupational Safety and Health shall study and, not later than two years after the enactment of this Act, shall modify the national contingency plan to provide for the protection
of the health and safety of employees involved in response actions. (g) INSURABILITY STUDY.— (1) STUDY BY BY COMPTROLLER GENERAL.—The Comptroller General of the United States, in consultation
with the persons described in paragraph (2), shall undertake a study to determine the insurability, and effects on the standard of care, of the liability of each of the following: (A)
Persons who generate hazardous substances: liability for costs and damages under this Act. (B) Persons who own or operate facilities: liability for costs and damages under this Act.
(C) Persons liable for injury to persons or property caused by the release of hazardous substances into the environment. (2) CONSULTATION.—In conducting the study under this subsection,
the Comptroller General shall consult with the following: (A) Representatives of the Administrator. (B) Representatives of persons described in subparagraphs (A) through (C) of the preceding
paragraph. (C) Representatives (i) of groups or organizations comprised generally of persons adversely affected by releases or threatened releases of hazardous substances and (ii) of
groups organized for protecting the interests of consumers. (D) Representatives of property and casualty insurers. (E) Representatives of reinsurers. (F) Persons responsible for the
regulation of insurance at the State level. (3) ITEMS EVALUATED.—The study under this section shall include, among other matters, an evaluation of the following: (A) Current economic
conditions in, and the future outlook for, the commercial market for insurance and reinsurance. (B) Current trends in statutory and common law remedies. (C) The impact of possible changes
in traditional standards of liability, proof, evidence, and damages on existing statutory and common law remedies. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 301 SUPERFUND 634 (D) The effect of the standard of liability and extent of the persons upon whom it is imposed under this Act on the protection of human health and the environment
and on the availability, underwriting, and pricing of insurance coverage. (E) Current trends, if any, in the judicial interpretation and construction of applicable insurance contracts,
together with the degree to which amendments in the language of such contracts and the description of the risks assumed, could affect such trends. (F) The frequency and severity of a
representative sample of claims closed during the calendar year immediately preceding the enactment of this subsection. (G) Impediments to the acquisition of insurance or other means
of obtaining liability coverage other than those referred to in the preceding subparagraphs. (H) The effects of the standards of liability and financial responsibility requirements imposed
pursuant to this Act on the cost of, and incentives for, developing and demonstrating alternative and innovative treatment technologies, as well as waste generation minimization. (4)
SUBMISSION.—The Comptroller General shall submit a report on the results of the study to Congress with appropriate recommendations within 12 months after the enactment of this subsection.
(h) REPORT AND OVERSIGHT REQUIREMENTS.— (1) ANNUAL REPORT BY EPA.—On January 1 of each year the Administrator of the Environmental Protection Agency shall submit an annual report to
Congress of such Agency on the progress achieved in implementing this Act during the preceding fiscal year. In addition such report shall specifically include each of the following:
(A) A detailed description of each feasibility study carried out at a facility under title I of this Act. (B) The status and estimated date of completion of each such study. (C) Notice
of each such study which will not meet a previously published schedule for completion and the new estimated date for completion. (D) An evaluation of newly developed feasible and achievable
permanent permanent treatment technologies. (E) Progress made in reducing the number of facilities subject to review under section 121(c). (F) A report on the status of all remedial
and enforcement actions undertaken during the prior fiscal year, including a comparison to remedial and enforcement actions undertaken in prior fiscal years. (G) An estimate of the amount
of resources, including the number of work years or personnel, which would be necessary for each department, agency, or instrumentality which is carrying out any activities of this Act
to complete the implementation of all duties vested in the department, agency, or instrumentality under this Act. Q:\COMP\ENVIR2\CERCLA December 31, 2002
635 SUPERFUND Sec. 303 1 So in law. Probably should refer to the Federal Water Pollution Control Act. (2) REVIEW BY INSPECTOR GENERAL.—Consistent with the authorities of the Inspector
General Act of 1978 the Inspector General of the Environmental Protection Agency shall review any report submitted under paragraph (1) related to EPA’s activities for reasonableness
and accuracy and submit to Congress, as a part of such report a report on the results of such review. (3) CONGRESSIONAL OVERSIGHT.—After receiving the reports under paragraphs (1) and
(2) of this subsection in any calendar year, the appropriate authorizing committees of Congress shall conduct oversight hearings to ensure that this Act is being implemented according
to the purposes of this Act and congressional intent in enacting this Act. [42 U.S.C. 9651] EFFECTIVE DATES, SAVINGS PROVISION SEC. 302. (a) Unless otherwise provided, all provisions
of this Act shall be effective on the date of enactment of this Act. (b) Any regulation issued pursuant to any provisions of section 311 of the Clean Water Act 1 which is repealed or
superseded by this Act and which is in effect on the date immediately preceding the effective date of this Act shall be deemed to be a regulation issued pursuant to the authority of
this Act and shall remain in full force and effect unless or until superseded by new regulations issued thereunder. (c) Any regulation— (1) respecting financial responsibility, (2) issued
pursuant to any provision of law repealed or superseded by this Act, and (3) in effect on the date immediately preceding the effective date of this Act shall be deemed to be a regulation
issued pursuant to
the authority of this Act and shall remain in full force and effect unless or until superseded by new regulations issued thereunder. (d) Nothing in this Act shall affect or modify in
any way the obligations or liabilities of any person under other Federal or State law, including common law, with respect to releases of hazardous substances or other pollutants or contaminants.
The provisions of this Act shall not be considered, interpreted, or construed in any way as reflecting a determination, in part or whole, of policy regarding the inapplicability of strict
liability, or strict liability doctrines, to activities relating to hazardous substances, pollutants, or contaminants or other such activities. [42 U.S.C. 9652] EXPIRATION, SUNSET PROVISION
SEC. 303. [Repealed by P.L. 99–499.] [42 U.S.C. 9653] Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 304 SUPERFUND 636 1 Subsection (k) was repealed by section 2002(b)(2) of Public Law 101–380. 2 Section 504(b) was repealed by section 304(a) of Public Law 96–510. CONFORMING AMENDMENTS
SEC. 304. (a) [Repealed subsection (b) of section 504 of the Federal Water Pollution Control Act]. (b) One-half of the unobligated balance remaining before the date of the enactment
of this Act under subsection (k) 1 of section 311 of the Federal Water Pollution Control Act and all sums appropriated under section 504(b) 2 of the Federal Water Pollution Control Act
shall be transferred to the Fund established under title II of this Act. (c) In any case in which any provision of section 311 of the Federal Water Pollution Control Act is determined
to be in conflict with any provisions of this Act, the provisions of this Act shall apply. [42 U.S.C. 9654] LEGISLATIVE VETO SEC. 305. (a) Notwithstanding any other provision of law,
simultaneously with promulgation or repromulgation of any rule or regulation under authority of title I of this Act, the head of the department, agency, or instrumentality promulgating
such rule or regulation shall transmit a copy thereof to the Secretary of the Senate and the Clerk of the House of Representatives. Except as provided in subsection (b) of this section,
the rule or regulation shall not become effective, if— (1) within ninety calendar days of continuous session of Congress after the date of promulgation, both Houses of Congress adopt
a concurrent resolution, the matter after the resolving clause of which is as follows: ‘‘That Congress disapproves the rule or regulation promulgated by the dealing with the matter of
, which rule or regulation was transmitted to Congress on .’’, the blank spaces therein being appropriately filled; or (2) within sixty calendar days of continuous session of Congress
after the date of promulgation, one House of Congress adopts such a concurrent resolution and transmits such resolution to the other House, and such resolution is not disapproved by
such other House within thirty calendar days of continuous session of Congress after such transmittal. (b) If, at the end of sixty calendar days of continuous session of Congress after
the date of promulgation of a rule or regulation, no committee of either House of Congress has reported or been discharged from further consideration of a concurrent resolution disapproving
the rule or regulation and neither House has adopted such a resolution, the rule or regulation may go into effect immediately. If, within such sixty calendar days, such a committee has
reported or been discharged from further consideration of such a resolution, or either House has adopted such a resolution, the rule or regulation may go into effect not sooner than
ninety calendar days of continuous session of Congress after such rule is prescribed unless disapproved as provided in subsection (a) of this section. Q:\COMP\ENVIR2\CERCLA December
31, 2002
637 SUPERFUND Sec. 307 1 Should refer to chapter 51 of title 49, United States Code, pursuant to section 6(b) of Public Law 103–272 (which codified certain transportation laws into title
49, U.S.C.). (c) For purposes of subsections (a) and (b) of this section— (1) continuity of session is broken only by an adjournment of Congress sine die; and (2) the days on which either
House is not in session because of an adjournment of more than three days to a day certain are excluded in the computation of thirty, sixty, and ninety calendar days of continuous session
of Congress. (d) Congressional inaction on, or rejection of, a resolution of disapproval shall not be deemed an expression of approval of such rule or regulation. [42 U.S.C. 9655] TRANSPORTATION
SEC. 306. (a) Each hazardous substance which is listed or designated as provided in section 101(14) of this Act shall, within 30 days after the enactment of the Superfund Amendments
and Reauthorization Act of 1986 or at the time of such listing or designation, whichever is later, be listed and regulated as a hazardous material under the Hazardous Materials Transportation
Act. 1 (b) A common or contract carrier shall be liable under other law in lieu of section 107 of this Act for damages or remedial action resulting from the release of a hazardous substance
during the course of transportation which commenced prior to the effective date of the listing and regulation of such substance as a hazardous material under the Hazardous Materials
Transportation Act, 1 or for substances listed pursuant to subsection (a) of this section, prior to the effective date of such listing: Provided, however, That this subsection shall
not apply where such a carrier can demonstrate that he did not have actual knowledge of the identity or nature of the substance released. (c) [Amended section 11901 of title 49, United
States Code.] [42 U.S.C. 9656] ASSISTANT ADMINISTRATOR FOR SOLID WASTE SEC. 307. (a) [Amended section 2001 of the Solid Waste Disposal Act by striking out ‘‘a Deputy Assistant’’ and
inserting in lieu thereof ‘‘an Assistant’’.] (b) The Assistant Administrator of the Environmental Protection Agency appointed to head the Office of Solid Waste shall be in addition to
the five Assistant Administrators of the Environmental Protection Agency provided for in section 1(d) of Reorganization Plan Numbered 3 of 1970 and the additional Assistant Administrator
provided by the Toxic Substances Control Act, shall be appointed by the President by and with the advice and consent of the Senate, and shall be compensated at the rate provided for
Level IV of the Executive Schedule pay rates under section 5315 of title 5, United States Code. (c) The amendment made by subsection (a) shall become effective ninety days after the
date of the enactment of this Act. [42 U.S.C. 6911a] Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 308 SUPERFUND 638 SEPARABILITY SEC. 308. If any provision of this Act, or the application of any provision of this Act to any person or circumstance, is held invalid, the application
of such provision to other persons or circumstances and the remainder of this Act shall not be affected thereby. If an administrative settlement under section 122 has the effect of limiting
any person’s right to obtain contribution from any party to such settlement, and if the effect of such limitation would constitute a taking without just compensation in violation of
the fifth amendment of the Constitution of the United States, such person shall not be entitled, under other laws of the United States, to recover compensation from the United States
for such taking, but in any such case, such limitation on the right to obtain contribution shall be treated as having no force and effect. [42 U.S.C. 9657] SEC. 309. ACTIONS UNDER STATE
LAW FOR DAMAGES FROM EXPOSURE TO HAZARDOUS SUBSTANCES. (a) STATE STATUTES OF LIMITATIONS FOR HAZARDOUS SUBSTANCE CASES.— (1) EXCEPTION TO STATE STATUTES.—In the case of any action brought
under State law for personal injury, or property damages, which are caused or contributed to by exposure to any hazardous substance, or pollutant or contaminant, released into the environment
from a facility, if the applicable limitations period for such action (as specified in the State statute of limitations or under common law) provides a commencement date which is earlier
than the federally required commencement date, such period shall commence at the federally required commencement date in lieu of the date specified in such State statute. (2) STATE LAW
GENERALLY APPLICABLE.—Except as provided in paragraph (1), the statute of limitations established under State law shall apply in all actions brought under State law for personal injury,
or property damages, which are caused or contributed to by exposure to any hazardous substance, or pollutant or contaminant, released into the environment from a facility. (3) ACTIONS
UNDER SECTION 107.—Nothing in this section shall apply with respect to any cause of action brought under section 107 of this Act. (b) DEFINITIONS.—As used in this section— (1) TITLE
I TERMS.—The terms used in this section shall have the same meaning as when used in title I of this Act. (2) APPLICABLE LIMITATIONS PERIOD.—The term ‘‘applicable limitations period’’
means the period specified in a statute of limitations during which a civil action referred to in subsection (a)(1) may be brought. (3) COMMENCEMENT DATE.—The term ‘‘commencement date’’
means the date specified in a statute of limitations as the beginning of the applicable limitations period. (4) FEDERALLY REQUIRED COMMENCEMENT DATE.— (A) IN GENERAL.—Except as provided
in subparagraph (B), the term ‘‘federally required commencement date’’ Q:\COMP\ENVIR2\CERCLA December 31, 2002
639 SUPERFUND Sec. 310 means the date the plaintiff knew (or reasonably should have known) that the personal injury or property damages referred to in subsection (a)(1) were caused or
contributed to by the hazardous substance or pollutant or contaminant concerned. (B) SPECIAL RULES.—In the case of a minor or incompetent plaintiff, the term ‘‘federally required commencement
date’’ means the later of the date referred to in subparagraph (A) or the following: (i) In the case of a minor, the date on which the minor reaches the age of majority, as determined
by State law, or has a legal representative appointed. (ii) In the case of an incompetent individual, the date on which such individual becomes competent or has had a legal representative
appointed. [42 U.S.C. 9658] SEC. 310. CITIZENS SUITS. (a) AUTHORITY TO BRING CIVIL ACTIONS.—Except as provided in subsections (d) and (e) of this section and in section 113(h) (relating
to timing of judicial review), any person may commence a civil action on his own behalf— behalf— (1) against any person (including the United States and any other governmental instrumentality
or agency, to the extent permitted by the eleventh amendment to the Constitution) who is alleged to be in violation of any standard, regulation, condition, requirement, or order which
has become effective pursuant to this Act (including any provision of an agreement under section 120, relating to Federal facilities); or (2) against the President or any other officer
of the United States (including the Administrator of the Environmental Protection Agency and the Administrator of the ATSDR) where there is alleged a failure of the President or of such
other officer to perform any act or duty under this Act, including an act or duty under section 120 (relating to Federal facilities), which is not discretionary with the President or
such other officer. Paragraph (2) shall not apply to any act or duty under the provisions of section 311 (relating to research, development, and demonstration). (b) VENUE.— (1) ACTIONS
UNDER SUBSECTION (A)(1).—Any action under subsection (a)(1) shall be brought in the district court for the district in which the alleged violation occurred. (2) ACTIONS UNDER SUBSECTION
(A)(2).—Any action brought under subsection (a)(2) may be brought in the United States District Court for the District of Columbia. (c) RELIEF.—The district court shall have jurisdiction
in actions brought under subsection (a)(1) to enforce the standard, regulation, condition, requirement, or order concerned (including any provision of an agreement under section 120),
to order such action as may be necessary to correct the violation, and to impose any civil penalty provided for the violation. The district court shall have jurisdiction in actions brought
under subsection (a)(2) to order the President or other officer to perform the act or duty concerned. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 311 SUPERFUND 640 (d) RULES APPLICABLE TO SUBSECTION (a)(1) ACTIONS.— (1) NOTICE.—No action may be commenced under subsection (a)(1) of this section before 60 days after the plaintiff
has given notice of the violation to each of the following: (A) The President. (B) The State in which the alleged violation occurs. (C) Any alleged violator of the standard, regulation,
condition, requirement, or order concerned (including any provision of an agreement under section 120). Notice under this paragraph shall be given in such manner as the President shall
prescribe by regulation. (2) DILIGENT PROSECUTION.—No action may be commenced under paragraph (1) of subsection (a) if the President has commenced and is diligently prosecuting an action
under this Act, or under the Solid Waste Disposal Act to require compliance with the standard, regulation, condition, requirement, or order concerned (including any provision of an agreement
under section 120). (e) RULES APPLICABLE TO SUBSECTION (a)(2) ACTIONS.—No action may may be commenced under paragraph (2) of subsection (a) before the 60th day following the date on
which the plaintiff gives notice to the Administrator or other department, agency, or instrumentality that the plaintiff will commence such action. Notice under this subsection shall
be given in such manner as the President shall prescribe by regulation. (f) COSTS.—The court, in issuing any final order in any action brought pursuant to this section, may award costs
of litigation (including reasonable attorney and expert witness fees) to the prevailing or the substantially prevailing party whenever the court determines such an award is appropriate.
The court may, if a temporary restraining order or preliminary injunction is sought, require the filing of a bond or equivalent security in accordance with the Federal Rules of Civil
Procedure. (g) INTERVENTION.—In any action under this section, the United States or the State, or both, if not a party may intervene as a matter of right. For other provisions regarding
intervention, see section 113. (h) OTHER RIGHTS.—This Act does not affect or otherwise impair the rights of any person under Federal, State, or common law, except with respect to the
timing of review as provided in section 113(h) or as otherwise provided in section 309 (relating to actions under State law). (i) DEFINITIONS.—The terms used in this section shall have
the same meanings as when used in title I. [42 U.S.C. 9659] SEC. 311. RESEARCH, DEVELOPMENT, AND DEMONSTRATION. (a) HAZARDOUS SUBSTANCE RESEARCH AND TRAINING.— (1) AUTHORITIES OF SECRETARY.—The
Secretary of Health and Human Services (hereinafter in this subsection referred to as the Secretary), in consultation with the Administrator, shall establish and support a basic research
and training program (through grants, cooperative agreements, and contracts) consisting of the following: Q:\COMP\ENVIR2\CERCLA December 31, 2002
641 SUPERFUND Sec. 311 (A) Basic research (including epidemiologic and ecologic studies) which may include each of the following: (i) Advanced techniques for the detection, assessment,
and evaluation of the effects on human health of hazardous substances. (ii) Methods to assess the risks to human health presented by hazardous substances. (iii) Methods and technologies
to detect hazardous substances in the environment and basic biological, chemical, and physical methods to reduce the amount and toxicity of hazardous substances. (B) Training, which
may include each of the following: (i) Short courses and continuing education for State and local health and environment agency personnel and other personnel engaged in the handling
of hazardous substances, in the management of facilities at which hazardous substances are located, and in the evaluation of the hazards to human health presented by such facilities.
(ii) Graduate or advanced training in environmental and occupational health and safety and in the public public health and engineering aspects of hazardous waste control. (iii) Graduate
training in the geosciences, including hydrogeology, geological engineering, geophysics, geochemistry, and related fields necessary to meet professional personnel needs in the public
and private sectors and to effectuate the purposes of this Act. (2) DIRECTOR OF NIEHS.—The Director of the National Institute for Environmental Health Sciences shall cooperate fully
with the relevant Federal agencies referred to in subparagraph (A) of paragraph (5) in carrying out the purposes of this section.(3) RECIPIENTS OF GRANTS, ETC.—A grant, cooperative agreement,
or contract may be made or entered into under paragraph (1) with an accredited institution of higher education. The institution may carry out the research or training under the grant,
cooperative agreement, or contract through contracts, including contracts with any of the following: (A) Generators of hazardous wastes. (B) Persons involved in the detection, assessment,
evaluation, and treatment of hazardous substances. (C) Owners and operators of facilities at which hazardous substances are located. (D) State and local governments. (4) PROCEDURES.—In
making grants and entering into cooperative agreements and contracts under this subsection, the Secretary shall act through the Director of the National Institute for Environmental Health
Sciences. In considering the allocation of funds for training purposes, the Director shall ensure that at least one grant, cooperative agreement, or contract shall be awarded for training
described in each of clauses (i), (ii), and (iii) of paragraph (1)(B). Where applicable, the Director may choose to operate training activities in cooperation with Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 311 SUPERFUND 642 the Director of the National Institute for Occupational Safety and Health. The procedures applicable to grants and contracts under title IV of the Public Health
Service Act shall be followed under this subsection. (5) ADVISORY COUNCIL.—To assist in the implementation of this subsection and to aid in the coordination of research and demonstration
and training activities funded from the Fund under this section, the Secretary shall appoint an advisory council (hereinafter in this subsection referred to as the ‘‘Advisory Council’’)
which shall consist of representatives of the following: (A) The relevant Federal agencies. (B) The chemical industry. (C) The toxic waste management industry. (D) Institutions of higher
education. (E) State and local health and environmental agencies. (F) The general public. (6) PLANNING.—Within nine months after the date of the enactment of this subsection, the Secretary,
acting through the Director of the National Institute for Environmental Health Sciences, Sciences, shall issue a plan for the implementation of paragraph (1). The plan shall include
priorities for actions under paragraph (1) and include research and training relevant to scientific and technological issues resulting from site specific hazardous substance response
experience. The Secretary shall, to the maximum extent practicable, take appropriate steps to coordinate program activities under this plan with the activities of other Federal agencies
in order to avoid duplication of effort. The plan shall be consistent with the need for the development of new technologies for meeting the goals of response actions in accordance with
the provisions of this Act. The Advisory Council shall be provided an opportunity to review and comment on the plan and priorities and assist appropriate coordination among the relevant
Federal agencies referred to in subparagraph (A) of paragraph (5). (b) ALTERNATIVE OR INNOVATIVE TREATMENT TECHNOLOGY RESEARCH AND DEMONSTRATION PROGRAM.— (1) ESTABLISHMENT.—The Administrator
is authorized and directed to carry out a program of research, evaluation, testing, development, and demonstration of alternative or innovative treatment technologies (hereinafter in
this subsection referred to as the ‘‘program’’) which may be utilized in response actions to achieve more permanent protection of human health and welfare and the environment. (2) ADMINISTRATION.—The
program shall be administered by the Administrator, acting through an office of technology demonstration and shall be coordinated with programs carried out by the Office of Solid Waste
and Emergency Response and the Office of Research and Development. (3) CONTRACTS AND GRANTS.—In carrying out the program, the Administrator is authorized to enter into contracts and
cooperative agreements with, and make grants to, persons, public entities, and nonprofit private entities which are exempt from tax under section 501(c)(3) of the Internal Revenue Code
Q:\COMP\ENVIR2\CERCLA December 31, 2002
643 SUPERFUND Sec. 311 of 1954. The Administrator shall, to the maximum extent possible, enter into appropriate cost sharing arrangements under this subsection. (4) USE OF SITES.—In
carrying out the program, the Administrator may arrange for the use of sites at which a response may be undertaken under section 104 for the purposes of carrying out research, testing,
evaluation, development, and demonstration projects. Each such project shall be carried out under such terms and conditions as the Administrator shall require to assure the protection
of human health and the environment and to assure adequate control by the Administrator of the research, testing, evaluation, development, and demonstration activities at the site. (5)
DEMONSTRATION ASSISTANCE.— (A) PROGRAM COMPONENTS.—The demonstration assistance program shall include the following: (i) The publication of a solicitation and the evaluation of applications
for demonstration projects utilizing alternative or innovative technologies. (ii) The selection of sites which are suitable for the testing and evaluation of innovative technologies.
(iii) The development of detailed plans for innovative technology demonstration projects. (iv) The supervision of such demonstration projects and the providing of quality assurance for
data obtained. (v) The evaluation of the results of alternative innovative technology demonstration projects and the determination of whether or not the technologies used are effective
and feasible. (B) SOLICITATION.—Within 90 days after the date of the enactment of this section, and no less often than once every 12 months thereafter, the Administrator shall publish
a solicitation for innovative or alternative technologies at a stage of development suitable for full-scale demonstrations at sites at which a response action may be undertaken under
section 104. The purpose of any such project shall be to demonstrate the use of an alternative or innovative treatment technology with respect to hazardous substances or pollutants or
contaminants which are located at the site or which are to be removed from the site. The solicitation notice shall prescribe information to be included in the application, including
technical and economic data derived from the applicant’s own research and development efforts, and other information sufficient to permit the Administrator to assess the technology’s
potential and the types of remedial action to which it may be applicable. (C) APPLICATIONS.—Any person and any public or private nonprofit entity may submit an application to the Administrator
in response to the solicitation. The application shall contain a proposed demonstration plan setting forth how and when the project is to be carried out and such other information as
the Administrator may require. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 311 SUPERFUND 644 (D) PROJECT SELECTION.—In selecting technologies to be demonstrated, the Administrator shall fully review the applications submitted and shall consider at least
the criteria specified in paragraph (7). The Administrator shall select or refuse to select a project for demonstration under this subsection within 90 days of receiving the completed
application for such project. In the case of a refusal to select the project, the Administrator shall notify the applicant within such 90-day period of the reasons for his refusal. (E)
SITE SELECTION.—The Administrator shall propose 10 sites at which a response may be undertaken under section 104 to be the location of any demonstration project under this subsection
within 60 days after the close of the public comment period. After an opportunity for notice and public comment, the Administrator shall select such sites and projects. In selecting
any such site, the Administrator shall take into account the applicant’s technical data and preferences either for onsite operation or for utilizing the site as a source of hazardous
substances or pollutants or contaminants to be treated offsite. (F) DEMONSTRATION PLAN.—Within 60 days after the selection of the site under this paragraph to be the location of a demonstration
project, the Administrator shall establish a final demonstration plan for the project, based upon the demonstration plan contained in the application for the project. Such plan shall
clearly set forth how and when the demonstration project will be carried out. (G) SUPERVISION AND TESTING.—Each demonstration project under this subsection shall be performed by the
applicant, or by a person satisfactory to the applicant, under the supervision of the Administrator. The Administrator shall enter into a written agreement with each applicant granting
the Administrator the responsibility and authority for testing procedures, quality control, monitoring, and other measurements necessary to determine and evaluate the results of the
demonstration project. The Administrator may pay the costs of testing, monitoring, quality control, and other measurements required by the Administrator to determine and evaluate the
results of the demonstration project, and the limitations established by subparagraph (J) shall not apply to such costs. (H) PROJECT COMPLETION.—Each demonstration project under this
subsection shall be completed within such time as is established in the demonstration plan. (I) EXTENSIONS.—The Administrator may extend any deadline established under this paragraph
by mutual agreement with the applicant concerned. (J) FUNDING RESTRICTIONS.—The Administrator shall not provide any Federal assistance for any part of a fullscale field demonstration
project under this subsection to any applicant unless such applicant can demonstrate that it cannot obtain appropriate private financing on reasonable terms and conditions sufficient
to carry out such dem-Q:\COMP\ENVIR2\CERCLA December 31, 2002
645 SUPERFUND Sec. 311 onstration project without such Federal assistance. The total Federal funds for any full-scale field demonstration project under this subsection shall not exceed
50 percent of the total cost of such project estimated at the time of the award of such assistance. The Administrator shall not expend more than $10,000,000 for assistance under the
program in any fiscal year and shall not expend more than $3,000,000 for any single project. (6) FIELD DEMONSTRATIONS.—In carrying out the program, the Administrator shall initiate or
cause to be initiated at least 10 field demonstration projects of alternative or innovative treatment technologies at sites at which a response may be undertaken under section 104, in
fiscal year 1987 and each of the succeeding three fiscal years. If the Administrator determines that 10 field demonstration projects under this subsection cannot be initiated consistent
with the criteria set forth in paragraph (7) in any of such fiscal years, the Administrator shall transmit to the appropriate committees of Congress a report explaining the reasons for
his inability to conduct such demonstration projects. (7) CRITERIA.—In selecting technologies to be demonstrated under this subsection, the Administrator shall, consistent with the protection
of human health and the environment, consider each of the following criteria: (A) The potential for contributing to solutions to those waste problems which pose the greatest threat to
human health, which cannot be adequately controlled under present technologies, or which otherwise pose significant management
difficulties. (B) The availability of technologies which have been sufficiently developed for field demonstration and which are likely to be cost effective and reliable. (C) The availability
and suitability of sites for demonstrating such technologies, taking into account the physical, biological, chemical, and geological characteristics of the sites, the extent and type
of contamination found at the site, and the capability to conduct demonstration projects in such a manner as to assure the protection of human health and the environment. (D) The likelihood
that the data to be generated from the demonstration project at the site will be applicable to other sites. (8) TECHNOLOGY TRANSFER.—In carrying out the program, the Administrator shall
conduct a technology transfer program including the development, collection, evaluation, coordination, and dissemination of information relating to the utilization of alternative or
innovative treatment technologies for response actions. The Administrator shall establish and maintain a central reference library for such information. The information maintained by
the Administrator shall be made available to the public, subject to the provisions of section 552 of title 5 of the United States Code and section 1905 of title 18 of the United States
Code, and to other Government agencies in a manner that will facilitate its dissemination; except, that upon Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 311 SUPERFUND 646 a showing satisfactory to the Administrator by any person that any information or portion thereof obtained under this subsection by the Administrator directly
or indirectly from such person, would, if made public, divulge— (A) trade secrets; or (B) other proprietary information of such person, the Administrator shall not disclose such information
and disclosure thereof shall be punishable under section 1905 of title 18 of the United States Code. This subsection is not authority to withhold information from Congress or any committee
of Congress upon the request of the chairman of such committee. (9) TRAINING.—The Administrator is authorized and directed to carry out, through the Office of Technology Demonstration,
a program of training and an evaluation of training needs for each of the following: (A) Training in the procedures for the handling and removal of hazardous substances for employees
who handle hazardous substances. (B) Training in the management of facilities at which hazardous substances are located and in the evaluation of the hazards to human health presented
by such facilities for State and local health and environment agency personnel. (10) DEFINITION.—For purposes of this subsection, the term ‘‘alternative or innovative treatment technologies’’
means those technologies, including proprietary or patented methods, which permanently alter the composition of hazardous waste through chemical, biological, or physical means so as
to significantly reduce the toxicity, mobility, or volume (or any combination thereof) of the hazardous waste or contaminated materials being treated. The term also includes technologies
that characterize or assess the extent of contamination, the chemical and physical character of the contaminants, and the stresses imposed by the contaminants on complex ecosystems at
sites. (c) HAZARDOUS SUBSTANCE RESEARCH.—The Administrator may conduct and support, through grants, cooperative agreements, and contracts, research with respect to the detection, assessment,
and evaluation of the effects on and risks to human health of hazardous substances and detection of hazardous substances in the environment. The Administrator shall coordinate such research
with the Secretary of Health and Human Services, acting through the advisory council established under this section, in order to avoid duplication of effort. (d) UNIVERSITY HAZARDOUS
SUBSTANCE RESEARCH CENTERS.— (1) GRANT PROGRAM.—The Administrator shall make grants to institutions of higher learning to establish and operate not fewer than 5 hazardous substance research
centers in the United States. In carrying out the program under this subsection, the Administrator should seek to have established and operated 10 hazardous substance research centers
in the United States. (2) RESPONSIBILITIES OF CENTERS.—The responsibilities of each hazardous substance research center established under this subsection shall include, but not be limited
to, the conduct Q:\COMP\ENVIR2\CERCLA December 31, 2002
647 SUPERFUND Sec. 311 of research and training relating to the manufacture, use, transportation, disposal, and management of hazardous substances and publication and dissemination of
the results of such research. (3) APPLICATIONS.—Any institution of higher learning interested in receiving a grant under this subsection shall submit to the Administrator an application
in such form and containing such information as the Administrator may require by regulation. (4) SELECTION CRITERIA.—The Administrator shall select recipients of grants under this subsection
on the basis of the following criteria: (A) The hazardous substance research center shall be located in a State which is representative of the needs of the region in which such State
is located for improved hazardous waste management. (B) The grant recipient shall be located in an area which has experienced problems with hazardous substance management. (C) There
is available to the grant recipient for carrying out this subsection demonstrated research resources. (D) The capability of the grant recipient to provide leadership in making national
and regional contributions to the solution of both long-range and immediate hazardous substance management problems. (E) The grant recipient shall make a commitment to support ongoing
hazardous substance research programs with budgeted institutional funds of at least $100,000 per year.(F) The grant recipient shall have an interdisciplinary staff with demonstrated
expertise in hazardous substance management and research. (G) The grant recipient shall have a demonstrated ability to disseminate results of hazardous substance research and educational
programs through an interdisciplinary continuing education program. (H) The projects which the grant recipient proposes to carry out under the grant are necessary and appropriate. (5)
MAINTENANCE OF EFFORT.—No grant may be made under this subsection in any fiscal year unless the recipient of such grant enters into such agreements with the Administrator as the Administrator
may require to ensure that such recipient will maintain its aggregate expenditures from all other sources for establishing and operating a regional hazardous substance research center
and related research activities at or above the average level of such expenditures in its 2 fiscal years preceding the date of the enactment of this subsection. (6) FEDERAL SHARE.—The
Federal share of a grant under this subsection shall not exceed 80 percent of the costs of establishing and operating the regional hazardous substance research center and related research
activities carried out by the grant recipient. (7) LIMITATION ON USE OF FUNDS.—No funds made available to carry out this subsection shall be used for acquisition Q:\COMP\ENVIR2\CERCLA
December 31, 2002
Sec. 312 SUPERFUND 648 1 For additional provisions relating to this section, see section 213 of SARA of 1986 in this print. of real property (including buildings) or construction of
any building. (8) ADMINISTRATION THROUGH THE OFFICE OF THE ADMINISTRATOR.—Administrative responsibility for carrying out this subsection shall be in the Office of the Administrator.
(9) EQUITABLE DISTRIBUTION OF FUNDS.—The Administrator shall allocate funds made available to carry out this subsection equitably among the regions of the United States. (10) TECHNOLOGY
TRANSFER ACTIVITIES.—Not less than five percent of the funds made available to carry out this subsection for any fiscal year shall be available to carry out technology transfer activities.
(e) REPORT TO CONGRESS.—At the time of the submission of the annual budget request to Congress, the Administrator shall submit to the appropriate committees of the House of Representatives
and the Senate and to the advisory council established under subsection (a), a report on the progress of the research, development, and demonstration program authorized by subsection
(b), including an evaluation of each demonstration project completed in the preceding fiscal year, findings with respect to the efficacy of such demonstrated technologies in achieving
permanent and significant reductions in risk from hazardous wastes, the costs of such demonstration projects, and the potential applicability of, and projected costs for, such technologies
at other hazardous substance sites. (f) SAVING PROVISION.—Nothing in this section shall be construed to affect the provisions of the Solid Waste Disposal Act. (g) SMALL BUSINESS PARTICIPATION.—The
Administrator shall ensure, to the maximum extent practicable, an adequate opportunity for small business participation in the program established by subsection (b). [42 U.S.C. 9660]
SEC. 312. LOVE CANAL PROPERTY ACQUISITION. 1 (a) ACQUISITION OF PROPERTY IN EMERGENCY DECLARATION AREA.—The Administrator of the Environmental Protection Agency (hereinafter referred
to as the ‘‘Administrator’’) may make grants not to exceed $2,500,000 to the State of New York (or to any duly constituted public agency or authority thereof) for purposes of acquisition
of private property in the Love Canal Emergency Declaration Area. Such acquisition shall include (but shall not be limited to) all private property within the Emergency Declaration Area,
including non-owner occupied residential properties, commercial, industrial, public, religious, non-profit, and vacant properties. (b) PROCEDURES FOR ACQUISITION.—No property shall be
acquired pursuant to this section unless the property owner voluntarily agrees to such acquisition. Compensation for any property acquired pursuant to this section shall be based upon
the fair market value of the property as it existed prior to the emergency declaration. Valuation procedures for property acquired with funds provided under this section shall be in
accordance with those set forth in the agreement entered into between the New York State Dis-Q:\COMP\ENVIR2\CERCLA December 31, 2002
649 SUPERFUND Sec. 312 1 So in law. Section 221 of CERCLA was repealed by section 517(c) of title V of SARA of 1986 (Public Law 99–499). aster Preparedness Commission and the Love Canal
Revitalization Agency on October 9, 1980. (c) STATE OWNERSHIP.—The Administrator shall not provide any funds under this section for the acquisition of any properties pursuant to this
section unless a public agency or authority of the State of New York first enters into a cooperative agreement with the Administrator providing assurances deemed adequate by the Administrator
that the State or an agency created under the laws of the State shall take title to the properties to be so acquired. (d) MAINTENANCE OF PROPERTY.—The Administrator shall enter into
a cooperative agreement with an appropriate public agency or authority of the State of New York under which the Administrator shall maintain or arrange for the maintenance of all properties
within the Emergency Declaration Area that have been acquired by any public agency or authority of the State. Ninety (90) percent of the costs of such maintenance shall be paid by the
Administrator. The remaining portion of such costs shall be paid by the State (unless a credit is available under section 104(c)). The Administrator is authorized, in his discretion,
to provide technical assistance to any public agency or authority of the State of New York in order to implement the recommendations of the habitability and land-use study in order to
put the land within the Emergency Declaration Area to its best use. (e) HABITABILITY AND LAND USE STUDY.—The Administrator shall conduct or cause to be conducted a habitability and land-use
study. The study shall— (1) assess the risks associated with inhabiting of the Love Canal Emergency Declaration Area; (2) compare the level of hazardous waste contamination in that Area
to that present in other comparable communities; and (3) assess the potential uses of the land within the Emergency Declaration Area, including but not limited to residential, industrial,
commercial and recreational, and the risks associated with such potential uses. The Administrator shall publish the findings of such study and shall work with the State of New York to
develop recommendations based upon the results of such study. (f) FUNDING.—For purposes of section 111 and 221(c) of this Act, 1 the expenditures authorized by this section shall be
treated as a cost specified in section 111(c). (g) RESPONSE.—The provisions of this section shall not affect the implementation of other response actions within the Emergency Declaration
Area that the Administrator has determined (before enactment of this section) to be necessary to protect the public health or welfare or the environment. (h) DEFINITIONS.—For purposes
of this section: (1) EMERGENCY DECLARATION AREA.—The terms ‘‘Emergency Declaration Area’’ and ‘‘Love Canal Emergency Declaration Area’’ mean the Emergency Declaration Area as defined
in section 950, paragraph (2) of the General Municipal Law of the Q:\COMP\ENVIR2\CERCLA December 31, 31, 2002
Sec. 401 SUPERFUND 650 State of New York, Chapter 259, Laws of 1980, as in effect on the date of the enactment of this section. (2) PRIVATE PROPERTY.—As used in subsection (a), the term
‘‘private property’’ means all property which is not owned by a department, agency, or instrumentality of— (A) the United States, or (B) the State of New York (or any public agency or
authority thereof). [42 U.S.C. 9661] TITLE IV—POLLUTION INSURANCE SEC. 401. DEFINITIONS. As used in this title— (1) INSURANCE.—The term ‘‘insurance’’ means primary insurance, excess
insurance, reinsurance, surplus lines insurance, and any other arrangement for shifting and distributing risk which is determined to be insurance under applicable State or Federal law.
(2) POLLUTION LIABILITY.—The term ‘‘pollution liability’’ means liability for injuries arising from the release of hazardous substances or pollutants or contaminants. (3) RISK RETENTION
GROUP.—The term ‘‘risk retention group’’ means any corporation or other limited liability association taxable as a corporation, or as an insurance company, formed under the laws of any
State— (A) whose primary activity consists of assuming and spreading all, or any portion, of the pollution liability of its group members; (B) which is organized for the primary purpose
of conducting the activity described under subparagraph (A); (C) which is chartered or licensed as an insurance company and authorized to engage in the business of insurance under the
laws of any State; and (D) which does not exclude any person from membership in the group solely to provide for members of such a group a competitive advantage over such a person. (4)
PURCHASING GROUP.—The term ‘‘purchasing group’’ means any group of persons which has as one of its purposes the purchase of pollution liability insurance on a group basis. (5) STATE.—The
term ‘‘State’’ means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Virgin Islands, the Commonwealth of the Northern
Marianas, Marianas, and any other territory or possession over which the United States has jurisdiction. [42 U.S.C. 9671] SEC. 402. STATE LAWS; SCOPE OF TITLE. (a) STATE LAWS.—Nothing
in this title shall be construed to affect either the tort law or the law governing the interpretation of insurance contracts of any State. The definitions of pollution liability and
pollution liability insurance under any State law shall not be applied for the purposes of this title, including recognition or qualification of risk retention groups or purchasing groups.
Q:\COMP\ENVIR2\CERCLA December 31, 2002
651 SUPERFUND Sec. 403 (b) SCOPE OF TITLE.—The authority to offer or to provide insurance under this title shall be limited to coverage of pollution liability risks and this title does
not authorize a risk retention group or purchasing group to provide coverage of any other line of insurance. [42 U.S.C. 9672] SEC. 403. RISK RETENTION GROUPS. (a) EXEMPTION.—Except as
provided in this section, a risk retention group shall be exempt from the following: (1) A State law, rule, or order which makes unlawful, or regulates, directly or indirectly, the operation
of a risk retention group. (2) A State law, rule, or order which requires or permits a risk retention group to participate in any insurance insolvency guaranty association to which an
insurer licensed in the State is required to belong. (3) A State law, rule, or order which requires any insurance policy issued to a risk retention group or any member of the group to
be countersigned by an insurance agent or broker residing in the State. (4) A State law, rule, rule, or order which otherwise discriminates against a risk retention group or any of its
members. (b) EXCEPTIONS.— (1) STATE LAWS GENERALLY APPLICABLE.—Nothing in subsection (a) shall be construed to affect the applicability of State laws generally applicable to persons
or corporations. The State in which a risk retention group is chartered may regulate the formation and operation of the group. (2) STATE REGULATIONS NOT SUBJECT TO EXEMPTION.—Subsection
(a) shall not apply to any State law which requires a risk retention group to do any of the following: (A) Comply with the unfair claim settlement practices law of the State. (B) Pay,
on a nondiscriminatory basis, applicable premium and other taxes which are levied on admitted insurers and surplus line insurers, brokers, or policyholders under the laws of the State.
(C) Participate, on a nondiscriminatory basis, in any mechanism established or authorized under the law of the State for the equitable apportionment among insurers of pollution liability
insurance losses and expenses incurred on policies written through such mechanism. (D) Submit to the appropriate authority reports and other information required of licensed insurers
under the laws of a State relating solely to pollution liability insurance losses and expenses. (E) Register with and designate the State insurance commissioner as its agent solely for
the purpose of receiving service of legal documents or process. (F) Furnish, upon request, such commissioner a copy of any financial report submitted by the risk retention group to the
commissioner of the chartering or licensing jurisdiction. Q:\COMP\ENVIR2\CERCLA December 31, 2002
Sec. 404 SUPERFUND 652 (G) Submit to an examination by the State insurance commissioner in any State in which the group is doing business to determine the group’s financial condition,
if— (i) the commissioner has reason to believe the risk retention group is in a financially impaired condition; and (ii) the commissioner of the jurisdiction in which the group is chartered
has not begun or has refused to initiate an examination of the group. (H) Comply with a lawful order issued in a delinquency proceeding commenced by the State insurance commissioner
if the commissioner of the jurisdiction in which the group is chartered has failed to initiate such a proceeding after notice of a finding of financial impairment under subparagraph
(G). (c) APPLICATION OF EXEMPTIONS.—The exemptions specified in subsection (a) apply to— (1) pollution liability insurance coverage provided by a risk retention group for— (A) such group;
or (B) any person who is a member of such group; (2) the sale of pollution liability insurance coverage for a risk retention group; and (3) the provision of insurance related services
or management services for a risk retention group or any member of such a group. (d) AGENTS OR BROKERS.—A State may require that a person acting, or offering to act, as an agent or broker
for a risk retention group obtain a license from that State, except that a State may not impose any qualification or requirement which discriminates against a nonresident agent or broker.
[42 U.S.C. 9673] SEC. 404. PURCHASING GROUPS. (a) EXEMPTION.—Except as provided in this section, a purchasing group is exempt from the following: (1) A State law, rule, or order which
prohibits the establishment of a purchasing group. (2) A State law, rule, or order which makes it unlawful for an insurer to provide or offer to provide insurance on a basis providing,
to a purchasing group or its member, advantages, based on their loss and expense experience, not afforded to other persons with respect to rates, policy forms, coverages, or other matters.
(3) A State law, rule, or order which prohibits a purchasing group or its members from purchasing insurance on the group basis described in paragraph (2) of this subsection. (4) A State
law, rule, or order which prohibits a purchasing group from obtaining insurance on a group basis because the group has not been in existence for a minimum period of time or because any
member has not belonged to the group for a minimum period of time. Q:\COMP\ENVIR2\CERCLA December 31, 2002
653 SUPERFUND Sec. 405 1 So in law. Probably should be ‘‘discriminates’’. (5) A State law, rule, or order which requires that a purchasing group must have a minimum number of members,
common ownership or affiliation, or a certain legal form. (6) A State law, rule, or order which requires that a certain percentage of a purchasing group must obtain insurance on a group
basis. (7) A State law, rule, or order which requires that any insurance policy issued to a purchasing group or any members of the group be countersigned by an insurance agent or broker
residing in that State. (8) A State law, rule, or order which otherwise discriminate 1 against a purchasing group or any of its members. (b) APPLICATION OF EXEMPTIONS.—The exemptions
specified in subsection (a) apply to the following: (1) Pollution liability insurance, and comprehensive general liability insurance which includes this coverage, provided to— (A) a
purchasing group; or (B) any person who is a member of a purchasing group. (2) The sale of any one of of the following to a purchasing group or a member of the group: (A) Pollution liability
insurance and comprehensive general liability coverage. (B) Insurance related services. (C) Management services. (c) AGENTS OR BROKERS.—A State may require that a person acting, or offering
to act, as an agent or broker for a purchasing group obtain a license from that State, except that a State may not impose any qualification or requirement which discriminates against
a nonresident agent or broker. [42 U.S.C. 9674] SEC. 405. APPLICABILITY OF SECURITIES LAWS. (a) OWNERSHIP INTERESTS.—The ownership interests of members of a risk retention group shall
be considered to be— (1) exempted securities for purposes of section 5 of the Securities Act of 1933 and for purposes of section 12 of the Securities Exchange Act of 1934; and (2) securities
for purposes of the provisions of section 17 of the Securities Act of 1933 and the provisions of section 10 of the Securities Exchange Act of 1934. (b) INVESTMENT COMPANY ACT.—A risk
retention group shall not be considered to be an investment company for purposes of the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.). (c) BLUE SKY LAW.—The ownership interests
of members in a risk retention group shall not be considered securities for purposes of any State blue sky law. [42 U.S.C. 9675] Q:\COMP\ENVIR2\CERCLA December 31, 2002
10-3-1201. Short title. This part may be cited as the "Montana Response to Hazardous Material Incidents Act". 10-3-1202. Purpose. It is the purpose of this part to: (1) provide that
adequate hazardous material emergency response capability exists in the state in order to protect the health and safety of Montana citizens and the environment; (2) delineate those state
agencies responsible for responding to a hazardous material incident; (3) provide for the control and management of incidents; (4) provide for the cooperation of other state agencies
and local governments in incident management; and (5) provide for the formulation of a comprehensive, statewide incident management and hazardous material response support plan. 10-3-1203.
Definitions. As used in this part, the following definitions apply: (1) "Commission" means the state emergency response commission. (2) "Division" means the division of disaster and
emergency services in the department of military affairs. (3) "Duration of response" means a period period of time beginning when an emergency responder is requested by the appropriate
authority to respond to an incident and ending when the responder is released from the incident by the incident commander and returned to the emergency responder's place of residence
by the most direct route and includes the time required to replace and return all materials used for the incident to the same or similar condition and state of readiness as before the
response. (4) "Hazardous material" means a hazardous substance, a hazardous or deleterious substance as defined in 75-10-701, radioactive material, or a combination of a hazardous substance,
a hazardous or deleterious substance, and radioactive material. (5) "Hazardous material incident response team" means an organized group of trained response personnel, operating under
an emergency response plan and appropriate standard operating procedures, that is expected to perform work to control an actual release or threatened release of hazardous material requiring
close close approach to the material, to respond to releases or threatened releases of hazardous material for the purpose of control or stabilization of the incident, and to provide
technical assistance to local jurisdictions. (6) (a) "Hazardous substance" means flammable solids, semisolids, liquids, or gases;
poisons; explosives; corrosives; compressed gases; reactive or toxic chemicals; irritants; or biological agents. (b) The term does not include radioactive material. (7) "Incident" means
an event involving the release or threat of release involving hazardous material that may cause injury to persons, the environment, or property. (8) "Incident commander" means the person
who is designated in the local emergency operations plan. (9) "Local emergency operations plan" means the local and interjurisdictional disaster and emergency plan developed pursuant
to 10-3-401. (10) "Local emergency response authority" means the agency designated by the city, county, or commission to be responsible for the management of an incident at the local
level. (11) "Orphaned hazardous material" means hazardous material of which the owner cannot be identified. (12) "Plan" means the Montana incident management and hazardous material response
support plan. (13) (a) "Radioactive material" means any material or combination of material that spontaneously emits ionizing radiation. (b) The term does not include material in which
the specific activity is not greater than 0.002 microcuries per gram of material unless the material is determined to be radioactive by the U.S. environmental protection agency or the
U.S. occupational safety and health administration. (14) "State hazardous material incident response team" means persons who are designated as state employees by the commission while
they are engaged in activities as provided for in 10-3-1204 and may include members of the commission and local and state government responders. (15) "Threat of release" or "threatened
release" means an indication of the possibility of the release of a hazardous material into the environment. 10-3-1204. State emergency response commission. (1) There is a state emergency
response commission that is attached to the department for administrative purposes. The commission consists of 29 members appointed by the governor. The commission must include representatives
of the national guard, the air force, the department of environmental quality, the division, the department of transportation, the department of justice, the department of natural resources
and conservation, the department of public health and human services, a fire service association, the fire services training school, the
emergency medical services and trauma systems section of the public health and safety division in the department of public health and human services, the department of fish, wildlife,
and parks, the department of agriculture, Montana hospitals, an emergency medical services association, a law enforcement
association, an emergency management association, a public health-related association, a trucking association, a utility company doing business in Montana, a railroad company doing business
in Montana, Montana's petroleum industry, Montana's insurance industry, the university system, a tribal emergency response commission, the national weather service, the Montana association
of counties, the Montana league of cities and towns, and the office of the governor. At least one representative must be a member of a local emergency planning committee. Members of
the commission serve terms of 4 years and may be reappointed. The members shall serve without compensation. The governor shall appoint two presiding officers from the appointees, who
shall act as copresiding officers. (2) The commission shall implement the provisions of this part. The commission may create and implement a state hazardous material incident response
team to respond to incidents. The members of the team must be certified in accordance with the plan. (3) The commission may enter into written agreements with each entity or person providing
equipment or services to the state hazardous material incident response team. (4) The commission or its designee may direct that the state hazardous material incident response team be
available and respond, when requested by a local emergency response authority, to incidents according to the plan. (5) The commission may contract with persons to meet state emergency
response needs for the state hazardous material incident response team. (6) The commission may advise, consult, cooperate, and enter into agreements with agencies of the state and federal
government, other states and their state agencies, cities, counties, tribal governments, and other persons concerned with emergency response and matters relating to and arising out of
incidents. (7) The commission may encourage, participate in, or conduct studies, investigations, training, research, and demonstrations for and with the state hazardous material incident
response team, local emergency responders, and other interested persons. (8) The commission may collect and disseminate information relating to emergency response to incidents. (9) The
commission may accept and administer grants, gifts, or other funds, conditional or otherwise, made to the state for emergency response activities provided for in this part. (10) The
commission may prepare, coordinate, implement, and update a plan that
coordinates state and local emergency authorities to respond to incidents within the state. The plan must be consistent with this part. All state emergency response responsibilities
relating to an incident must be defined by the plan. (11) The commission has the powers and duties of a state emergency response commission under the federal Emergency Planning and Community
Right-to-Know Act of 1986, 42 U.S.C. 11001, et seq., except that the division shall oversee the creation, annual local review, and exercise and revision of the local emergency operations
plan as provided by state law. (12) The commission shall promulgate rules and procedures limited to cost recovery procedures, certification of state hazardous material incident response
team members, and deployment of the state hazardous material incident response team, which must be a part of the plan. (13) The commission shall act as an all-hazard advisory board to
the division by: (a) assisting the division in carrying out its responsibilities by providing the division with recommendations on issues pertaining to all-hazard emergency management;
and (b) authorizing the establishment of subcommittees to develop and provide the recommendations called for in subsection (13)(a). (14) The commission shall appoint the members of the
Montana intrastate mutual aid committee provided for in 10-3-904. (15) All state agencies and institutions shall cooperate with the commission in the commission's efforts to carry out
its duties under this part. 10-3-1207. Commission budget and expenditures. (1) The commission shall submit its budget to the division. (2) The commission shall expend any funds appropriated
to it in the following priority: (a) payment of workers' compensation premiums for coverage of state hazardous material incident response team members; (b) training activities for the
state hazardous material incident response team; (c) equal payments to each hazardous material incident response team as compensation for duties established in the plan; and (d) any
remaining funds to be used at the discretion of the commission for programs related to the plan. 10-3-1208. Local emergency response authorities --designation. (1) The governing body
of each incorporated city and county shall designate the local emergency response authority for incidents that occur within its jurisdiction.
(2) Local emergency response authority members must be trained in hazardous material incident response in compliance with 29 CFR 1910.120(q), as amended. (3) An incorporated city may,
with the mutual consent of the county, designate the county as its local emergency response authority and participate in the local emergency operations plan for incident response. (4)
If an incident occurs in an area in which local emergency response authority has not been designated, the presiding officer of the board of county commissioners must be the local emergency
response authority for the incident for the purposes of this part. 10-3-1209. Local emergency response authorities --powers and duties. (1) Every local emergency response authority designated
pursuant to this part shall respond to incidents occurring within its jurisdiction according to the local emergency operations plan. The local emergency response authority shall also
respond to an incident that initially occurs within its jurisdiction but spreads to another jurisdiction. If an incident occurs on a boundary between two jurisdictions or in an area
where the jurisdiction is not readily ascertainable, the first local emergency response authority to arrive at the scene of the incident shall perform the initial emergency response
duties. (2) Each local emergency response authority shall define in writing its incident management system and specifically define the agency that will be the incident commander. (3)
The incident commander shall declare that the emergency situation associated with an incident has ended when the acute threat to public health and safety or to the environment has been
sufficiently addressed. 10-3-1210. Controlling provisions for state of emergency --liability of responsible persons. In the event that a state of emergency is declared by proper authority
pursuant to 10-3-302, as the result of an incident, the provisions of 10-3-303 govern. 10-3-1211. Notification of release. (1) A person responsible for reporting a release under the
federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980, 42 U.S.C. 9603, shall, as soon as practicable after obtaining the knowledge of a required reportable
release, other than a permitted release, notify the division of the release. (2) The division shall notify the commission of releases or threatened releases as defined in the plan.
(3) The division shall immediately notify the department of environmental quality of any release reported and who will respond according to the plan. (4) Any person who does not make
notification in accordance with the provisions of this section is liable for a civil penalty not to exceed $10,000 for each day the violation continues to a maximum of $100,000. These
penalties are in addition to any other penalties imposed by law. All penalties collected must be deposited in the environmental contingency account provided for in 75-1-1101. (5) Compliance
with the reporting requirements of this section does not relieve any person of the obligation to report the same incident under any other applicable state or federal law, regulation,
or other requirement. 10-3-1214. Right to reimbursement. (1) State hazardous material incident response team members may submit claims to the commission for reimbursement of documented
costs incurred as a result of the team's response to an incident. Reimbursement for the costs may may not exceed the duration of response. (2) A party who is not a part of the state
hazardous material incident response team and is not liable under federal or state law may submit a claim to the commission for costs if the claim is associated with a request by the
state hazardous material incident response team or the commission. (3) Claims for reimbursement must be submitted to the commission within 60 days after termination of the response to
the incident for the state's determination of payment, if any. (4) Reimbursement may be made only after the commission finds that the actions by the applicant were taken in response
to an incident as defined in this part and only if adequate funds are available. 10-3-1215. Deficiency warrants for reimbursement of response costs. (1) (a) The commission shall review
all claims for reimbursement and make recommendations to the governor as to payment or nonpayment of the claims within 90 days of receipt. The governor may authorize the issuance of
warrants to be paid from the environmental contingency account provided for in 75-1-1101 to the limit of the fund balance for the purpose of reimbursing reasonable and documented costs
associated with emergency actions taken pursuant to this part. (b) The costs of routine firefighting procedures are not reimbursable costs under this part. (2) Reimbursement must be
in accordance with the schedule defined in the plan.
(3) The decision of the governor is final and nonappealable. (4) This section may not be construed to change or impair any right of recovery or subrogation arising under any other provision
of law. 10-3-1216. Cost recovery and civil remedies. (1) Cost recovery is the duty of the city or county having authority where an incident occurred. (2) The commission shall ensure
the recovery of state expenditures according to the plan. (3) A person responsible for an incident is liable for attorney fees and costs of the commission incurred in recovering costs
associated with responding to an incident. (4) The remedy for the recovery of emergency response costs identified in this part is in addition to any other remedy for recovery of the
costs provided by applicable federal or state law. (5) Any person who receives compensation for the emergency response costs pursuant to any other federal or state law is precluded from
recovering compensation for those costs pursuant to this chapter. (6) Except for the commission, the state hazardous material incident response team, and the local emergency response
authority, this part does not otherwise affect or modify in any way the obligations or liability of any person under any other provision of state or federal law, including common law,
for damages, injury, or loss resulting from the release or threatened release of any hazardous material or for remedial action or the costs of remedial action for a release or threatened
release. (7) Any person who is not a liable party under the federal Comprehensive Environmental Response, Compensation, and Liability Act of 1980, 42 U.S.C. 9601, et seq., as amended,
or the Comprehensive Environmental Cleanup and Responsibility Act, Title 75, chapter 10, part 7, and who renders assistance in response to an emergency situation associated with an incident
may file a civil action against the responsible party for recoverable costs that have not been reimbursed by the state. (8) Recoveries by the state for reimbursed costs under this section
must be deposited in the environmental contingency account to offset amounts paid as reimbursement. (9) (a) In the event of orphaned hazardous material or the inability of the state
to recover the full cost associated with an incident and the cost of collection described in this section, the state shall recover from the city or county having authority where the
incident occurred an amount equal to 25% of the total cost identified pursuant to this part.
(b) When the hazardous material incident occurs in or involves multiple jurisdictions, the collectible amount must be equally divided among the jurisdictions. 10-3-1217. Liability of
persons and response team members rendering assistance. (1) The following are not liable under this part for injuries, costs, damages, expenses, or other liabilities resulting from the
release or threatened release or remedial action resulting from the release or threatened release of a hazardous material: (a) the state or a political subdivision of the state; (b)
the commission; (c) the local emergency response authority; (d) the state hazardous material incident response team; (e) a private emergency response team dispatched by the state, a
political subdivision of the state, or a local or tribal emergency response authority for emergency response activities; and (f) an employee, representative, or agent of any of the entities
listed in subsections (1)(a) through (1)(e), except for willful misconduct or gross negligence. (2) The immunity includes but is not limited to indemnification, contribution, or thirdparty
claims for wrongful death, personal injury, illness, loss or damages to property, or economic loss. (3) A person becomes a member of the state hazardous material incident response team
when the person is contacted, dispatched, or requested for response regardless of the person's location. 10-3-1218. Required assistance in hazardous material incident. An owner or agent
of the owner of a hazardous material involved in an incident, a person causing an incident, a person transporting a hazardous material involved in an incident, and a person owning or
occupying property involved in an incident shall assist the state as requested by the incident commander in responding to an emergency situation associated with the incident as may be
necessary to address an acute threat to public health or safety or to the environment until the incident commander declares that the emergency situation is over.
368 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) 11. ‘‘Loss Prevention in the Process Industries,’’ Volumes I and II; Frank P. Lees, Butterworth; London 1983. 12. ‘‘Safety and Health
Program Management Guidelines,’’ 1989; U.S. Department of Labor, Occupational Safety and Health Administration. 13. ‘‘Safety and Health Guide for the Chemical Industry,’’ 1986, (OSHA
3091); U.S. Department of Labor, Occupational Safety and Health Administration; 200 Constitution Avenue, N.W., Washington, D.C. 20210. 14. ‘‘Review of Emergency Systems,’’ June 1988;
U.S. Environmental Protection Agency (EPA), Office of Solid Waste and Emergency Response, Washington, DC 20460. 15. ‘‘Technical Guidance for Hazards Analysis, Emergency Planning for
Extremely Hazardous Substances,’’ December 1987; U.S. Environmental Protection Agency (EPA), Federal Emergency Management Administration (FEMA) and U.S. Department of Transportation
(DOT), Washington, DC 20460. 16. ‘‘Accident Investigation * * * A New Approach,’’ 1983, National Safety Council; 444 North Michigan Avenue, Chicago, IL 60611– 3991. 17. ‘‘Fire & Explosion
Index Hazard Classification Guide,’’ 6th Edition, May 1987, Dow Chemical Company; Midland, Michigan 48674. 18. ‘‘Chemical Exposure Index,’’ May 1988, Dow Chemical Company; Midland, Michigan
48674. [57 FR 6403, Feb. 24, 1992; 57 FR 7847, Mar. 4, 1992, as amended at 61 FR 9238, Mar. 7, 1996; 67 FR 67964, Nov. 7, 2002] § 1910.120 Hazardous waste operations and emergency response.
(a) Scope, application, and definitions— (1) Scope. This section covers the following operations, unless the employer can demonstrate that the operation does not involve employee exposure
or the reasonable possibility for employee exposure to safety or health hazards: (i) Clean-up operations required by a governmental body, whether Federal, state, local or other involving
hazardous substances that are conducted at uncontrolled hazardous waste sites (including, but not limited to, the EPA’s National Priority Site List (NPL), state priority site lists,
sites recommended for the EPA NPL, and initial investigations of government identified sites which are conducted before the presence or absence of hazardous substances has been ascertained);
(ii) Corrective actions involving clean-up operations at sites covered by the Resource Conservation and Recovery Act of 1976 (RCRA) as amended (42 U.S.C. 6901 et seq.); (iii) Voluntary
clean-up operations at sites recognized by Federal, state, local or other governmental bodies as uncontrolled hazardous waste sites; (iv) Operations involving hazardous wastes that are
conducted at treatment, storage, and disposal (TSD) facilities regulated by 40 CFR parts 264 and 265 pursuant to RCRA; or by agencies under agreement with U.S.E.P.A. to implement RCRA
regulations; and (v) Emergency response operations for releases of, or substantial threats of releases of, hazardous substances without regard to the location of the hazard. (2) Application.
(i) All requirements of part 1910 and part 1926 of title 29 of the Code of Federal Regulations apply pursuant to their terms to hazardous waste and emergency response operations whether
covered by this section or not. If there is a conflict or overlap, the provision more protective of employee safety and health shall apply without regard to 29 CFR 1910.5(c)(1). (ii)
Hazardous substance clean-up operations within the scope of paragraphs (a)(1)(i) through (a)(1)(iii) of this section must comply with all paragraphs of this section except paragraphs
(p) and (q). (iii) Operations within the scope of paragraph (a)(1)(iv) of this section must comply only with the requirements of paragraph (p) of this section. Notes and Exceptions:
(A) All provisions of paragraph (p) of this section cover any treatment, storage or disposal (TSD) operation regulated by 40 CFR parts 264 and 265 or by state law authorized under RCRA,
and required to have a permit or interim status from EPA pursuant to 40 CFR 270.1 or from a state agency pursuant to RCRA. (B) Employers who are not required to have a permit or interim
status because they are conditionally exempt small quantity generators under 40 CFR 261.5 or are generators who qualify under 40 CFR 262.34 for exemptions from regulation under 40 CFR
parts 264, 265 and 270 (‘‘excepted employers’’) are not covered by paragraphs (p)(1) through (p)(7) of this section. Excepted employers who are required by the EPA or state agency to
have their employees engage in emergency response or who direct their employees to engage in emergency response are covered by paragraph (p)(8) of this section, and VerDate May<21>2004
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369 Occupational Safety and Health Admin., Labor § 1910.120 cannot be exempted by (p)(8)(i) of this section. Excepted employers who are not required to have employees engage in emergency
response, who direct their employees to evacuate in the case of such emergencies and who meet the requirements of paragraph (p)(8)(i) of this section are exempt from the balance of paragraph
(p)(8) of this section. (C) If an area is used primarily for treatment, storage or disposal, any emergency response operations in that area shall comply with paragraph (p)(8) of this
section. In other areas not used primarily for treatment, storage, or disposal, any emergency response operations shall comply with paragraph (q) of this section. Compliance with the
requirements of paragraph (q) of this section shall be deemed to be in compliance with the requirements of paragraph (p)(8) of this section. (iv) Emergency response operations for releases
of, or substantial threats of releases of, hazardous substances which are not covered by paragraphs (a)(1)(i) through (a)(1)(iv) of this section must only comply with the requirements
of paragraph (q) of this section. (3) Definitions—Buddy system means a system of organizing employees into work groups in such a manner that each employee of the work group is designated
to be observed by at least one other employee in the work group. The purpose of the buddy system is to provide rapid assistance to employees in the event of an emergency. Clean-up operation
means an operation where hazardous substances are removed, contained, incinerated, neutralized, stabilized, cleared-up, or in any other manner processed or handled with the ultimate
goal of making the site safer for people or the environment. Decontamination means the removal of hazardous substances from employees and their equipment to the extent necessary to preclude
the occurrence of foreseeable adverse health affects. Emergency response orresponding to emergencies means a response effort by employees from outside the immediate release area or by
other designated responders (i.e., mutual-aid groups, local fire departments, etc.) to an occurrence which results, or is likely to result, in an uncontrolled release of a hazardous
substance. Responses to incidental releases of hazardous substances where the substance can be absorbed, neutralized, or otherwise controlled at the time of release by employees in the
immediate release area, or by maintenance personnel are not considered to be emergency responses within the scope of this standard. Responses to releases of hazardous substances where
there is no potential safety or health hazard (i.e., fire, explosion, or chemical exposure) are not considered to be emergency responses. Facility means (A) any building, structure,
installation, equipment, pipe or pipeline (including any pipe into a sewer or publicly owned treatment works), well, pit, pond, lagoon, impoundment, ditch, storage container, motor vehicle,
rolling stock, or aircraft, or (B) any site or area where a hazardous substance has been deposited, stored, disposed of, or placed, or otherwise come to be located; but does not include
any consumer product in consumer use or any water-borne vessel. Hazardous materials response (HAZMAT) team means an organized group of employees, designated by the employer, who are
expected to perform work to handle and control actual or potential leaks or spills of hazardous substances requiring possible close approach to the substance. The team members perform
responses to releases or potential releases of hazardous substances for the purpose of control or stabilization of the incident. A HAZMAT team is not a fire brigade nor is a typical
fire brigade a HAZMAT team. A HAZMAT team, however, may be a separate component of a fire brigade or fire department. Hazardous substance means any substance designated or listed under
paragraphs (A) through (D) of this definition, exposure to which results or may result in adverse affects on the health or safety of employees: (A) Any substance defined under section
101(14) of CERCLA; (B) Any biological agent and other disease-causing agent which after release into the environment and upon exposure, ingestion, inhalation, or assimilation into any
person, either directly from the environment or indirectly by ingestion through food chains, will or may reasonably be anticipated to cause death, disease, behavioral abnormalities,
cancer, genetic VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00369 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
370 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) mutation, physiological malfunctions (including malfunctions in reproduction) or physical deformations in such persons or their offspring;
(C) Any substance listed by the U.S. Department of Transportation as hazardous materials under 49 CFR 172.101 and appendices; and (D) Hazardous waste as herein defined. Hazardous waste
means— (A) A waste or combination of wastes as defined in 40 CFR 261.3, or (B) Those substances defined as hazardous wastes in 49 CFR 171.8. Hazardous waste operation means any operation
conducted within the scope of this standard. Hazardous waste site or Site means any facility or location within the scope of this standard at which hazardous waste operations take place.
Health hazard means a chemical, mixture of chemicals or a pathogen for which there is statistically significant evidence based on at least one study conducted in accordance with established
scientific principles that acute or chronic health effects may occur in exposed employees. The term ‘‘health hazard’’ includes chemicals which are carcinogens, toxic or highly toxic
agents, reproductive toxins, irritants, corrosives, sensitizers, heptaotoxins, nephrotoxins, neurotoxins, agents which act on the hematopoietic system, and agents which damage the lungs,
skin, eyes, or mucous membranes. It also includes stress due to temperature extremes. Further definition of the terms used above can be found in appendix A to 29 CFR 1910.1200. IDLH
orImmediately dangerous to life or health means an atmospheric concentration of any toxic, corrosive or asphyxiant substance that poses an immediate threat to life or would cause irreversible
or delayed adverse health effects or would interfere with an individual’s ability to escape from a dangerous atmosphere. Oxygen deficiency means that concentration of oxygen by volume
below which atmosphere supplying respiratory protection must be provided. It exists in atmospheres where the percentage of oxygen by volume is less than 19.5 percent oxygen. Permissible
exposure limit means the exposure, inhalation or dermal permissible exposure limit specified in 29 CFR part 1910, subparts G and Z. Published exposure level means the exposure limits
published in ‘‘NIOSH Recommendations for Occupational Health Standards’’ dated 1986, which is incorporated by reference as specified in § 1910.6 or if none is specified, the exposure
limits published in the standards specified by the American Conference of Governmental Industrial Hygienists in their publication ‘‘Threshold Limit Values and Biological Exposure Indices
for 1987–88’’ dated 1987, which is incorporated by reference as specified in § 1910.6. Post emergency response means that portion of an emergency response performed after the immediate
threat of a release has been stabilized or eliminated and clean-up of the site has begun. If post emergency response is performed by an employer’s own employees who were part of the
initial emergency response, it is considered to be part of the initial response and not post emergency response. However, if a group of an employer’s own employees, separate from the
group providing initial response, performs the clean-up operation, then the separate group of employees would be considered to be performing post-emergency response and subject to paragraph
(q)(11) of this section. Qualified person means a person with specific training, knowledge and experience in the area for which the person has the responsibility and the authority to
control. Site safety and health supervisor (or official) means the individual located on a hazardous waste site who is responsible to the employer and has the authority and knowledge
necessary to implement the site safety and health plan and verify compliance with applicable safety and health requirements. Small quantity qenerator means a generator of hazardous wastes
who in any calendar month generates no more than 1,000 kilograms (2,205 pounds) of hazardous waste in that month. Uncontrolled hazardous waste site, means an area identified as an uncontrolled
hazardous waste site by a governmental body, whether Federal, VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00370 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
371 Occupational Safety and Health Admin., Labor § 1910.120 state, local or other where an accumulation of hazardous substances creates a threat to the health and safety of individuals
or the environment or both. Some sites are found on public lands such as those created by former municipal, county or state landfills where illegal or poorly managed waste disposal has
taken place. Other sites are found on private property, often belonging to generators or former generators of hazardous substance wastes. Examples of such sites include, but are not
limited to, surface impoundments, landfills, dumps, and tank or drum farms. Normal operations at TSD sites are not covered by this definition. (b) Safety and health program. NOTE TO
(b): Safety and health programs developed and implemented to meet other Federal, state, or local regulations are considered acceptable in meeting this requirement if they cover or are
modified to cover the topics required in this paragraph.
An additional or separate safety and health program is not required by this paragraph. (1) General. (i) Employers shall develop and implement a written safety and health program for
their employees involved in hazardous waste operations. The program shall be designed to identify, evaluate, and control safety and health hazards, and provide for emergency response
for hazardous waste operations. (ii) The written safety and health program shall incorporate the following: (A) An organizational structure; (B) A comprehensive workplan; (C) A site-specific
safety and health plan which need not repeat the employer’s standard operating procedures required in paragraph (b)(1)(ii)(F) of this section; (D) The safety and health training program;
(E) The medical surveillance program; (F) The employer’s standard operating procedures for safety and health; and (G) Any necessary interface between general program and site specific
activities. (iii) Site excavation. Site excavations created during initial site preparation or during hazardous waste operations shall be shored or sloped as appropriate to prevent accidental
collapse in accordance with subpart P of 29 CFR part 1926. (iv) Contractors and sub-contractors. An employer who retains contractor or sub-contractor services for work in hazardous waste
operations shall inform those contractors, sub-contractors, or their representatives of the site emergency response procedures and any potential fire, explosion, health, safety or other
hazards of the hazardous waste operation that have been identified by the employer, including those identified in the employer’s information program. (v) Program availability. The written
safety and health program shall be made available to any contractor or subcontractor or their representative who will be involved with the hazardous waste operation; to employees; to
employee designated representatives; to OSHA personnel, and to personnel of other Federal, state, or local agencies with regulatory authority over the site. (2) Organizational structure
part of the site program—(i) The organizationa1 structure part of the program shall establish the specific chain of command and specify the overall responsibilities of supervisors and
employees. It shall include, at a minimum, the following elements: (A) A general supervisor who has the responsibility and authority to direct all hazardous waste operations. (B) A site
safety and health supervisor who has the responsibility and authority to develop and implement the site safety and health plan and verify compliance. (C) All other personnel needed for
hazardous waste site operations and emergency response and their general functions and responsibilities. (D) The lines of authority, responsibility, and communication. (ii) The organizational
structure shall be reviewed and updated as necessary to reflect the current status of waste site operations. (3) Comprehensive workplan part of the site program. The comprehensive workplan
part of the program shall address the tasks and objectives of the VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00371 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
372 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) site operations and the logistics and resources required to reach those tasks and objectives. (i) The comprehensive workplan shall address
anticipated clean-up activities as well as normal operating procedures which need not repeat the employer’s procedures available elsewhere. (ii) The comprehensive workplan shall define
work tasks and objectives and identify the methods for accomplishing those tasks and objectives. (iii) The comprehensive workplan shall establish personnel requirements for implementing
the plan. (iv) The comprehensive workplan shall provide for the implementation of the training required in paragraph (e) of this section. (v) The comprehensive workplan shall provide
for the implementation of the required informational programs required in paragraph (i) of this section. (vi) The comprehensive workplan shall provide for the implementation of the medical
surveillance program described in paragraph (f) of this section. (4) Site-specific safety and health plan part of the program—(i) General. The site safety and health plan, which must
be kept on site, shall address the safety and health hazards of each phase of site operation and include the requirements and procedures for employee protection. (ii) Elements. The site
safety and health plan, as a minimum, shall address the following: (A) A safety and health risk or hazard analysis for each site task and operation found in the workplan. (B) Employee
training assignments to assure compliance with paragraph (e) of this section. (C) Personal protective equipment to be used by employees for each of the site tasks and operations being
conducted as required by the personal protective equipment program in paragraph (g)(5) of this section. (D) Medical surveillance requirements in accordance with the program in paragraph
(f) of this section. (E) Frequency and types of air monitoring, personnel monitoring, and environmental sampling techniques and instrumentation to be used, including methods of maintenance
and and calibration of monitoring and sampling equipment to be used. (F) Site control measures in accordance with the site control program required in paragraph (d) of this section.
(G) Decontamination procedures in accordance with paragraph (k) of this section. (H) An emergency response plan meeting the requirements of paragraph (l) of this section for safe and
effective responses to emergencies, including the necessary PPE and other equipment. (I) Confined space entry procedures. (J) A spill containment program meeting the requirements of
paragraph (j) of this section. (iii) Pre-entry briefing. The site specific safety and health plan shall provide for pre-entry briefings to be held prior to initiating any site activity,
and at such other times as necessary to ensure that employees are apprised of the site safety and health plan and that this plan is being followed. The information and data obtained
from site characterization and analysis work required in paragraph (c) of this section shall be used to prepare prepare and update the site safety and health plan. (iv) Effectiveness
of site safety and health plan. Inspections shall be conducted by the site safety and health supervisor or, in the absence of that individual, another individual who is knowledgeable
in occupational safety and health, acting on behalf of the employer as necessary to determine the effectiveness of the site safety and health plan. Any deficiencies in the effectiveness
of the site safety and health plan shall be corrected by the employer. (c) Site characterization and analysis— (1) General. Hazardous waste sites shall be evaluated in accordance with
this paragraph to identify specific site hazards and to determine the appropriate safety and health control procedures needed to protect employees from the identified hazards. (2) Preliminary
evaluation. A preliminary evaluation of a site’s characteristics shall be performed prior to site entry by a qualified person in order to aid in the selection of appropriate employee
protection methods prior to site entry. Immediately after initial site VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00372 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
373 Occupational Safety and Health Admin., Labor § 1910.120 entry, a more detailed evaluation of the site’s specific characteristics shall be performed by a qualified person in order
to further identify existing site hazards and to further aid in the selection of the appropriate engineering controls and personal protective equipment for the tasks to be performed.
(3) Hazard identification. All suspected conditions that may pose inhalation or skin absorption hazards that are immediately dangerous to life or health (IDLH), or other conditions that
may cause death or serious harm, shall be identified during the preliminary survey and evaluated during the detailed survey. Examples of such hazards include, but are not limited to,
confined space entry, potentially explosive or flammable situations, visible vapor clouds, or areas where biological indicators such as dead animals or vegetation are located. (4) Required
information. The following information to the extent available shall be obtained by the employer prior to allowing employees to enter a site: (i) Location and approximate size of the
site. (ii) Description of the response activity and/or the job task to be performed. (iii) Duration of the planned employee activity. (iv) Site topography and accessibility by air and
roads. (v) Safety and health hazards expected at the site. (vi) Pathways for hazardous substance dispersion. (vii) Present status and capabilities of emergency response teams that would
provide assistance to hazardous waste clean-up site employees at the time of an emergency. (viii) Hazardous substances and health hazards involved or expected at the site, and their
chemical and physical properties. (5) Personal protective equipment. Personal protective equipment (PPE) shall be provided and used during initial site entry in accordance with the following
requirements: (i) Based upon the results of the preliminary site evaluation, an ensemble of PPE shall be selected and used during initial site entry which will provide protection to
a level of exposure below permissible exposure limits and published exposure levels for known or suspected hazardous substances and health hazards, and which will provide protection
against other known and suspected hazards identified during the preliminary site evaluation. If there is no permissible exposure limit or published exposure level, the employer may use
other published studies and information as a guide to appropriate personal protective equipment. (ii) If positive-pressure self-contained breathing apparatus is not used as part of the
entry ensemble, and if respiratory protection is warranted by the potential hazards identified during the preliminary site evaluation, an escape self-contained breathing apparatus of
at least five minute’s duration shall be carried by employees during initial site entry. (iii) If the preliminary site evaluation does not produce sufficient information to identify
the hazards or suspected hazards of the site, an ensemble providing protection equivalent to Level B PPE shall be provided as minimum protection, and direct reading instruments shall
be used as appropriate for identifying IDLH conditions. (See appendix B for a description of Level B hazards and the recommendations for Level B protective equipment.) (iv) Once the
hazards of the site have been identified, the appropriate PPE shall be selected and used in accordance with paragraph (g) of this section. (6) Monitoring. The following monitoring shall
be conducted during initial site entry when the site evaluation produces information that shows the potential for ionizing radiation or IDLH conditions, or when the site information
is not sufficient reasonably to eliminate these possible conditions: (i) Monitoring with direct reading instruments for hazardous levels of ionizing radiation. (ii) Monitoring the air
with appropriate direct reading test equipment (i.e., combustible gas meters, detector tubes) for IDLH and other conditions that may cause death or serious harm (combustible or explosive
atmospheres, oxygen deficiency, toxic substances). VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00373 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
374 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) (iii) Visually observing for signs of actual or potential IDLH or other dangerous conditions. (iv) An ongoing air monitoring program in
accordance with paragraph (h) of this section shall be implemented after site characterization has determined the site is safe for the start-up of operations. (7) Risk identification.
Once the presence and concentrations of specific hazardous substances and health hazards have been established, the risks associated with these substances shall be identified. Employees
who will be working on the site shall be informed of any risks that have been identified. In situations covered by the Hazard Communication Standard, 29 CFR 1910.1200, training required
by that standard need not be duplicated. NOTE TO PARAGRAPH (c)(7). Risks to consider include, but are not limited to: (a) Exposures exceeding the permissible exposure limits and published
exposure levels. (b) IDLH concentrations. (c) Potential skin absorption and irritation sources. (d) Potential eye irritation sources. (e) Explosion sensitivity and flammability ranges.
(f) Oxygen deficiency. (8) Employee notification. Any information concerning the chemical, physical, and toxicologic properties of each substance known or expected to be present on site
that is available to the employer and relevant to the duties an employee is expected to perform shall be made available to the affected employees prior to the commencement of their work
activities. The employer may utilize information developed for the hazard communication standard for this purpose. (d) Site control—(1) General. Appropriate site control procedures shall
be implemented to control employee exposure to hazardous substances before clean-up work begins. (2) Site control program. A site control program for protecting employees which is part
of the employer’s site safety and health program required in paragraph (b) of this section shall be developed during the planning stages of a hazardous waste clean-up operation and modified
as necessary as new information becomes available. (3) Elements of the site control program. The site control program shall, as a minimum, include: A site map; site work zones; the use
of a ‘‘buddy system’’; site communications including alerting means for emergencies; the standard operating procedures or safe work practices; and, identification of the nearest medical
assistance. Where these requirements are covered elsewhere they need not be repeated. (e) Training—(1) General. (i) All employees working on site (such as but not limited to equipment
operators, general laborers and others) exposed to hazardous substances, health hazards, or safety hazards and their supervisors and management responsible for the site shall receive
training meeting the requirements of this paragraph before they are permitted to engage in hazardous waste operations that could expose them to hazardous substances, safety, or health
hazards, and they shall receive review training as specified in this paragraph. (ii) Employees shall not be permitted to participate in or supervise field activities until they have
been trained to a level required by their job function and responsibility. (2) Elements to be covered. The training shall thoroughly cover the following: (i) Names of personnel and alternates
responsible for site safety and health; (ii) Safety, health and other hazards present on the site; (iii) Use of personal protective equipment; (iv) Work practices by which the employee
can minimize risks from hazards; (v) Safe use of engineering controls and equipment on the site; (vi) Medical surveillance requirements, including recognition of symptoms and signs which
might indicate overexposure to hazards; and (vii) The contents of paragraphs (G) through (J) of the site safety and health plan set forth in paragraph (b)(4)(ii) of this section. (3)
Initial training. (i) General site workers (such as equipment operators, general laborers and supervisory personnel) engaged in hazardous substance removal or other activities which
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375 Occupational Safety and Health Admin., Labor § 1910.120 hazardous substances and health hazards shall receive a minimum of 40 hours of instruction off the site, and a minimum of
three days actual field experience under the direct supervision of a trained, experienced supervisor. (ii) Workers on site only occasionally for a specific limited task (such as, but
not limited to, ground water monitoring, land surveying, or geo-physical surveying) and who are unlikely to be exposed over permissible exposure limits and published exposure limits
shall receive a minimum of 24 hours of instruction off the site, and the minimum of one day actual field experience under the direct supervision of a trained, experienced supervisor.
(iii) Workers regularly on site who work in areas which have been monitored and fully characterized indicating that exposures are under permissible exposure limits and published exposure
limits where respirators are not necessary, and the characterization indicates that there are no health hazards or the possibility of an emergency developing, shall receive a minimum
of 24 hours of instruction off the site and the minimum of one day actual field experience under the direct supervision of a trained, experienced supervisor. (iv) Workers with 24 hours
of training who are covered by paragraphs (e)(3)(ii) and (e)(3)(iii) of this section, and who become general site workers or who are required to wear respirators, shall have the additional
16 hours and two days of training necessary to total the training specified in paragraph (e)(3)(i). (4) Management and supervisor training. On-site management and supervisors directly
responsible for, or who supervise employees engaged in, hazardous waste operations shall receive 40 hours initial training, and three days of supervised field experience (the training
may be reduced to 24 hours and one day if the only area of their responsibility is employees covered by paragraphs (e)(3)(ii) and (e)(3)(iii)) and at least eight additional hours of
specialized training at the time of job assignment on such topics as, but not limited to, the employer’s safety and health program and the associated employee training program, personal
protective equipment program, spill containment program, and health hazard monitoring procedure and techniques. (5) Qualifications for trainers. Trainers shall be qualified to instruct
employees about the subject matter that is being presented in training. Such trainers shall have satisfactorily completed a training program for teaching the subjects they are expected
to teach, or they shall have the academic credentials and instructional experience necessary for teaching the subjects. Instructors shall demonstrate competent instructional skills and
knowledge of the applicable subject matter. (6) Training certification. Employees and supervisors that have received and successfully completed the training and field experience specified
in paragraphs (e)(1) through (e)(4) of this section shall be certified by their instructor or the head instructor and trained supervisor as having successfully completed the necessary
training. A written certificate shall be given to each person so certified. Any person who has not been so certified or who does not meet the requirements of paragraph (e)(9) of this
section shall be prohibited from engaging in hazardous waste operations. (7) Emergency response. Employees who are engaged in responding to hazardous emergency situations at hazardous
waste clean-up sites that may expose them to hazardous substances shall be trained in how to respond to such expected emergencies. (8) Refresher training. Employees specified in paragraph
(e)(1) of this section, and managers and supervisors specified in paragraph (e)(4) of this section, shall receive eight hours of refresher training annually on the items specified in
paragraph (e)(2) and/or (e)(4) of this section, any critique of incidents that have occurred in the past year that can serve as training examples of related work, and other relevant
topics. (9) Equivalent training. Employers who can show by documentation or certification that an employee’s work experience and/or training has resulted in training equivalent to that
training required in paragraphs (e)(1) through (e)(4) of this section shall not be required to provide the initial training requirements of those paragraphs to such employees and shall
provide a VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00375 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
376 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) copy of the certification or documentation to the employee upon request. However, certified employees or employees with equivalent training
new to a site shall receive appropriate, site specific training before site entry and have appropriate supervised field experience at the new site. Equivalent training includes any academic
training or the training that existing employees might have already received from actual hazardous waste site work experience. (f) Medical surveillance—(1) General. Employers engaged
in operations specified in paragraphs (a)(1)(i) through (a)(1)(iv) of this section and not covered by (a)(2)(iii) exceptions and employers of employees specified in paragraph (q)(9)
shall institute a medical surveillance program in accordance with this paragraph. (2) Employees covered. The medical surveillance program shall be instituted by the employer for the
following employees: (i) All employees who are or may be exposed to hazardous substances or health hazards at or above the permissible exposure limits or, if there is no permissible
exposure limit, above the published exposure levels for these substances, without regard to the use of respirators, for 30 days or more a year; (ii) All employees who wear a respirator
for 30 days or more a year or as required by § 1910.134; (iii) All employees who are injured, become ill or develop signs or symptoms due to possible overexposure involving hazardous
substances or health hazards from an emergency response or hazardous waste operation; and (iv) Members of HAZMAT teams. (3) Frequency of medical examinations and consultations. Medical
examinations and consultations shall be made available by the employer to each employee covered under paragraph (f)(2) of this section on the following schedules: (i) For employees covered
under paragraphs (f)(2)(i), (f)(2)(ii), and (f)(2)(iv): (A) Prior to assignment; (B) At least once every twelve months for each employee covered unless the attending physician believes
a longer interval (not greater than biennially) is appropriate; (C) At termination of employment or reassignment to an area where the employee would not be covered if the employee has
not had an examination within the last six months; (D) As soon as possible upon notification by an employee that the employee has developed signs or symptoms indicating possible overexposure
to hazardous substances or health hazards, or that the employee has been injured or exposed above the permissible exposure limits or published exposure levels in an emergency situation;
(E) At more frequent times, if the examining physician determines that an increased frequency of examination is medically necessary. (ii) For employees covered under paragraph (f)(2)(iii)
and for all employees including those of employers covered by paragraph (a)(1)(v) who may have been injured, received a health impairment, developed signs or symptoms which may have
resulted from exposure to hazardous substances resulting from an emergency incident, or exposed during an emergency incident to hazardous substances at concentrations above the permissible
exposure limits or the published exposure levels without the necessary personal protective equipment being used: (A) As soon as possible following the emergency incident or development
of signs or symptoms; (B) At additional times, if the examining physician determines that followup examinations or consultations are medically necessary. (4) Content of medical examinations
and consultations. (i) Medical examinations required by paragraph (f)(3) of this section shall include a medical and work history (or updated history if one is in the employee’s file)
with special emphasis on symptoms related to the handling of hazardous substances and health hazards, and to fitness for duty including the ability to wear any required PPE under conditions
(i.e., temperature extremes) that may be expected at the work site. (ii) The content of medical examinations or consultations made available to employees pursuant to paragraph (f) shall
be be determined by the attending physician. The guidelines in the Occupational Safety and Health Guidance VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00376 Fmt 8010
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377 Occupational Safety and Health Admin., Labor § 1910.120 Manual for Hazardous Waste Site Activities (See appendix D, Reference #10) should be consulted. (5) Examination by a physician
and costs. All medical examinations and procedures shall be performed by or under the supervision of a licensed physician, preferably one knowledgeable in occupational medicine, and
shall be provided without cost to the employee, without loss of pay, and at a reasonable time and place. (6) Information provided to the physician. The employer shall provide one copy
of this standard and its appendices to the attending physician, and in addition the following for each employee: (i) A description of the employee’s duties as they relate to the employee’s
exposures. (ii) The employee’s exposure levels or anticipated exposure levels. (iii) A description of any personal protective equipment used or to be used. (iv) Information from previous
medical examinations of the employee which is not readily available to the examining physician. (v) Information required by § 1910.134. (7) Physician’s written opinion. (i) The employer
shall obtain and furnish the employee with a copy of a written opinion from the attending physician containing the following: (A) The physician’s opinion as to whether the employee has
any detected medical conditions which would place the employee at increased risk of material impairment of the employee’s health from work in hazardous waste operations or emergency
response, or from respirator use. (B) The physician’s recommended limitations upon the employee’s assigned work. (C) The results of the medical examination and tests if requested by
the employee. (D) A statement that the employee has been informed by the physician of the results of the medical examination and any medical conditions which require further examination
or treatment. (ii) The written opinion obtained by the employer shall not reveal specific findings or diagnoses unrelated to occupational exposures. (8) Recordkeeping. (i) An accurate
record of the medical surveillance required by paragraph (f) of this section shall be retained. This record shall be retained for the period specified and meet the criteria of 29 CFR
1910.20. (ii) The record required in paragraph (f)(8)(i) of this section shall include at least the following information: (A) The name and social security number of the employee; (B)
Physician’s written opinions, recommended limitations, and results of examinations and tests; (C) Any employee medical complaints related to exposure to hazardous substances; (D) A copy
of the information provided to the examining physician by the employer, with the exception of the standard and its appendices. (g) Engineering controls, work practices, and personal
protective equipment for employee protection. Engineering controls, work practices, personal protective equipment, or a combination of these shall be implemented in accordance with this
paragraph to protect employees from exposure to hazardous substances and safety and health hazards. (1) Engineering controls, work practices and PPE for substances regulated in subparts
G and Z. (i) Engineering controls and work practices shall be instituted to reduce and maintain employee exposure to or below the permissible exposure limits for substances regulated
by 29 CFR part 1910, to the extent required by subpart Z, except to the extent that such controls and practices are not feasible. NOTE TO PARAGRAPH (g)(1)(i): Engineering controls which
may be feasible include the use of pressurized cabs or control booths on equipment, and/or the use of remotely operated material handling equipment. Work practices which may be feasible
are removing all non-essential employees from potential exposure during opening of drums, wetting down dusty operations and locating employees upwind of possible hazards. (ii) Whenever
engineering controls and work practices are not feasible or not required, any reasonable combination of engineering controls,
work practices and PPE shall be used to reduce and maintain employee exposures VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00377 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX
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378 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) to or below the permissible exposure limits or dose limits for substances regulated by 29 CFR part 1910, subpart Z. (iii) The employer
shall not implement a schedule of employee rotation as a means of compliance with permissible exposure limits or dose limits except when there is no other feasible way of complying with
the airborne or dermal dose limits for ionizing radiation. (iv) The provisions of 29 CFR, subpart G, shall be followed. (2) Engineering controls, work practices, and PPE for substances
not regulated in subparts G and Z. An appropriate combination of engineering controls, work practices and personal protective equipment shall be used to reduce and maintain employee
exposure to or below published exposure levels for hazardous substances and health hazards not regulated by 29 CFR part 1910, subparts G and Z. The employer may use the published literature
and MSDS as a guide in making the employer’s determination as to what level of protection the employer believes is appropriate for hazardous substances and health hazards for which there
is no permissible exposure limit or published exposure limit. (3) Personal protective equipment selection. (i) Personal protective equipment (PPE) shall be selected and used which will
protect employees from the hazards and potential hazards they are likely to encounter as identified during the site characterization and analysis. (ii) Personal protective equipment
selection shall be based on an evaluation of the performance characteristics of the PPE relative to the requirements and limitations of the site, the task-specific conditions and duration,
and the hazards and potential hazards identified at the site. (iii) Positive pressure self-contained breathing apparatus, or positive pressure air-line respirators equipped with an escape
air supply, shall be used when chemical exposure levels present will create a substantial possibility of immediate death, immediate serious illness or injury, or impair the ability to
escape. (iv) Totally-encapsulating chemical protective suits (protection equivalent to Level A protection as recommended in appendix B) shall be used in conditions where skin absorption
of a hazardous substance may result in a substantial possibility of immediate death, immediate serious illness or injury, or impair the ability to escape. (v) The level of protection
provided by PPE selection shall be increased when additional information on site conditions indicates that increased protection is necessary to reduce employee exposures below permissible
exposure limits and published exposure levels for hazardous substances and health hazards. (See appendix B for guidance on selecting PPE ensembles.) NOTE TO PARAGRAPH (g)(3): The level
of employee protection provided may be decreased when additional information or site conditions show that decreased protection will not result in hazardous exposures to employees. (vi)
Personal protective equipment shall be selected and used to meet the requirements of 29 CFR part 1910, subpart I, and additional requirements specified in this section. (4) Totally-encapsulating
chemical protective suits. (i) Totally-encapsulating suits shall protect employees from the particular hazards which are identified during site characterization and analysis. (ii) Totally-encapsulati
ng suits shall be capable of maintaining positive air pressure. (See appendix A for a test method which may be used to evaluate this requirement.) (iii) Totally-encapsulating suits shall
be capable of preventing inward test gas leakage of more than 0.5 percent. (See appendix A for a test method which may be used to evaluate this requirement.) (5) Personal protective
equipment (PPE) program. A written personal protective equipment program, which is part of the employer’s safety and health program required in paragraph (b) of this section or required
in paragraph (p)(1) of this section and which is also a part of the site-specific safety and health plan shall be established. The PPE program shall address the elements listed below.
When elements, such as donning and doffing procedures, are provided by the manufacturer of a piece of equipment and are attached to the plan, they need not be rewritten into the VerDate
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379 Occupational Safety and Health Admin., Labor § 1910.120 plan as long as they adequately address the procedure or element. (i) PPE selection based upon site hazards, (ii) PPE use
and limitations of the equipment, (iii) Work mission duration, (iv) PPE maintenance and storage, (v) PPE decontamination and disposal, (vi) PPE training and proper fitting, (vii) PPE
donning and doffing procedures, (viii) PPE inspection procedures prior to, during, and after use, (ix) Evaluation of the effectiveness of the PPE program, and (x) Limitations during
temperature extremes, heat stress, and other appropriate medical considerations. (h) Monitoring—(1) General. (i) Monitoring shall be performed in accordance with this paragraph where
there may be a question of employee exposure to hazardous concentrations of hazardous substances in order to assure proper selection of engineering controls, work practices and personal
protective equipment so that employees are not exposed to levels which exceed permissible exposure limits, limits, or published exposure levels if there are no permissible exposure limits,
for hazardous substances. (ii) Air monitoring shall be used to identify and quantify airborne levels of hazardous substances and safety and health hazards in order to determine the appropriate
level of employee protection needed on site. (2) Initial entry. Upon initial entry, representative air monitoring shall be conducted to identify any IDLH condition, exposure over permissible
exposure limits or published exposure levels, exposure over a radioactive material’s dose limits or other dangerous condition such as the presence of flammable atmospheres or oxygen-deficient
environments. (3) Periodic monitoring. Periodic monitoring shall be conducted when the possibility of an IDLH condition or flammable atmosphere has developed or when there is indication
that exposures may have risen over permissible exposure limits or published exposure levels since prior monitoring. Situations where it shall be considered whether the possibility that
exposures have risen are as follows: (i) When work begins on a different portion of the site. (ii) When contaminants other than those previously identified are being handled. (iii) When
a different type of operation is initiated (e.g., drum opening as opposed to exploratory well drilling). (iv) When employees are handling leaking drums or containers or working in areas
with obvious liquid contamination (e.g., a spill or lagoon). (4) Monitoring of high-risk employees. After the actual clean-up phase of any hazardous waste operation commences; for example,
when soil, surface water or containers are moved or disturbed; the employer shall monitor those employees likely to have the highest exposures to hazardous substances and health hazards
likely to be present above permissible exposure limits or published exposure levels by using personal sampling frequently enough to characterize employee exposures. If the employees
likely to have the highest exposure are over permissible exposure limits or published exposure limits, then monitoring shall continue to determine all employees likely to be above those
limits. The employer may utilize a representative sampling approach by documenting that the employees and chemicals chosen for monitoring are based on the criteria stated above. NOTE
TO PARAGRAPH (h): It is not required to monitor employees engaged in site characterization operations covered by paragraph (c) of this section. (i) Informational programs. Employers
shall develop and implement a program, which is part of the employer’s safety and health program required in paragraph (b) of this section, to inform employees, contractors, and subcontractors
(or their representative) actually engaged in hazardous waste operations of the nature, level and degree of exposure likely as a result of participation in such hazardous waste operations.
Employees, contractors and subcontractors working outside of the operations part of a site are not covered by this standard. (j) Handling drums and containers—(1) General. (i) Hazardous
substances and contaminated soils, liquids, and other VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00379 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
380 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) residues shall be handled, transported, labeled, and disposed of in accordance with this paragraph. (ii) Drums and containers used during
the clean-up shall meet the appropriate DOT, OSHA, and EPA regulations for the wastes that they contain. (iii) When practical, drums and containers shall be inspected and their integrity
shall be assured prior to being moved. Drums or containers that cannot be inspected before being moved because of storage conditions (i.e., buried beneath the earth, stacked behind other
drums, stacked several tiers high in a pile, etc.) shall be moved to an accessible location and inspected prior to further handling. (iv) Unlabelled drums and containers shall be considered
to contain hazardous substances and handled accordingly until the contents are positively identified and labeled. (v) Site operations shall be organized to minimize the amount of drum
or container movement. (vi) Prior to movement of drums or containers, all employees exposed to the transfer operation shall be warned of the potential hazards associated with the contents
of the drums or containers. (vii) U.S. Department of Transportation specified salvage drums or containers and suitable quantities of proper absorbent shall be kept available and used
in areas where spills, leaks, or ruptures may occur. (viii) Where major spills may occur, a spill containment program, which is part of the employer’s safety and health program required
in paragraph (b) of this section, shall be implemented to contain and isolate the entire volume of the hazardous substance being transferred. (ix) Drums and containers that cannot be
moved without rupture, leakage, or spillage shall be emptied into a sound container using a device classified for the material being transferred. (x) A ground-penetrating system or other
type of detection system or device shall be used to estimate the location and depth of buried drums or containers. (xi) Soil or covering material shall be removed with caution to prevent
drum or container rupture. (xii) Fire extinguishing equipment meeting the requirements of 29 CFR part 1910, subpart L, shall be on hand and ready for use to control incipient fires.
(2) Openinq drums and containers. The following procedures shall be followed in areas where drums or containers are being opened: (i) Where an airline respirator system is used, connections
to the source of air supply shall be protected from contamination and the entire system shall be protected from physical damage. (ii) Employees not actually involved in opening drums
or containers shall be kept a safe distance from the drums or containers being opened. (iii) If employees must work near or adjacent to drums or containers being opened, a suitable shield
that does not interfere with the work operation shall be placed between the employee and the drums or containers being opened to protect the employee in case of accidental explosion.
(iv) Controls for drum or container opening equipment, monitoring equipment, and fire suppression equipment shall be located behind the explosionresistant barrier. (v) When there is
a reasonable possibility of flammable atmospheres being present, material handling equipment and hand tools shall be of the type to prevent sources of ignition. (vi) Drums and containers
shall be opened in such a manner that excess interior pressure will be safely relieved. If pressure can not be relieved from a remote location, appropriate shielding shall be placed
between the employee and the drums or containers to reduce the risk of employee injury. (vii) Employees shall not stand upon or work from drums or containers. (3) Material handling equipment.
Material handiing equipment used to transfer drums and containers shall be selected, positioned and operated to minimize sources of ignition related to the equipment from igniting vapors
released from ruptured drums or containers. (4) Radioactive wastes. Drums and containers containing radioactive wastes shall not be handled until such time as their hazard to employees
is is properly assessed. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00380 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
381 Occupational Safety and Health Admin., Labor § 1910.120 (5) Shock sensitive wastes. As a minimum, the following special precautions shall be taken when drums and containers containing
or suspected of containing shock-sensitive wastes are handled: (i) All non-essential employees shall be evacuated from the area of transfer. (ii) Material handling equipment shall be
provided with explosive containment devices or protective shields to protect equipment operators from exploding containers. (iii) An employee alarm system capable of being perceived
above surrounding light and noise conditions shall be used to signal the commencement and completion of explosive waste handling activities. (iv) Continuous communications (i.e., portable
radios, hand signals, telephones, as appropriate) shall be maintained between the employee-in-charge of the immediate handling area and both the site safety and health supervisor and
the command post until such time as the handling operation is completed. Communication equipment or methods that could cause shock sensitive materials to explode shall not be used. (v)
Drums and containers under pressure, as evidenced by bulging or swelling, shall not be moved until such time as the cause for excess pressure is determined and appropriate containment
procedures have been implemented to protect employees from explosive relief of the drum. (vi) Drums and containers containing packaged laboratory wastes shall be considered to contain
shock-sensitive or explosive materials until they have been characterized. CAUTION: Shipping of shock sensitive wastes may be prohibited under U.S. Department of Transportation regulations.
Employers and their shippers should refer to 49 CFR 173.21 and 173.50. (6) Laboratory waste packs. In addition to the requirements of paragraph (j)(5) of this section, the following
precautions shall be taken, as a minimum, in handling laboratory waste packs (lab packs): (i) Lab packs shall be opened only when necessary and then only by an individual knowledgeable
in the inspection, classification, and segregation of the containers within the pack according to the hazards of the wastes. (ii) If crystalline material is noted on any container, the
contents shall be handled as a shock-sensitive waste until the contents are identified. (7) Sampling of drum and container contents. Sampling of containers and drums shall be done in
accordance with a sampling procedure which is part of the site safety and health plan developed for and available to employees and others at the specific worksite. (8) Shipping and transport.
(i) Drums and containers shall be identified and classified prior to packaging for shipment. (ii) Drum or container staging areas shall be kept to the minimum number necessary to identify
and classify materials safely and prepare them for transport. (iii) Staging areas shall be provided with adequate access and egress routes. (iv) Bulking of hazardous wastes shall be
permitted only after a thorough characterization of the materials has been completed. (9) Tank and vault vault procedures. (i) Tanks and vaults containing hazardous substances shall
be handled in a manner similar to that for drums and containers, taking into consideration the size of the tank or vault. (ii) Appropriate tank or vault entry procedures as described
in the employer’s safety and health plan shall be followed whenever employees must enter a tank or vault. (k) Decontamination—(1) General. Procedures for all phases of decontamination
shall be developed and implemented in accordance with this paragraph. (2) Decontamination procedures. (i) A decontamination procedure shall be developed, communicated to employees and
implemented before any employees or equipment may enter areas on site where potential for exposure to hazardous substances exists. (ii) Standard operating procedures shall be developed
to minimize employee contact with hazardous substances or with equipment that has contacted hazardous substances. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00381
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382 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) (iii) All employees leaving a contaminated area shall be appropriately decontaminated; all contaminated clothing and equipment leaving
a contaminated area shall be appropriately disposed of or decontaminated. (iv) Decontamination procedures shall be monitored by the site safety and health supervisor to determine their
effectiveness. When such procedures are found to be ineffective, appropriate steps shall be taken to correct any deficiencies. (3) Location. Decontamination shall be performed in geographical
areas that will minimize the exposure of uncontaminated employees or equipment to contaminated employees or equipment. (4) Equipment and solvents. All equipment and solvents used for
decontamination shall be decontaminated or disposed of properly. (5) Personal protective clothing and equipment. (i) Protective clothing and equipment shall be decontaminated, cleaned,
laundered, maintained or replaced as needed to maintain their effectiveness. (ii) Employees whose non-impermeable clothing becomes wetted with hazardous substances shall immediately
remove that clothing and proceed to shower. The clothing shall be disposed of or decontaminated before it is removed from the work zone. (6) Unauthorized employees. Unauthorized employees
shall not remove protective clothing or equipment from change rooms. (7) Commercial laundries or cleaning establishments. Commercial laundries or cleaning establishments that decontaminate
protective clothing or equipment shall be informed of the potentially harmful effects of exposures to hazardous substances. (8) Showers and change rooms. Where the decontamination procedure
indicates a need for regular showers and change rooms outside of a contaminated area, they shall be provided and meet the requirements of 29 CFR 1910.141. If temperature conditions prevent
the effective use of water, then other effective means for cleansing shall be provided and used. (l) Emergency response by employees at uncontrolled hazardous waste sites—(1) Emergency
response plan. (i) An emergency response plan shall be developed and implemented by all employers within the scope of paragraphs (a)(1) (i)–(ii) of this section to handle anticipated
emergencies prior to the commencement of hazardous waste operations. The plan shall be in writing and available for inspection and copying by employees, their representatives, OSHA personnel
and other governmental agencies with relevant responsibilities. (ii) Employers who will evacuate their employees from the danger area when an emergency occurs, and who do not permit
any of their employees to assist in handling the emergency, are exempt from the requirements of this paragraph if they provide an emergency action plan complying with 29 CFR 1910.38.
(2) Elements of an emergency response plan. The employer shall develop an emergency response plan for emergencies which shall address, as a minimum, the following: (i) Pre-emergency
planning. (ii) Personnel roles, lines of authority, and communication. (iii) Emergency recognition and prevention. (iv) Safe distances and places of refuge. (v) Site security and control.
(vi) Evacuation routes and procedures. (vii) Decontamination procedures which are not covered by the site safety and health plan. (viii) Emergency medical treatment and first aid. (ix)
Emergency alerting and response procedures. (x) Critique of response and followup. (xi) PPE and emergency equipment. (3) Procedures for handling emergency incidents. (i) In addition
to the elements for the emergency response plan required in paragraph (l)(2) of this section, the following elements shall be included for emergency response plans: (A) Site topography,
layout, and prevailing weather conditions. (B) Procedures for reporting incidents to local, state, and federal governmental agencies. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110
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383 Occupational Safety and Health Admin., Labor § 1910.120 (ii) The emergency response plan shall be a separate section of the Site Safety and Health Plan. (iii) The emergency response
plan shall be compatible and integrated with the disaster, fire and/or emergency response plans of local, state, and federal agencies. (iv) The emergency response plan shall be rehearsed
regularly as part of the overall training program for site operations. (v) The site emergency response plan shall be reviewed periodically and, as necessary, be amended to keep it current
with new or changing site conditions or information. (vi) An employee alarm system shall be installed in accordance with 29 CFR 1910.165 to notify employees of an emergency situation;
to stop work activities if necessary; to lower background noise in order to speed communication; and to begin emergency procedures. (vii) Based upon the information available at time
of the emergency, the employer shall evaluate the incident and the site response capabilities and proceed with the appropriate steps to implement the site emergency response plan. (m)
Illumination. Areas accessible to employees shall be lighted to not less than the minimum illumination intensities listed in the following Table H– 120.1 while any work is in progress:
TABLE H–120.1—MINIMUM ILLUMINATION INTENSITIES IN FOOT-CANDLES Footcandles Area or operations 5 ........ General site areas. 3 ........ Excavation and waste areas, accessways, active
storage areas, loading platforms, refueling, and field maintenance areas. 5 ........ Indoors: Warehouses, corridors, hallways, and exitways. 5 ........ Tunnels, shafts, and general underground
work areas. (Exception: Minimum of 10 foot-candles is required at tunnel and shaft heading during drilling mucking, and scaling. Mine Safety and Health Administration approved cap lights
shall be acceptable for use in the tunnel heading.) 10 ...... General shops (e.g., mechanical and electrical equipment rooms, active storerooms, barracks or living quarters, locker or
dressing rooms, dining areas, and indoor toilets and workrooms.) 30 ...... First aid stations, infirmaries, and offices. (n) Sanitation at temporary workplaces—(1) Potable water. (i)
An adequate supply of potable water shall be provided on the site. (ii) Portable containers used to dispense drinking water shall be capable of being tightly closed, and equipped with
a tap. Water shall not be dipped from containers. (iii) Any container used to distribute drinking water shall be clearly marked as to the nature of its contents and not used for any
other purpose. (iv) Where single service cups (to be used but once) are supplied, both a sanitary container for the unused cups and a receptacle for disposing of the used cups shall
be provided. (2) Nonpotable water. (i) Outlets for nonpotable water, such as water for firefighting purposes, shall be identified to indicate clearly that the water is unsafe and is
not to be used for drinking, washing, or cooking purposes. (ii) There shall be no cross-connection, open or potential, between a system furnishing potable water and a system furnishing
nonpotable water. (3) Toilet facilities. (i) Toilets shall be provided for employees according to the following Table H–120.2. TABLE H–120.2—TOILET FACILITIES Number of employees Minimum
number of facilities 20 or fewer ............................. One. More than 20, fewer than 200 One toilet seat and one urinal per 40 employees. More than 200 ........................
One toilet seat and one urinal per 50 employees. (ii) Under temporary field conditions, provisions shall be made to assure that at least one toilet facility is available. (iii) Hazardous
waste sites not provided with a sanitary sewer shall be provided with the following toilet facilities unless prohibited by local codes: (A) Chemical toilets; (B) Recirculating toilets;
(C) Combustion toilets; or (D) Flush toilets. (iv) The requirements of this paragraph for sanitation facilities shall not apply to mobile crews having transportation readily available
to nearby toilet facilities. (v) Doors entering toilet facilities shall be provided with entrance locks controlled from inside the facility. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt
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384 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) (4) Food handling. All food service facilities and operations for employees shall meet the applicable laws, ordinances, and regulations
of the jurisdictions in which they are located. (5) Temporary sleeping quarters. When temporary sleeping quarters are provided, they shall be heated, ventilated, and lighted. (6) Washing
facilities. The employer shall provide adequate washing facilities for employees engaged in operations where hazardous substances may be harmful to employees. Such facilities shall be
in near proximity to the worksite; in areas where exposures are below permissible exposure limits and published exposure levels and which are under the controls of the employer; and
shall be so equipped as to enable employees to remove hazardous substances from themselves. (7) Showers and change rooms. When hazardous waste clean-up or removal operations commence
on a site and the duration of the work will require six months or greater time to complete, the employer shall provide showers and change rooms for all employees exposed to hazardous
substances and health hazards involved in hazardous waste clean-up or removal operations. (i) Showers shall be provided and shall meet the requirements of 29 CFR 1910.141(d)(3). (ii)
Change rooms shall be provided and shall meet the requirements of 29 CFR 1910.141(e). Change rooms shall consist of two separate change areas separated by the shower area required in
paragraph (n)(7)(i) of this section. One change area, with an exit leading off the worksite, shall provide employees with a clean area where they can remove, store, and put on street
clothing. The second area, with an exit to the worksite, shall provide employees with an area where they can put on, remove and store work clothing and personal protective equipment.
(iii) Showers and change rooms shall be located in areas where exposures are below the permissible exposure limits and published exposure levels. If this cannot be accomplished, then
a ventilation system shall be provided that will supply air that is below the permissible exposure limits and published exposure levels. (iv) Employers shall assure that employees shower
at the end of their work shift and when leaving the hazardous waste site. (o) New technology programs. (1) The employer shall develop and implement procedures for the introduction of
effective new technologies and equipment developed for the improved protection of employees working with hazardous waste clean-up operations, and the same shall be implemented as part
of the site safety and health program to assure that employee protection is being maintained. (2) New technologies, equipment or control measures available to the industry, such as the
use of foams, absorbents, adsorbents, neutralizers, or other means to suppress the level of air contaminates while excavating the site or for spill control, shall be evaluated by employers
or their representatives. Such an evaluation shall be done to determine the effectiveness of the new methods, materials, or equipment before implementing their use on a large scale for
enhancing employee protection. Information and data from manufacturers or suppliers may be used as part of the employer’s
evaluation effort. Such evaluations shall be made available to OSHA upon request. (p) Certain Operations Conducted Under the Resource Conservation and Recovery Act of 1976 (RCRA). Employers
conducting operations at treatment, storage and disposal (TSD) facilities specified in paragraph (a)(1)(iv) of this section shall provide and implement the programs specified in this
paragraph. See the ‘‘Notes and Exceptions’’ to paragraph (a)(2)(iii) of this section for employers not covered.)’’. (1) Safety and health program. The employer shall develop and implement
a written safety and health program for employees involved in hazardous waste operations that shall be available for inspection by employees, their representatives and OSHA personnel.
The program shall be designed to identify, evaluate and control safety and health hazards in their facilities for the purpose of employee protection, to provide for emergency response
meeting the requirements of paragraph (p)(8) of this section and to address as appropriate site analysis, engineering controls, VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000
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385 Occupational Safety and Health Admin., Labor § 1910.120 maximum exposure limits, hazardous waste handling procedures and uses of new technologies. (2) Hazard communication program.
The employer shall implement a hazard communication program meeting the requirements of 29 CFR 1910.1200 as part of the employer’s safety and program. NOTE TO § 1910.120: The exemption
for hazardous waste provided in § 1910.1200 is applicable to this section. (3) Medical surveillance program. The employer shall develop and implement a medical surveillance program meeting
the requirements of paragraph (f) of this section. (4) Decontamination program. The employer shall develop and implement a decontamination procedure meeting the requirements of paragraph
(k) of this section. (5) New technology program. The employer shall develop and implement procedures meeting the requirements of paragraph (o) of this section for introducing new and
innovative equipment into the workplace. (6) Material handling program. Where employees will be handling drums or containers, the employer shall develop and implement procedures meeting
the requirements of paragraphs (j)(1) (ii) through (viii) and (xi) of this section, as well as (j)(3) and (j)(8) of this section prior to starting such work. (7) Training program—(i)
New employees. The employer shall develop and implement a training program, which is part of the employer’s safety and health program, for employees exposed to health hazards or hazardous
substances at TSD operations to enable the employees to perform their assigned duties and functions in a safe and healthful manner so as not endanger themselves or other employees. The
initial training shall be for 24 hours and refresher training shall be for eight hours annually. Employees who have received the initial training required by this paragraph shall be
given a written certificate attesting that they have successfully completed the necessary training. (ii) Current employees. Employers who can show by an employee’s previous work experience
and/and/or training that the employee has had training equivalent to the initial training required by this paragraph, shall be considered as meeting the initial training requirements
of this paragraph as to that employee. Equivalent training includes the training that existing employees might have already received from actual site work experience. Current employees
shall receive eight hours of refresher training annually. (iii) Trainers. Trainers who teach initial training shall have satisfactorily completed a training course for teaching the subjects
they are expected to teach or they shall have the academic credentials and instruction experience necessary to demonstrate a good command of the subject matter of the courses and competent
instructional skills. (8) Emergency response program—(i) Emergency response plan. An emergency response plan shall be developed and implemented by all employers. Such plans need not
duplicate any of the subjects fully addressed in the employer’s contingency planning required by permits, such as those issued by the U.S. Environmental Protection Agency, provided that
the contingency plan is made part of the emergency response plan. The emergency response plan shall be a written portion of the employer’s safety and health program required in paragraph
(p)(1) of this section. Employers who will evacuate their employees from the worksite location when an emergency occurs and who do not permit any of their employees to assist in handling
the emergency are exempt from the requirements of paragraph (p)(8) if they provide an emergency action plan complying with 29 CFR 1910.38. (ii) Elements of an emergency response plan.
The employer shall develop an emergency response plan for emergencies which shall address, as a minimum, the following areas to the extent that they are not addressed in any specific
program required in this paragraph: (A) Pre-emergency planning and coordination with outside parties. (B) Personnel roles, lines of authority, and communication. (C) Emergency recognition
and prevention. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00385 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
386 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) (D) Safe distances and places of refuge. (E) Site security and control. (F) Evacuation routes and procedures. (G) Decontamination procedures.
(H) Emergency medical treatment and first aid. (I) Emergency alerting and response procedures. (J) Critique of response and followup. (K) PPE and emergency equipment. (iii) Training.
(A) Training for emergency response employees shall be completed before they are called upon to perform in real emergencies. Such training shall include the elements of the emergency
response plan, standard operating procedures the employer has established for the job, the personal protective equipment to be worn and procedures for handling emergency incidents. Exception
#1: An employer need not train all employees to the degree specified if the employer divides the work force in a manner such that a sufficient number of employees who have responsibility
to control emergencies have the training specified, and all other employees, who may first respond to an emergency incident, have sufficient awareness training to recognize that an emergency
response situation exists and that they are instructed in that case to summon the fully trained employees and not attempt control activities for which they are not trained. Exception
#2: An employer need not train all employees to the degree specified if arrangements have been made in advance for an outside fully-trained emergency response team to respond in a reasonable
period and all employees, who may come to the incident first, have sufficient awareness training to recognize that an emergency response situation exists and they have been instructed
to call the designated outside fully-trained emergency response team for assistance. (B) Employee members of TSD facility emergency response organizations shall be trained to a level
of competence in the recognition of health and safety hazards to protect themselves and other employees. This would include training in the methods used to minimize the risk from safety
and health hazards; in the safe use of control equipment; in the selection and use of appropriate personal protective equipment; in the safe operating procedures to be used at the incident
scene; in the techniques of coordination with other employees to minimize risks; in the appropriate response to over exposure from health hazards or injury to themselves and other employees;
and in the recognition of subsequent symptoms which may result from over exposures. (C) The employer shall certify that each covered employee has attended and successfully completed
the training required in paragraph (p)(8)(iii) of this section, or shall certify the employee’s competency at least yearly. The method used to demonstrate competency for certification
of training shall be recorded and maintained by the employer. (iv) Procedures for handling emergency incidents. (A) In addition to the elements for the emergency response plan required
in paragraph (p)(8)(ii) of this section, the following elements shall be included for for emergency response plans to the extent that they do not repeat any information already contained
in the emergency response plan: (1) Site topography, layout, and prevailing weather conditions. (2) Procedures for reporting incidents to local, state, and federal governmental agencies.
(B) The emergency response plan shall be compatible and integrated with the disaster, fire and/or emergency response plans of local, state, and federal agencies. (C) The emergency response
plan shall be rehearsed regularly as part of the overall training program for site operations. (D) The site emergency response plan shall be reviewed periodically and, as necessary,
be amended to keep it current with new or changing site conditions or information. (E) An employee alarm system shall be installed in accordance with 29 CFR 1910.165 to notify employees
of an emergency situation; to stop work activities if necessary; to lower background noise in order to speed communication; and to begin emergency procedures. (F) Based upon the the
information available at time of the emergency, the employer shall evaluate the incident and VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00386 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XX
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387 Occupational Safety and Health Admin., Labor § 1910.120 the site response capabilities and proceed with the appropriate steps to implement the site emergency response plan. (q) Emerqency
response to hazardous substance releases. This paragraph covers employers whose employees are engaged in emergency response no matter where it occurs except that it does not cover employees
engaged in operations specified in paragraphs (a)(1)(i) through (a)(1)(iv) of this section. Those emergency response organizations who have developed and implemented programs equivalent
to this paragraph for handling releases of hazardous substances pursuant to section 303 of the Superfund Amendments and Reauthorization Act of 1986 (Emergency Planning and Community
Right-to-Know Act of 1986, 42 U.S.C. 11003) shall be deemed to have met the requirements of this paragraph. (1) Emergency response plan. An emergency response plan shall be developed
and implemented to handle anticipated emergencies prior to the commencement of emergency response operations. The plan shall be in writing and available for inspection and copying by
employees, their representatives and OSHA personnel. Employers who will evacuate their employees from the danger area when an emergency occurs, and who do not permit any of their employees
to assist in handling the emergency, are exempt from the requirements of this paragraph if they provide an emergency action plan in accordance with 29 CFR 1910.38. (2) Elements of an
emergency response plan. The employer shall develop an emergency response plan for emergencies which shall address, as a minimum, the following to the extent that they are not addressed
elsewhere: (i) Pre-emergency planning and coordination with outside parties. (ii) Personnel roles, lines of authority, training, and communication. (iii) Emergency recognition and prevention.
(iv) Safe distances and places of refuge. (v) Site security and control. (vi) Evacuation routes and procedures. (vii) Decontamination. (viii) Emergency medical treatment and first aid.
(ix) Emergency alerting and response procedures. (x) Critique of response and followup. (xi) PPE and emergency equipment. (xii) Emergency response organizations may use the local emergency
response plan or the state emergency response plan or both, as part of their emergency response plan to avoid duplication. Those items of the emergency response plan that are being properly
addressed by the SARA Title III plans may be substituted into their emergency plan or otherwise kept together for the employer and employee’s use. (3) Procedures for handlinq emergency
response. (i) The senior emergency response official responding to an emergency shall become the individual in charge of a site-specific Incident Command System (ICS). All emergency
responders and their communications shall be coordinated and controlled through the individual in charge of the ICS assisted by the senior official present for each employer. NOTE TO
PARAGRAPH (q)(3)(i). The ‘‘senior official’’ at an emergency response is the most senior official on the site who has the responsibility for controlling the operations at the site. Initially
it is the senior officer on the first-due piece of responding emergency apparatus to arrive on the incident scene. As more senior officers arrive (i.e., battalion chief, fire chief,
state law enforcement official, site coordinator, etc.) the position is passed up the line of authority which has been previously established. (ii) The individual in charge of the ICS
shall identify, to the extent possible, all hazardous substances or conditions present and shall address as appropriate site analysis, use of engineering controls, maximum exposure limits,
hazardous substance handling procedures, and use of any new technologies. (iii) Based on the hazardous substances and/or conditions present, the individual in charge of the ICS shall
implement appropriate emergency operations, and assure that the personal protective equipment worn is appropriate for the hazards to be encountered. However, personal protective equipment
shall meet, at a minimum, VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00387 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
388 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) the criteria contained in 29 CFR 1910.156(e) when worn while performing fire fighting operations beyond the incipient stage for any incident.
(iv) Employees engaged in emergency response and exposed to hazardous substances presenting an inhalation hazard or potential inhalation hazard shall wear positive pressure self-contained
breathing apparatus while engaged in emergency response, until such time that the individual in charge of the ICS determines through the use of air monitoring that a decreased level
of respiratory protection will not result in hazardous exposures to employees. (v) The individual in charge of the ICS shall limit the number of emergency response personnel at the emergency
site, in those areas of potential or actual exposure to incident or site hazards, to those who are actively performing emergency operations. However, operations in hazardous areas shall
be performed using the buddy system in groups of two or more. (vi) Back-up personnel shall stand by with equipment ready to provide assistance or rescue. Advance first aid support personnel,
as a minimum, shall also stand by with medical equipment and transportation capability. (vii) The individual in charge of the ICS shall designate a safety official, who is knowledgable
in the operations being implemented at the emergency response site, with specific responsibility to identify and evaluate hazards and to provide direction with respect to the safety
of operations for the emergency at hand. (viii) When activities are judged by the safety official to be an IDLH condition and/or to involve an imminent danger condition, the safety official
shall have the authority to alter, suspend, or terminate those activities. The safety official shall immediately inform the individual in charge of the ICS of any actions needed to be
taken to correct these hazards at the emergency scene. (ix) After emergency operations have terminated, the individual in charge of the ICS shall implement appropriate decontamination
procedures. (x) When deemed necessary for meeting the tasks at hand, approved selfcontained compressed air breathing apparatus may be used with approved cylinders from other approved
self-contained compressed air breathing apparatus provided that such cylinders are of the same capacity and pressure rating. All compressed air cylinders used with self-contained breathing
apparatus shall meet U.S. Department of Transportation and National Institute for Occupational Safety and Health criteria. (4) Skilled support personnel. Personnel, not necessarily an
employer’s own employees, who are skilled in the operation of certain equipment, such as mechanized earth moving or digging equipment or crane and hoisting equipment, and who are needed
temporarily to perform immediate emergency support work that cannot reasonably be performed in a timely fashion by an employer’s own employees, and who will be or may be exposed to the
hazards at an emergency response scene, are not required to meet the training required in this paragraph for the employer’s regular employees. However, these personnel shall be given
an initial briefing at the site prior to their participation in any emergency response. The initial briefing shall include instruction in the wearing of appropriate personal protective
equipment, what chemical hazards are involved, and what duties are to be performed. All other appropriate safety and health precautions provided to the employer’s own employees shall
be used to assure the safety and health of these personnel. (5) Specialist employees. Employees who, in the course of their regular job duties, work with and are trained in the hazards
of specific hazardous substances, and who will be called upon to provide technical advice or assistance at a hazardous substance release incident to the individual in charge, shall receive
training or demonstrate competency in the area of their specialization annually. (6) Training. Training shall be based on the duties and function to be performed by each responder of
an emergency response organization. The skill and knowledge levels required for all new responders, those hired after the effective date of this standard, shall be VerDate May<21>2004
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389 Occupational Safety and Health Admin., Labor § 1910.120 conveyed to them through training before they are permitted to take part in actual emergency operations on an incident. Employees
who participate, or are expected to participate, in emergency response, shall be given training in accordance with the following paragraphs: (i) First responder awareness level. First
responders at the awareness level are individuals who are likely to witness or discover a hazardous substance release and who have been trained to initiate an emergency response sequence
by notifying the proper authorities of the release. They would take no further action beyond notifying the authorities of the release. First responders at the awareness level shall have
sufficient training or have had sufficient experience to objectively demonstrate competency in the following areas: (A) An understanding of what hazardous substances are, and the risks
associated with them in an incident. (B) An understanding of the potential outcomes associated with an emergency created when hazardous substances are present. (C) The ability to recognize
the presence of hazardous substances in an emergency. (D) The ability to identify the hazardous substances, if possible. (E) An understanding of the role of the first responder awareness
individual in the employer’s emergency response plan including site security and control and the U.S. Department of Transportation’s Emergency Response Guidebook. (F) The ability to
realize the need for additional resources, and to make appropriate notifications to the communication center. (ii) First responder operations level. First responders at the operations
level are individuals who respond to releases or potential releases of hazardous substances as part of the initial response to the site for the purpose of protecting nearby persons,
property, or the environment from the effects of the release. They are trained to respond in a defensive fashion without actually trying to stop the release. Their function is to contain
the release from a safe distance, keep it from spreading, and prevent exposures. First responders at the operational level shall have received at least eight hours of training or have
had sufficient experience to objectively demonstrate competency in the following areas in addition to those listed for the awareness level and the employer shall so certify: (A) Knowledge
of the basic hazard and risk assessment techniques. (B) Know how to select and use proper personal protective equipment provided to the first responder operational level. (C) An understanding
of basic hazardous materials terms. (D) Know how to perform basic control, containment and/or confinement operations within the capabilities of the resources and personal protective
equipment available with their unit. (E) Know how to implement basic decontamination procedures. (F) An understanding of the relevant standard operating procedures and termination procedures.
(iii) Hazardous materials technician. Hazardous materials technicians are individuals who respond to releases or potential releases for the purpose of stopping the release. They assume
a more aggressive role than a first responder at the operations level in that they will approach the point of release in order to plug, patch or otherwise stop the release of a hazardous
substance. Hazardous materials technicians shall have received at least 24 hours of training equal to the first responder operations level and in addition have competency in the following
areas and the employer shall so certify: (A) Know how to implement the employer’s emergency response plan. (B) Know the classification, identification and verification of known and unknown
materials by using field survey instruments and equipment. (C) Be able to function within an assigned role in the Incident Command System. (D) Know how to select and use proper specialized
chemical personal protective equipment provided to the hazardous materials technician. (E) Understand hazard and risk assessment techniques. (F) Be able to perform advance control, containment,
and/or confinement VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00389 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
390 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) operations within the capabilities of the resources and personal protective equipment available with the unit. (G) Understand and implement
decontamination procedures. (H) Understand termination procedures. (I) Understand basic chemical and toxicological terminology and behavior. (iv) Hazardous materials specialist. Hazardous
materials specialists are individuals who respond with and provide support to hazardous materials technicians. Their duties parallel those of the hazardous materials technician, however,
those duties require a more directed or specific knowledge of the various substances they may be called upon to contain. The hazardous materials specialist would also act as the site
liaison with Federal, state, local and other government authorities in regards to site activities. Hazardous materials specialists shall have received at least 24 hours of training equal
to the technician level and in addition have competency in the following areas and the employer shall so certify: (A) Know how to implement the local emergency response plan. (B) Understand
classification, identification and verification of known and unknown materials by using advanced survey instruments and equipment. (C) Know of the state emergency response plan. (D)
Be able to select and use proper specialized chemical personal protective equipment provided to the hazardous materials specialist. (E) Understand in-depth hazard and risk techniques.
(F) Be able to perform specialized control, containment, and/or confinement operations within the capabilities of the resources and personal protective equipment available. (G) Be able
to determine and implement decontamination procedures. (H) Have the ability to develop a site safety and control plan. (I) Understand chemical, radiological and toxicological terminology
and behavior. (v) On scene incident commander. Incident commanders, who will assume control of the incident scene beyond the first responder awareness level, shall receive at least 24
hours of training equal to the first responder operations level and in addition have competency in the following areas and the employer shall so certify: (A) Know and be able to implement
the employer’s incident command system. (B) Know how to implement the employer’s emergency response plan. (C) Know and understand the hazards and risks associated with employees working
in chemical protective clothing. (D) Know how to implement the local emergency response plan. (E) Know of the state emergency response plan and of the Federal Regional Response Team.
(F) Know and understand the importance of decontamination procedures. (7) Trainers. Trainers who teach any of the above training subjects shall have satisfactorily completed a training
course for teaching the subjects they are expected to teach, such as the courses offered by the U.S. National Fire Academy, or they shall have the training and/or academic credentials
and instructional experience necessary to demonstrate competent instructional skills and a good command of the subject matter of the courses they are to teach. (8) Refresher training.
(i) Those employees who are trained in accordance with paragraph (q)(6) of this section shall receive annual refresher training of sufficient content and duration to maintain their competencies,
or shall demonstrate competency in those areas at least yearly. (ii) A statement shall be made of the training or competency, and if a statement of competency is made, the employer shall
keep a record of the methodology used to demonstrate competency. (9) Medical surveillance and consultation. (i) Members of an organized and designated HAZMAT team and hazardous materials
specialists shall receive a baseline physical examination and be provided with medical surveillance as required in paragraph (f) of this section. (ii) Any emergency response employees
who exhibits signs or symptoms VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00390 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
391 Occupational Safety and Health Admin., Labor § 1910.120 which may have resulted from exposure to hazardous substances during the course of an emergency incident, either immediately
or subsequently, shall be provided with medical consultation as required in paragraph (f)(3)(ii) of this section. (10) Chemical protective clothing. Chemical protective clothing and
equipment to be used by organized and designated HAZMAT team members, or to be used by hazardous materials specialists, shall meet the requirements of paragraphs (g) (3) through (5)
of this section. (11) Post-emergency response operations. Upon completion of the emergency response, if it is determined that it is necessary to remove hazardous substances, health hazards,
and materials contaminated with them (such as contaminated soil or other elements of the natural environment) from the site of the incident, the employer conducting the clean-up shall
comply with one of the following: (i) Meet all of the requirements of paragraphs (b) through (o) of of this section; or (ii) Where the clean-up is done on plant property using plant
or workplace employees, such employees shall have completed the training requirements of the following: 29 CFR 1910.38, 1910.134, 1910.1200, and other appropriate safety and health training
made necessary by the tasks they are expected to perform such as personal protective equipment and decontamination procedures. All equipment to be used in the performance of the clean-up
work shall be in serviceable condition and shall have been inspected prior to use. APPENDICES TO § 1910.120—HAZARDOUS WASTE OPERATIONS AND EMERGENCY RESPONSE NOTE: The following appendices
serve as non-mandatory guidelines to assist employees and employers in complying with the appropriate requirements of this section. However paragraph 1910.120(g) makes mandatory in certain
circumstances the use of Level A and Level B PPE protection. APPENDIX A TO § 1910.120—PERSONAL PROTECTIVE EQUIPMENT TEST METHODS This appendix sets forth the non-mandatory examples of
tests which may be used to evaluate compliance with § 1910.120 (g)(4) (ii) and (iii). Other tests
and other challenge agents may be used to evaluate compliance. A. Totally-encapsulating chemical protective suit pressure test 1.0—Scope 1.1 This practice measures the ability of a gas
tight totally-encapsulating chemical protective suit material, seams, and closures to maintain a fixed positive pressure. The results of this practice allow the gas tight integrity of
a totally-encapsulating chemical protective suit to be evaluated. 1.2 Resistance of the suit materials to permeation, penetration, and degradation by specific hazardous substances is
not determined by this test method. 2.0—Definition of terms 2.1 Totally-encapsulated chemical protective suit (TECP suit) means a full body garment which is constructed of protective
clothing materials; covers the wearer’s torso, head, arms, legs and respirator; may cover the wearer’s hands and feet with tightly attached gloves and boots; completely encloses the
wearer and respirator by itself or in combination with the wearer’s gloves and boots. 2.2 Protective clothing material means any material or combination of materials used in an item
of clothing for the purpose of isolating parts of the body from direct contact with a potentially hazardous liquid or gaseous chemicals. 2.3 Gas tight means, for the purpose of this
test method, the limited flow of a gas under pressure from the inside of a TECP suit to atmosphere at a prescribed pressure and time interval. 3.0—Summary of test method 3.1 The TECP
suit is visually inspected and modified for the test. The test apparatus is attached to the suit to permit inflation to the pre-test suit expansion pressure for removal of suit wrinkles
and creases. The pressure is lowered to the test pressure and monitored for three minutes. If the pressure drop is excessive, the TECP suit fails the test and is removed from service.
The test is repeated after leak location and repair. 4.0—Required Supplies 4.1 Source of compressed air. 4.2 Test apparatus for suit testing, including a pressure measurement device
with a sensitivity of at least 1⁄4 inch water gauge. 4.3 Vent valve closure plugs or sealing tape. 4.4 Soapy water solution and soft brush. 4.5 Stop watch or appropriate timing device.
5.0—Safety Precautions 5.1 Care shall be taken to provide the correct pressure safety devices required for the source of compressed air used. 6.0—Test Procedure 6.1 Prior to each test,
the tester shall perform a visual inspection of the suit. Check VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00391 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
392 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) the suit for seam integrity by visually examining the seams and gently pulling on the seams. Ensure that all air supply lines, fittings,
visor, zippers, and valves are secure and show no signs of deterioration. 6.1.1 Seal off the vent valves along with any other normal inlet or exhaust points (such as umbilical air line
fittings or face piece opening) with tape or other appropriate means (caps, plugs, fixture, etc.). Care should be exercised in the sealing process not to damage any of the suit components.
6.1.2 Close all closure assemblies. 6.1.3 Prepare the suit for inflation by providing an improvised connection point on the suit for connecting an airline. Attach the pressure test apparatus
to the suit to permit suit inflation from a compressed air source equipped with a pressure indicating regulator. The leak tightness of the pressure test apparatus should be tested before
and after each test by closing off the end of the tubing attached to the suit and assuring a pressure of three inches water gauge for three minutes can be maintained. If a component
is removed for the test, that component shall be replaced and a second test conducted with another component removed to permit a complete test of the ensemble. 6.1.4 The pre-test expansion
pressure (A) and the suit test pressure (B) shall be supplied by the suit manufacturer, but in no case shall they be less than: (A)=three inches water gauge; and (B)=two inches water
gauge. The ending suit pressure (C) shall be no less than 80 percent of the test pressure (B); i.e., the pressure drop shall not exceed 20 percent of the test pressure (B). 6.1.5 Inflate
the suit until the pressure inside is equal to pressure (A), the pre-test expansion suit pressure. Allow at least one minute to fill out the wrinkles in the suit. Release sufficient
air to reduce the suit pressure to pressure (B), the suit test pressure. Begin timing. At the end of three minutes, record the suit pressure as pressure (C), the ending suit pressure.
The difference between the suit test pressure and the ending suit test pressure (B–C) shall be defined as the suit pressure drop. 6.1.6 If the suit pressure drop is more than 20 percent
of the suit test pressure (B) during the three-minute test period, the suit fails the test and shall be removed from service. 7.0—Retest Procedure 7.1 If the suit fails the test check
for leaks by inflating the suit to pressure (A) and brushing or wiping the entire suit (including seams, closures, lens gaskets, glove-to-sleeve joints, etc.) with a mild soap and water
solution. Observe the suit for the formation of soap bubbles, which is an indication of a leak. Repair all identified leaks. 7.2 Retest the TECP suit as outlined in Test procedure 6.0.
8.0—Report 8.1 Each TECP suit tested by this practice shall have the following information recorded: 8.1.1 Unique identification number, identifying brand name, date of purchase, material
of construction, and unique fit features, e.g., special breathing apparatus. 8.1.2 The actual values for test pressures (A), (B), and (C) shall be recorded along with the specific observation
times. If the ending pressure (C) is less than 80 percent of the test pressure (B), the suit shall be identified as failing the test. When possible, the specific leak location shall
be identified in the test records. Retest pressure data shall be recorded as an additional test. 8.1.3 The source of the test apparatus used shall be identified and the sensitivity of
the pressure gauge shall be recorded. 8.1.4 Records shall be kept for each pressure test even if repairs are being made at the test location. CAUTION Visually inspect all parts of the
suit to be sure they are positioned correctly and secured tightly before putting the suit back into service. Special care should be taken to examine each exhaust valve to make sure it
is not blocked. Care should also be exercised to assure that the inside and outside of the suit is completely dry before it is put into storage. B. Totally-encapsulating chemical protective
suit qualitative leak test 1.0—Scope 1.1 This practice semi-qualitatively tests gas tight totally-encapsulating chemical protective suit integrity by detecting inward leakage of ammonia
vapor. Since no modifications are made to the suit to carry out this test, the results from this practice provide a realistic test for the integrity of the entire suit. 1.2 Resistance
of the suit materials to permeation, penetration, and degradation is not determined by this test method. ASTM test methods are available to test suit materials for these characteristics
and the tests are usually conducted by the manufacturers of the suits. 2.0—Definition of terms 2.1 Totally-encapsulated chemical protective suit (TECP suit) means a full body garment
which is constructed of protective clothing materials; covers the wearer’s torso, head, arms, legs and respirator; may cover the wearer’s hands and feet with tightly attached gloves
and boots; completely encloses the wearer and respirator by itself or in combination with the wearer’s gloves, and boots. 2.2 Protective clothing material means any material or combination
of materials used in an item of clothing for the purpose of isolating parts of the body from direct contact VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00392 Fmt 8010
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393 Occupational Safety and Health Admin., Labor § 1910.120 with a potentially hazardous liquid or gaseous chemicals. 2.3 Gas tight means, for the purpose of this test method, the limited
flow of a gas under pressure from the inside of a TECP suit to atmosphere at a prescribed pressure and time interval. 2.4 Intrusion Coefficient means a number expressing the level of
protection provided by a gas tight totally-encapsulating chemical protective suit. The intrusion coefficient is calculated by dividing the test room challenge agent concentration by
the concentration of challenge agent found inside the suit. The accuracy of the intrusion coefficient is dependent on the challenge agent monitoring methods. The larger the intrusion
coefficient the greater the protection provided by the TECP suit. 3.0—Summary of recommended practice 3.1 The volume of concentrated aqueous ammonia solution (ammonia hydroxide NH4 OH)
required to generate the test atmosphere is determined using the directions outlined in 6.1. The suit suit is donned by a person wearing the appropriate respiratory equipment (either
a positive pressure self-contained breathing apparatus or a positive pressure supplied air respirator) and worn inside the enclosed test room. The concentrated aqueous ammonia solution
is taken by the suited individual into the test room and poured into an open plastic pan. A two-minute evaporation period is observed before the test room concentration is measured,
using a high range ammonia length of stain detector tube. When the ammonia vapor reaches a concentration of between 1000 and 1200 ppm, the suited individual starts a standardized exercise
protocol to stress and flex the suit. After this protocol is completed, the test room concentration is measured again. The suited individual exits the test room and his stand-by person
measures the ammonia concentration inside the suit using a low range ammonia length of stain detector tube or other more sensitive ammonia detector. A stand-by person is required to
observe the test individual during the test procedure; aid the person in donning and doffing the TECP suit; and monitor the suit interior. The intrusion coefficient of the suit can be
calculated by dividing the average test area concentration by the interior suit concentration. A colorimetric ammonia indicator strip of bromophenol blue or equivalent is placed on the
inside of the suit face piece lens so that the suited individual is able to detect a color change and know if the suit has a significant leak. If a color change is observed the individual
shall leave the test room immediately. 4.0—Required supplies 4.1 A supply of concentrated aqueous ammonium hydroxide (58% by weight). 4.2 A supply of bromophenol/blue indicating paper
or equivalent, sensitive to 5–10 ppm ammonia or greater over a two-minute period of exposure. [pH 3.0 (yellow) to pH 4.6 (blue)] 4.3 A supply of high range (0.5–10 volume percent) and
low range (5–700 ppm) detector tubes for ammonia and the corresponding sampling pump. More sensitive ammonia detectors can be substituted for the low range detector tubes to improve
the sensitivity of this practice. 4.4 A shallow plastic pan (PVC) at least 12″:14″:1″ and a half pint plastic container (PVC) with tightly closing lid. 4.5 A graduated cylinder or other
volumetric measuring device of at least 50 milliliters in volume with an accuracy of at least ±1 milliliters. 5.0—Safety precautions 5.1 Concentrated aqueous ammonium hydroxide, NH4
OH, is a corrosive volatile liquid requiring eye, skin, and respiratory protection. The person conducting the test shall review the MSDS for aqueous ammonia. 5.2 Since the established
permissible exposure limit for ammonia is 35 ppm as a 15 minute STEL, only persons wearing a positive pressure self-contained breathing apparatus or a positive pressure supplied air
respirator shall be in the chamber. Normally only the person wearing the totally-encapsulating suit will be inside the chamber. A stand-by person shall have a positive pressure self-contained
breathing apparatus, or a positive pressure supplied air respirator available to enter the test area should the suited individual need assistance. 5.3 A method to monitor the suited
individual must be used during this test. Visual contact is the simplest but other methods using communication devices are acceptable. 5.4 The test room shall be large enough to allow
the exercise protocol to be carried out and then to be ventilated to allow for easy exhaust of the ammonia test atmosphere after the test(s) are completed. 5.5 Individuals shall be medically
screened for the use of respiratory protection and checked for allergies to ammonia before participating in this test procedure. 6.0—Test procedure 6.1.1 Measure the test area to the
nearest foot and calculate its volume in cubic feet. Multiply the test area volume by 0.2 milliliters of concentrated aqueous ammonia solution per cubic foot of test area volume to determine
the approximate volume of concentrated aqueous ammonia required to generate 1000 ppm in the test area. 6.1.2 Measure this volume from the supply of concentrated aqueous ammonia and place
it into a closed plastic container. 6.1.3 Place the container, several high range ammonia detector tubes, and the pump in the clean test pan and locate it near the test area entry door
so that the suited individual has easy access to these supplies. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00393 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
394 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) 6.2.1 In a non-contaminated atmosphere, open a pre-sealed ammonia indicator strip and fasten one end of the strip to the inside of the
suit face shield lens where it can be seen by the wearer. Moisten the indicator strip with distilled water. Care shall be taken not to contaminate the detector part of the indicator
paper by touching it. A small piece of masking tape or equivalent should be used to attach the indicator strip to the interior of the suit face shield. 6.2.2 If problems are encountered
with this method of attachment, the indicator strip can be attached to the outside of the respirator face piece lens being used during the test. 6.3 Don the respiratory protective device
normally used with the suit, and then don the TECP suit to be tested. Check to be sure all openings which are intended to be sealed (zippers, gloves, etc.) are completely sealed. DO
NOT, however, plug off any venting valves. 6.4 Step into the enclosed test room such as a closet, bathroom, or test booth, equipped with an exhaust fan. No air should be exhausted from
the chamber during the test because this will dilute the ammonia challenge concentrations. 6.5 Open the container with the pre-measured volume of concentrated aqueous ammonia within
the enclosed test room, and pour the liquid into the empty plastic test pan. Wait two minutes to allow for adequate volatilization of the concentrated aqueous ammonia. A small mixing
fan can be used near the evaporation pan to increase the evaporation rate of the ammonia solution. 6.6 After two minutes a determination of the ammonia concentration within the chamber
should be made using the high range colorimetric detector tube. A concentration of 1000 ppm ammonia or greater shall be generated before the exercises are started. 6.7 To test the integrity
of the suit the following four minute exercise protocol should be followed: 6.7.1 Raising the arms above the head with at least 15 raising motions completed in one minute. 6.7.2 Walking
in place for one minute with at least 15 raising motions of each leg in a one-minute period. 6.7.3 Touching the toes with a least 10 complete motions of the arms from above the head
to touching of the toes in a oneminute period. 6.7.4 Knee bends with at least 10 complete standing and squatting motions in a oneminute period. 6.8 If at any time during the test the
colorimetric indicating paper should change colors, the test should be stopped and section 6.10 and 6.12 initiated (See ¶4.2). 6.9 After completion of the test exercise, the test area
concentration should be measured again using the high range colorimetric detector tube. 6.10 Exit the test area. 6.11 The opening created by the suit zipper or other appropriate suit
penetration should be used to determine the ammonia concentration in the suit with the low range length of stain detector tube or other ammonia monitor. The internal TECP suit air should
be sampled far enough from the enclosed test area to prevent a false ammonia reading. 6.12 After completion of the measurement of the suit interior ammonia concentration the test is
concluded and the suit is doffed and the respirator removed. 6.13 The ventilating fan for the test room should be turned on and allowed to run for enough time to remove the ammonia gas.
The fan shall be vented to the outside of the building. 6.14 Any detectable ammonia in the suit interior (five ppm ammonia (NH3) or more for the length of stain detector tube) indicates
that the suit has failed the test. When other ammonia detectors are used a lower level of detection is possible, and it should be specified as the pass/fail criteria. 6.15 By following
this test method, an intrusion coefficient of approximately 200 or more can be measured with the suit in a completely operational condition. If the intrusion coefficient is 200 or more,
then the suit is suitable for emergency response and field use. 7.0—Retest procedures 7.1 If the suit fails this test, check for leaks by following the pressure test in test A above.
7.2 Retest the TECP suit as outlined in the test procedure 6.0. 8.0—Report 8.1 Each gas tight totally-encapsulating chemical protective suit tested by this practice shall have the following
information recorded. 8.1.1 Unique identification number, identifying brand name, date of purchase, material of construction, and unique suit features; e.g., special breathing apparatus.
8.1.2 General description of test room used for test. 8.1.3 Brand name and purchase date of ammonia detector strips and color change data. 8.1.4 Brand name, sampling range, and expiration
date of the length of stain ammonia detector tubes. The brand name and model of the sampling pump should also be recorded. If another type of ammonia detector is used, it should be identified
along with its minimum detection limit for ammonia. 8.1.5 Actual test results shall list the two test area concentrations, their average, the interior suit concentration, and the calculated
intrusion coefficient. Retest data shall be recorded as an additional test. VerDate May<21>2004 10:25 Jul 17, 17, 2004 Jkt 203110 PO 00000 Frm 00394 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX
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395 Occupational Safety and Health Admin., Labor § 1910.120 8.2 The evaluation of the data shall be specified as ‘‘suit passed’’ or ‘‘suit failed,’’ and the date of the test. Any detectable
ammonia (five ppm or greater for the length of stain detector tube) in the suit interior indicates the suit has failed this test. When other ammonia detectors are used, a lower level
of detection is possible and it should be specified as the pass fail criteria. CAUTION Visually inspect all parts of the suit to be sure they are positioned correctly and secured tightly
before putting the suit back into service. Special care should be taken to examine each exhaust valve to make sure it is not blocked. Care should also be exercised to assure that the
inside and outside of the suit is completely dry before it is put into storage. APPENDIX B TO § 1910.120—GENERAL DESCRIPTION AND DISCUSSION OF THE LEVELS OF PROTECTION AND PROTECTIVE
GEAR This appendix sets forth information about personal protective equipment (PPE) protection levels which may be used to assist employers in complying with the PPE requirements of
this section. As required by the standard, PPE must be selected which will protect employees from the specific hazards which they are likely to encounter during their work on-site. Selection
of the appropriate PPE is a complex process which should take into consideration a variety of factors. Key factors involved in this process are identification of the hazards, or suspected
hazards; their routes of potential hazard to employees (inhalation, skin absorption, ingestion, and eye or skin contact); and the performance of the PPE materials (and seams) in providing
a barrier to these hazards. The amount of protection provided by PPE is material-hazard specific. That is, protective equipment materials will protect well against some hazardous substances
and poorly, or not at all, against others. In many instances, protective equipment materials cannot be found which will provide continuous protection from the particular hazardous substance.
In these cases the breakthrough time of the protective material should exceed the work durations. Other factors in this selection process to be considered are matching the PPE to the
employee’s work requirements and task-specific conditions. The durability of PPE materials, such as tear strength and seam strength, should be considered in relation to the employee’s
tasks. The effects of PPE in relation to heat stress and task duration are a factor in selecting and using PPE. In some cases layers of PPE may be necessary to provide sufficient protection,
or to protect expensive PPE inner garments, suits or equipment. The more that is known about the hazards at the site, the easier the job of PPE selection becomes. As more information
about the hazards and conditions at the site becomes available, the site supervisor can make decisions to up-grade or down-grade the level of PPE protection to match the tasks at hand.
The following are guidelines which an employer can use to begin the selection of the appropriate PPE. As noted above, the site information may suggest the use of combinations of PPE
selected from the different protection levels (i.e., A, B, C, or D) as being more suitable to the hazards of the work. It should be cautioned that the listing below does not fully address
the performance of the specific PPE material in relation to the specific hazards at the job site, and that PPE selection, evaluation and re-selection is an ongoing process until sufficient
information about the hazards and PPE performance is obtained. Part A. Personal protective equipment is divided into four categories based on the degree of protection afforded. (See
Part B of this appendix for further explanation of Levels A, B, C, and D hazards.) I. Level A— To be selected when the greatest level of skin, respiratory, and eye protection is required.
The following constitute Level A equipment; it may be used as appropriate; 1. Positive pressure, full face-piece selfcontained breathing apparatus (SCBA), or positive pressure supplied
air respirator with escape SCBA, approved by the National Institute for Occupational Safety and Health (NIOSH). 2. Totally-encapsulating chemical-protective suit. 3. Coveralls.1 4. Long
underwear.1 5. Gloves, outer, chemical-resistant. 6. Gloves, inner, chemical-resistant. 7. Boots, chemical-resistant, steel toe and shank. 8. Hard hat (under suit).1 9. Disposable protective
suit, gloves and boots (depending on suit construction, may be worn over totally-encapsulating suit). II. Level B—The highest level of respiratory protection is necessary but a lesser
level of skin protection is needed. The following constitute Level B equipment; it may be used as appropriate. 1. Positive pressure, full-facepiece self-contained breathing apparatus
(SCBA), or positive pressure supplied air respirator with escape SCBA (NIOSH approved). 2. Hooded chemical-resistant clothing (overalls and long-sleeved jacket; coveralls; one or two-piece
chemical-splash suit; disposable chemical-resistant overalls). 3. Coveralls. 1 VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00395 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX
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396 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) 1 Optional, as applicable. 4. Gloves, outer, chemical-resistant. 5. Gloves, inner, chemical-resistant. 6. Boots, outer, chemical-resistant
steel toe and shank. 7. Boot-covers, outer, chemical-resistant (disposable).1 8. Hard hat. 1 9. [Reserved] 10. Face shield. 1 III. Level C—The concentration(s) and type(s) of airborne
substance(s) is known and the criteria for using air purifying respirators are met. The following constitute Level C equipment; it may be used as appropriate. 1. Full-face or half-mask,
air purifying respirators (NIOSH approved). 2. Hooded chemical-resistant clothing (overalls; two-piece chemical-splash suit; disposable chemical-resistant overalls). 3. Coveralls. 1
4. Gloves, outer, chemical-resistant. 5. Gloves, inner, chemical-resistant. 6. Boots (outer), chemical-resistant steel toe and shank. 1 7. Boot-covers, outer, chemical-resistant (disposable)
1. 8. Hard hat. 1 9. Escape mask. 1 10. Face shield. 1 IV. Level D—A work uniform affording minimal protection, used for nuisance contamination only. The following constitute Level D
equipment; it may be used as appropriate: 1. Coveralls. 2. Gloves. 1 3. Boots/shoes, chemical-resistant steel toe and shank. 4. Boots, outer, chemical-resistant (disposable). 1 5. Safety
glasses or chemical splash goggles*. 6. Hard hat. 1 7. Escape mask. 1 8. Face shield. 1 Part B. The types of hazards for which levels A, B, C, and D protection are appropriate are described
below: I. Level A—Level A protection should be used when: 1. The hazardous substance has been identified and requires the highest level of protection for skin, eyes, and the respiratory
system based on either the measured (or potential for) high concentration of atmospheric vapors, gases, or particulates; or the site operations and work functions involve a high potential
for splash, immersion, or exposure to unexpected vapors, gases, or particulates of materials that are harmful to skin or capable of being absorbed through the skin; 2. Substances with
a high degree of hazard to the skin are known or suspected to be present, and skin contact is possible; or 3. Operations are being conducted in confined, poorly ventilated areas, and
the absence of conditions requiring Level A have not yet been determined. II. Level B—Level B protection should be used when: 1. The type and atmospheric concentration of substances
have been identified and require a high level of respiratory protection, but less skin protection; 2. The atmosphere contains less than 19.5 percent oxygen; or 3. The presence of incompletely
identified vapors or gases is indicated by a direct-reading organic vapor detection instrument, but vapors and gases are not suspected of containing high levels of chemicals harmful
to skin or capable of being absorbed through the skin. NOTE: This involves atmospheres with IDLH concentrations of specific substances that present severe inhalation hazards and that
do not represent a severe skin hazard; or that do not meet the criteria for use of air-purifying respirators. III. Level C—Level C protection should be used when: 1. The atmospheric
contaminants, liquid splashes, or other direct contact will not adversely affect or be absorbed through any exposed skin; 2. The types of air contaminants have been identified, concentrations
measured, and an air-purifying respirator is available that can remove the contaminants; and 3. All criteria for the use of air-purifying respirators are met. IV. Level D—Level D protection
should be used when: 1. The atmosphere contains no known hazard; and 2. Work functions preclude splashes, immersion, or the potential for unexpected inhalation of or contact with hazardous
levels of any chemicals. NOTE: As stated before, combinations of personal protective equipment other than those described for Levels A, B, C, and D protection may be more appropriate
and may be used to provide the proper level of protection. As an aid in selecting suitable chemical protective clothing, it should be noted that the National Fire Protection Association
Association (NFPA) has developed standards on chemical protective clothing. The standards that have been adopted by include: NFPA 1991—Standard on Vapor-Protective Suits for Hazardous
Chemical Emergencies (EPA Level A Protective Clothing). NFPA 1992—Standard on Liquid Splash-Protective Suits for Hazardous Chemical Emergencies (EPA Level B Protective Clothing). VerDate
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397 Occupational Safety and Health Admin., Labor § 1910.120 NFPA 1993—Standard on Liquid Splash-Protective Suits for Non-emergency, Nonflammable Hazardous Chemical Situations (EPA Level
B Protective Clothing). These
standards apply documentation and performance requirements to the manufacture of chemical protective suits. Chemical protective suits meeting these requirements are labelled as compliant
with the appropriate standard. It is recommended that chemical protective suits that meet these standards be used. APPENDIX C TO § 1910.120—COMPLIANCE GUIDELINES 1. Occupational Safety
and Health Program. Each hazardous waste site clean-up effort will require an occupational safety and health program headed by the site coordinator or the employer’s representative.
The purpose of the program will be the protection of employees at the site and will be an extension of the employer’s overall safety and health program. The program will need to be developed
before work begins on the site and implemented as work proceeds as stated in paragraph (b). The program is to facilitate coordination and communication of safety and health issues among
personnel responsible for the various activities which will take place at the site. It will provide the overall means for planning and implementing the needed safety and health training
and job orientation of employees who will be working at the site. The program will provide the means for identifying and controlling worksite hazards and the means for monitoring program
effectiveness. The program will need to cover the responsibilities and authority of the site coordinator or the employer’s manager on the site for the safety and health of employees
at the site, and the relationships with contractors or support services as to what each employer’s safety and health responsibilities are for their employees on the site. Each contractor
on the site needs to have its own safety and health program so structured that it will smoothly interface with the program of the site coordinator or principal contractor. Also those
employers involved with treating, storing or disposal of hazardous waste as covered in paragraph (p) must have implemented a safety and health program for their employees. This program
is to include the hazard communication program required in paragraph (p)(1) and the training required in paragraphs (p)(7) and (p)(8) as parts of the employers comprehensive overall
safety and health program. This program is to be in writing. Each site or workplace safety and health program will need to include the following: (1) Policy statements of the line of
authority and accountability for implementing the program, the objectives of the program and the role of the site safety and health supervisor or manager and staff; (2) means or methods
for the development of procedures for identifying and controlling workplace hazards at the site; (3) means or methods for the development and communication to employees of the various
plans, work rules, standard operating procedures and practices that pertain to individual employees and supervisors; (4) means for the training of supervisors and employees to develop
the needed skills and knowledge to perform their work in a safe and healthful manner; (5) means to anticipate and prepare for emergency situations; and (6) means for obtaining information
feedback to aid in evaluating the program and for improving the effectiveness of the program. The management and employees should be trying continually to improve the effectiveness of
the program thereby enhancing the protection being afforded those working on the site. Accidents on the site or workplace should be investigated to provide information on how such occurrences
can be avoided in the future. When injuries or illnesses occur on the site or workplace, they will need to be investigated to determine what needs to be done to prevent this incident
from occurring again. Such information will need to be used as feedback on the effectiveness of the program and the information turned into positive steps to prevent any reoccurrence.
Receipt of employee suggestions or complaints relating to safety and health issues involved with site or workplace activities is also a feedback mechanism that can be used effectively
to improve the program and may serve in part as an evaluative tool(s). For the development and implementation of the program to be the most effective, professional safety and health
personnel should be used. Certified Safety Professionals, Board Certified Industrial Hygienists or Registered Professional Safety Engineers are good examples of professional stature
for safety and health managers who will administer the employer’s program. 2. Training. The training programs for employees subject to the requirements of paragraph (e) of this standard
should address: the safety and health hazards employees should expect to find on hazardous waste clean-up sites; what control measures or techniques are effective for those hazards;
what monitoring procedures are effective in characterizing exposure levels; what makes an effective employer’s safety and health program; what a site safety and health plan should include;
hands on training with personal protective equipment and clothing they may be expected to use; the contents of the OSHA standard relevant to the employee’s duties and function; and,
employee’s responsibilities under OSHA and other regulations. Supervisors will need training in their responsibilities under the safety and health program and its subject areas such
as the spill VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00397 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
398 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) containment program, the personal protective equipment program, the medical surveillance program, the emergency response plan and other
areas. The training programs for employees subject to the requirements of paragraph (p) of this standard should address: the employers safety and health program elements impacting employees;
the hazard communication program; the medical surveillance program; the hazards and the controls for such hazards that employees need to know for their job duties and functions. All
require annual refresher training. The training programs for employees covered by the requirements of paragraph (q) of this standard should address those competencies required for the
various levels of response such as: the hazards associated with hazardous substances; hazard identification and awareness; notification of appropriate persons; the need for and use of
personal protective equipment including respirators; the decontamination procedures to be used; preplanning activities for hazardous substance incidents including the emergency reponse
plan; company standard operating procedures for hazardous substance emergency responses; the use of the incident command system and other subjects. Hands-on training should be stressed
whenever possible. Critiques done after an incident which include an evaluation of what worked and what did not and how could the incident be better handled the next time may be counted
as training time. For hazardous materials specialists (usually members of hazardous materials teams), the training should address the care, use and/or testing of chemical protective
clothing including totally encapsulating suits, the medical surveillance program, the standard operating procedures for the hazardous materials team including the use of plugging and
patching equipment and other subject areas. Officers and leaders who may be expected to be in charge at an incident should be fully knowledgeable of their company’s incident command
system. They should know where and how to obtain additional assistance and be familiar with the local district’s emergency response plan and the state emergency response plan. Specialist
employees such as technical experts, medical experts or environmental experts that work with hazardous materials in their regular jobs, who may be sent to the incident scene by the shipper,
manufacturer or governmental agency to advise and assist the person in charge of the incident should have training on an annual basis. Their training should include the care and use
of personal protective equipment including respirators; knowledge of the incident command system and how they are to relate to it; and those areas needed to keep them current in their
respective field as it relates to safety and health involving specific hazardous substances. Those skilled support personnel, such as employees who work for public works departments
or equipment operators who operate bulldozers, sand trucks, backhoes, etc., who may be called to the incident scene scene to provide emergency support assistance, should have at least
a safety and health briefing before entering the area of potential or actual exposure. These skilled support personnel, who have not been a part of the emergency response plan and do
not meet the training requirements, should be made aware of the hazards they face and should be provided all necessary protective clothing and equipment required for their tasks. There
are two National Fire Protection Association standards, NFPA 472—‘‘Standard for Professional Competence of Responders to Hazardous Material Incidents’’ and NFPA 471—‘‘Recommended Practice
for Responding to Hazardous Material Incidents’’, which are excellent resource documents to aid fire departments and other emergency response organizations in developing their training
program materials. NFPA 472 provides guidance on the skills and knowledge needed for first responder awareness level, first responder operations level, hazmat technicians, and hazmat
specialist. It also offers guidance for the officer corp who will be in charge of hazardous substance incidents. 3. Decontamination. Decontamination procedures should be tailored to
the specific hazards of the site, and may vary in complexity and number of steps, depending on the level of hazard and the employee’s exposure to the hazard. Decontamination procedures
and PPE decontamination methods will vary depending upon the specific substance, since one procedure or method may not work for all substances. Evaluation of decontamination methods
and procedures should be performed, as necessary, to assure that employees are not exposed to hazards by re-using PPE. References in appendix D may be used for guidance in establishing
an effective decontamination program. In addition, the U.S. Coast Guard’s Manual, ‘‘Policy Guidance for Response to Hazardous Chemical Releases,’’ U.S. Department of Transportation,
Washington, DC (COMDTINST M16465.30) is a good reference for establishing an effective decontamination program. 4. Emergency response plans. States, along with designated districts within
the states, will be developing or have developed local emergency response plans. These state and district plans should be utilized in the emergency response plans called for in the standard.
Each employer should assure that its emergency response plan is compatible with the local plan. The major reference being used to aid in developing the state and local district plans
is the Hazardous Materials VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00398 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
399 Occupational Safety and Health Admin., Labor § 1910.120 Emergency Planning Guide, NRT–1. The current Emergency Response Guidebook from the U.S. Department of Transportation, CMA’s
CHEMTREC and the Fire Service Emergency Management Handbook may also be used as resources. Employers involved with treatment, storage, and disposal facilities for hazardous waste, which
have the required contingency plan called for by their permit, would not need to duplicate the same planning elements. Those items of the emergency response plan that are properly addressed
in the contingency plan may be substituted into the emergency response plan required in 1910.120 or otherwise kept together for employer and employee use. 5. Personal protective equipment
programs. The purpose of personal protective clothing and equipment (PPE) is to shield or isolate individuals from the chemical, physical, and biologic hazards that may be encountered
at a hazardous substance site. As discussed in appendix B, no single combination of protective equipment and clothing is capable of protecting against all hazards. Thus PPE should be
used in conjunction with other protective methods and its effectiveness evaluated periodically. The use of PPE can itself create significant worker hazards, such as heat stress, physical
and psychological stress, and impaired vision, mobility, and communication. For any given situation, equipment and clothing should be selected that provide an adequate level of protection.
However, over-protection, as well as under-protection, can be hazardous and should be avoided where possible. Two basic objectives of any PPE program should be to protect the wearer
from safety and health hazards, and to prevent injury to the wearer from incorrect use and/or malfunction of the PPE. To accomplish these goals, a comprehensive PPE program should include
hazard identification, medical monitoring, environmental surveillance, selection, use, maintenance, and decontamination of PPE and its associated training. The written PPE program should
include policy statements, procedures, and guidelines. Copies should be made available to all employees, and a reference copy should be made available at the worksite. Technical data
on equipment, maintenance manuals, relevant regulations, and other essential information should also be collected and maintained. 6. Incident command system (ICS). Paragraph 1910.120(q)(3)(ii)
requires the implementation of an ICS. The ICS is an organized approach to effectively control and manage operations at an emergency incident. The individual in charge of the ICS is
the senior official responding to the incident. The ICS is not much different than the ‘‘command post’’ approach used for many years by the fire service. During large complex fires involving
several companies and many pieces of apparatus, a command post would be established. This enabled one individual to be in charge of managing the incident, rather than having several
officers from different companies making separate, and sometimes conflicting, decisions. The individual in charge of the command post would delegate responsibility for performing various
tasks to subordinate officers. Additionally, all communications were routed through the command post to reduce the number of radio transmissions and eliminate confusion. However, strategy,
tactics, and all decisions were made by one individual. The ICS is a very similar system, except it is implemented for emergency response to all incidents, both large and small, that
involve hazardous substances. For a small incident, the individual in charge of the ICS may perform many tasks of the ICS. There may not be any, or little, delegation of tasks to subordinates.
For example, in response to a small incident, the individual in charge of the ICS, in addition to normal command activities, may become the safety officer and may designate only one
employee (with proper equipment) as a back-up to provide assistance if needed. OSHA does recommend, however, that at least two employees be designated as backup personnel since the assistance
needed may include rescue. To illustrate the operation of the ICS, the following scenario might develop during a small incident, such as an overturned tank truck with a small leak of
flammable liquid. The first responding senior officer would implement and take command of the ICS. That person would size-up the incident and determine if additional personnel and apparatus
were necessary; would determine what actions to take to control the leak; and, determine the proper level of personal protective equipment. If additional assistance is not needed, the
individual in charge of the ICS would implement actions to stop and control the leak using the fewest number of personnel that can effectively accomplish the tasks. The individual in
charge of the ICS then would designate himself as the safety officer and two other employees as a back-up in case rescue may become necessary. In this scenario, decontamination procedures
would not be necessary. A large complex incident may require many employees and difficult, time-consuming efforts to control. In these situations, the individual in charge of the ICS
will want to delegate different tasks to subordinates in order to maintain a span of control that will keep the number of subordinates, that are reporting, to a manageable level. Delegation
of task at large incidents may be by location, where the incident scene is divided into sectors, and subordinate officers VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm
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400 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) coordinate activities within the sector that they have been assigned. Delegation of tasks can also be by function. Some of the functions
that the individual in charge of the ICS may want to delegate at a large incident are: medical services; evacuation; water supply; resources (equipment, apparatus); media relations;
safety; and, site control (integrate activities with police for crowd and traffic control). Also for a large incident, the individual in charge of the ICS will designate several employees
as back-up personnel; and a number of safety officers to monitor conditions and recommend safety precautions. Therefore, no matter what size or complexity an incident may be, by implementing
an ICS there will be one individual in charge who makes the decisions and gives directions; and, all actions, and communications are coordinated through one central point of command.
Such a system should reduce confusion, improve safety, organize and coordinate actions, and should facilitate effective management of the incident. 7. Site Safety and Control Plans.
The safety and security of response personnel and others in the area of an emergeny response incident site should be of primary concern to the incident commander. The use of a site safety
and control plan could greatly assist those in charge of assuring the safety and health of employees on the site. A comprehensive site safety and control plan should include the following:
summary analysis of hazards on the site and a risk analysis of those hazards; site map or sketch; site work zones (clean zone, transition or decontamination zone, work or hot zone);
use of the buddy system; site communications; command post or command center; standard operating procedures and safe work practices; medical assistance and triage area; hazard monitoring
plan (air contaminate monitoring, etc.); decontamination procedures and area; and other relevant areas. This plan should be a part of the employer’s emergency response plan or an extension
extension of it to the specific site. 8. Medical surveillance programs. Workers handling hazardous substances may be exposed to toxic chemicals, safety hazards, biologic hazards, and
radiation. Therefore, a medical surveillance program is essential to assess and monitor workers’ health and fitness for employment in hazardous waste operations and during the course
of work; to provide emergency and other treatment as needed; and to keep accurate records for future reference. The Occupational Safety and Health Guidance Manual for Hazardous Waste
Site Activities developed by the National Institute for Occupational Safety and Health (NIOSH), the Occupational Safety and Health Administration (OSHA), the U.S. Coast Guard (USCG),
and the Environmental Protection Agency (EPA); October 1985 provides an excellent example of the types of medical testing that should be done as part of a medical surveillance program.
9. New Technology and Spill Containment Programs. Where hazardous substances may be released by spilling from a container that will expose employees to the hazards of the materials,
the employer will need to implement a program to contain and control the spilled material. Diking and ditching, as well as use of absorbents like diatomaceous earth, are traditional
techniques which have proven to be effective over the years. However, in recent years new products have come into the marketplace, the use of which complement and increase the effectiveness
of these traditional methods. These new products also provide emergency responders and others with additional tools or agents to use to reduce the hazards of spilled materials. These
agents can be rapidly applied over a large area and can be uniformly applied or otherwise can be used to build a small dam, thus improving the workers’ ability to control spilled material.
These application techniques enhance the intimate contact between the agent and the spilled material allowing for the quickest effect by the agent or quickest control of the spilled
material. Agents are are available to solidify liquid spilled materials, to suppress vapor generation from spilled materials, and to do both. Some special agents, which when applied
as recommended by the manufacturer, will react in a controlled manner with the spilled material to neutralize acids or caustics, or greatly reduce the level of hazard of the spilled
material. There are several modern methods and devices for use by emergency response personnel or others involved with spill control efforts to safely apply spill control agents to control
spilled material hazards. These include portable pressurized applicators similar to hand-held portable fire extinguishing devices, and nozzle and hose systems similar to portable fire
fighting foam systems which allow the operator to apply the agent without having to come into contact with the spilled material. The operator is able to apply the agent to the spilled
material from a remote position. The solidification of liquids provides for rapid containment and isolation of hazardous substance spills. By directing the agent at run-off points or
at the edges of the spill, the reactant solid will automatically create a barrier to slow or stop the spread of the material. Clean-up of hazardous substances is greatly improved when
solidifying agents, acid or caustic neutralizers, or activated carbon adsorbents are used. Properly applied, these agents can totally solidify liquid hazardous substances or neutralize
or absorb them, which results in materials which are less hazardous and easier to handle, VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00400 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX
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401 Occupational Safety and Health Admin., Labor § 1910.120 transport, and dispose of. The concept of spill treatment, to create less hazardous substances, will improve the safety and
level of protection of employees working at spill clean-up operations or emergency response operations to spills of hazardous substances. The use of vapor suppression agents for volatile
hazardous substances, such as flammable liquids and those substances which present an inhalation hazard, is important for protecting workers. The rapid and uniform distribution of the
agent over the surface of the spilled material can provide quick vapor knockdown. There are temporary and long-term foam-type agents which are effective on vapors and dusts, and activated
carbon adsorption agents which are effective for vapor control and soaking-up of the liquid. The proper use of hose lines or hand-held portable pressurized applicators provides good
mobility and permits the worker to deliver the agent from a safe distance without having to step into the untreated spilled material. Some of these systems can be recharged in the field
to provide coverage of larger spill areas than the design limits of a single charged applicator unit. Some of the more effective agents can solidify the liquid flammable hazardous substances
and at the same time elevate the flashpoint above 140 °F so the resulting substance may be handled as a nonhazardous waste material if it meets the U.S. Environmental Protection Agency’s
40 CFR part 261 requirements (See particularly § 261.21). All workers performing hazardous substance spill control work are expected to wear the proper protective clothing and equipment
for the materials present and to follow the employer’s established standard operating procedures for spill control. All involved workers need to be trained in the established operating
procedures; in the use and care of spill control equipment; and in the associated hazards and control of such hazards of spill containment work. These new tools and agents are the things
that employers will want to evaluate as part of their new technology program. The treatment of spills of hazardous substances or wastes at an emergency incident as part of the immediate
spill containment and control efforts is sometimes acceptable to EPA and a permit exception is described in 40 CFR 264.1(g)(8) and 265.1(c)(11). APPENDIX D TO § 1910.120—REFERENCES The
following references may be consulted for further information on the subject of this standard: 1. OSHA Instruction DFO CPL 2.70—January 29, 1986, Special Emphasis Program: Hazardous
Waste Sites. 2. OSHA Instruction DFO CPL 2–2.37A— January 29, 1986, Technical Assistance and Guidelines for Superfund and Other Hazardous Waste Site Activities. 3. OSHA Instruction DTS
CPL 2.74—January 29, 1986, Hazardous Waste Activity Form, OSHA 175. 4. Hazardous Waste Inspections Reference Manual, U.S. Department of Labor, Occupational Safety and Health Administration,
1986. 5. Memorandum of Understanding Among the National Institute for Occupational Safety and and Health, the Occupational Safety and Health Administration, the United States Coast Guard,
and the United States Environmental Protection Agency, Guidance for Worker Protection During Hazardous Waste Site Investigations and Clean-up and Hazardous Substance Emergencies. December
18, 1980. 6. National Priorities List, 1st Edition, October 1984; U.S. Environmental Protection Agency, Revised periodically. 7. The Decontamination of Response Personnel, Field Standard
Operating Procedures (F.S.O.P.) 7; U.S. Environmental Protection Agency, Office of Emergency and Remedial Response, Hazardous Response Support Division, December 1984. 8. Preparation
of a Site Safety Plan, Field Standard Operating Procedures (F.S.O.P.) 9; U.S. Environmental Protection Agency, Office of Emergency and Remedial Response, Hazardous Response Support Division,
April 1985. 9. Standard Operating Safety Guidelines; U.S. Environmental Protection Agency, Office of Emergency and Remedial Response, Hazardous Response Support Division, Environmental
Response Team; November 1984. 10. Occupational Safety and Health Guidance Manual for Hazardous Waste Site Activities, National Institute for Occupational Safety and Health (NIOSH), Occupational
Safety and Health Administration (OSHA), U.S. Coast Guard (USCG), and Environmental Protection Agency (EPA); October 1985. 11. Protecting Health and Safety at Hazardous Waste Sites:
An Overview, U.S. Environmental Protection Agency, EPA/625/9–85/006; September 1985. 12. Hazardous Waste Sites and Hazardous Substance Emergencies, NIOSH Worker Bulletin, U.S. Department
of Health and Human Services, Public Health Service, Centers for Disease Control, National Institute for Occupational Safety and Health; December 1982. 13. Personal Protective Equipment
for Hazardous Materials Incidents: A Selection Guide; U.S. Department of Health and Human Services, Public Health Service, Centers for Disease Control, National Institute for Occupational
Safety and Health; October 1984. 14. Fire Service Emergency Management Handbook, Handbook, International Association of Fire Chiefs Foundation, 101 East Holly Avenue, Unit 10B, Sterling,
VA 22170, January 1985. 15. Emergency Response Guidebook, U.S Department of Transportation, Washington, DC, 1987. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00401
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402 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) 16. Report to the Congress on Hazardous Materials Training, Planning and Preparedness, Federal Emergency Management Agency, Washington,
DC, July 1986. 17. Workbook for Fire Command, Alan V. Brunacini and J. David Beageron, National Fire Protection Association, Batterymarch Park, Quincy, MA 02269, 1985. 18. Fire Command,
Alan V. Brunacini, National Fire Protection Association, Batterymarch Park,, Quincy, MA 02269, 1985. 19. Incident Command System, Fire Protection Publications, Oklahoma State University,
Stillwater, OK 74078, 1983. 20. Site Emergency Response Planning, Chemical Manufacturers Association, Washington, DC 20037, 1986. 21. Hazardous Materials Emergency Planning
Guide, NRT–1, Environmental Protection Agency, Washington, DC, March 1987. 22. Community Teamwork: Working Together to Promote Hazardous Materials Transportation Safety. U.S. Department
of Transportation, Washington, DC, May 1983. 23. Disaster Planning Guide for Business and Industry, Federal Emergency Management Agency, Publication No. FEMA 141, August 1987. (The Office
of Management and Budget has approved the information collection requirements in this section under control number 1218–0139) APPENDIX E TO § 1910.120—TRAINING CURRICULUM GUIDELINES
The following non-mandatory general criteria may be used for assistance in developing site-specific training curriculum used to meet the training requirements of 29 CFR 1910.120(e);
29 CFR 1910.120(p)(7), (p)(8)(iii); and 29 CFR 1910.120(q)(6), (q)(7), and (q)(8). These are generic guidelines and they are not presented as a complete training curriculum for any specific
employer. Site-specific training programs must be developed on the basis of a needs assessment of the hazardous waste site, RCRA/TSDF, or emergency response operation in accordance with
29 CFR 1910.120. It is noted that the legal requirements are set forth in the regulatory text of §1910.120. The guidance set forth here presents a highly effective program that in the
areas covered would meet or exceed the regulatory requirements. In addition, other approaches could meet the regulatory requirements. Suggested General Criteria Definitions: ‘‘Competent’’
means possessing the skills, knowledge, experience, and judgment to perform assigned tasks or activities satisfactorily as determined by the employer. ‘‘Demonstration’’ means the showing
by actual use of equipment or procedures. ‘‘Hands-on training’’ means training in a simulated work environment that permits each student to have experience performing tasks, making decisions,
or using equipment appropriate to the job assignment for which the training is being conducted. ‘‘Initial training’’ means training required prior to beginning work. ‘‘Lecture’’ means
an interactive discourse with a class lead by an instructor. ‘‘Proficient’’ means meeting a stated level of achievement. ‘‘Site-specific’’ means individual training directed to the operations
of a specific job site. ‘‘Training hours’’ means the number of hours devoted to lecture, learning learning activities, small group work sessions, demonstration, evaluations, or hands-on
experience. Suggested core criteria: 1. Training facility. The training facility should have available sufficient resources, equipment, and site locations to perform didactic and hands-on
training when appropriate. Training facilities should have sufficient organization, support staff, and services to conduct training in each of the courses offered. 2. Training Director.
Each training program should be under the direction of a training director who is responsible for the program. The Training Director should have a minimum of two years of employee education
experience. 3. Instructors. Instructors should be deem competent on the basis of previous documented experience in their area of instruction, successful completion of a ‘‘train-thetrainer’’
program specific to the topics they will teach, and an evaluation of instructional competence by the Training Director. Instructors should be required to maintain professional competency
by participating in continuing education or professional development programs or by completing successfully an annual refresher course and having an annual review by the Training Director.
The annual review by the Training Director should include observation of an instructor’s delivery, a review of those observations with the trainer, and an analysis of any instructor
or class evaluations completed by the students during the previous year. 4. Course materials. The Training Director should approve all course materials to be used by the training provider.
Course materials should be reviewed and updated at least annually. Materials and equipment should be in good working order and maintained properly. All written and audio-visual materials
in training curricula should be peer reviewed by technically competent outside reviewers or by a standing advisory committee. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000
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403 Occupational Safety and Health Admin., Labor § 1910.120 Reviews should possess expertise in the following disciplines were applicable: occupational health, industrial hygiene and
safety, chemical/environmental engineering, employee education, or emergency response. One or more of the peer reviewers should be a employee experienced in the work activities to which
the training is directed. 5. Students. The program for accepting students should include: a. Assurance that the student is or will be involved in work where chemical exposures are likely
and that the student possesses the skills necessary to perform the work. b. A policy on the necessary medical clearance. 6. Ratios. Student-instructor ratios should not exceed 30 students
per instructor. Handson activity requiring the use of personal protective equipment should have the following student-instructor ratios. For Level C or Level D personal protective equipment
the ratio should be 10 students per instructor. For Level A or Level B personal protective equipment the ratio should be 5 students per instructor. 7. Proficiency assessment. Proficiency
should be evaluated and documented by the use of a written assessment and a skill demonstration selected and developed by the Training Director and training staff. The assessment and
demonstration should evaluate the knowledge and individual skills developed in the course of training. The level of minimum achievement necessary for proficiency shall be specified in
writing by the Training Director. If a written test is used, there should be a minimum of 50 questions. If a written test is used in combination with a skills demonstration, a minimum
of 25 questions should be used. If a skills demonstration is used, the tasks chosen and the means to rate successful completion should be fully documented by the Training Director. The
content of the written test or of the skill demonstration shall be relevant to the objectives of the course. The written test and skill demonstration should be updated as necessary to
reflect changes in the curriculum and any update should be approved by the Training Director. The proficiency assessment methods, regardless of the approach or combination of approaches
used, should be justified, documented and approved by the Training Director. The proficiency of those taking the additional courses for supervisors should be evaluated and documented
by using proficiency assessment methods acceptable to the Training Director. These proficiency assessment methods must reflect the additional responsibilities borne by supervisory personnel
in hazardous waste operations or emergency response. 8. Course certificate. Written documentation should be provided to each student who satisfactorily completes the training course.
The documentation should include: a. Student’s name. b. Course title. c. Course date. d. Statement that the student has successfully completed the course. e. Name and address of the
training provider. f. An individual identification number for the certificate. g. List of the levels of of personal protective equipment used by the student to complete the course. This
documentation may include a certificate and an appropriate wallet-sized laminated card with a photograph of the student and the above information. When such course certificate cards
are used, the individual identification number for the training certificate should be shown on the card. 9. Recordkeeping. Training providers should maintain records listing the dates
courses were presented, the names of the individual course attenders, the names of those students successfully completing each course, and the number of training certificates issued
to each successful student. These records should be maintained for a minimum of five years after the date an individual participated in a training program offered by the training provider.
These records should be available and provided upon the student’s request or as mandated by law. 10. Program quality control. The Training Director should conduct or direct an annual
written audit of the the training program. Program modifications to address deficiencies, if any, should be documented, approved, and implemented by the training provider. The audit
and the program modification documents should be maintained at the training facility. Suggested Program Quality Control Criteria Factors listed here are suggested criteria for determining
the quality and appropriateness of employee health and safety training for hazardous waste operations and emergency response. A. Training Plan. Adequacy and appropriateness of the training
program’s curriculum development, instructor training, distribution of course materials, and direct student training should be considered, including 1. The duration of training, course
content, and course schedules/agendas; 2. The different training requirements of the various target populations, as specified in the appropriate generic training curriculum; VerDate
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404 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) 3. The process for the development of curriculum, which includes appropriate technical input, outside review, evaluation, program pretesting.
4. The adequate and appropriate inclusion of hands-on, demonstration, and instruction methods; 5. Adequate monitoring of student safety, progress, and performance during the training.
B. Program management, Training Director, staff, and consultants. Adequacy and appropriateness of staff performance and delivering an effective training program should be considered,
including 1. Demonstration of the training director’s leadership in assuring quality of health and safety training. 2. Demonstration of the competency of the staff to meet the demands
of delivering high quality hazardous waste employee health and safety training. 3. Organization charts establishing clear lines of authority. 4. Clearly defined staff duties including
the relationship of the training staff to the overall program. 5. Evidence that the training organizational structure suits the needs of the training program. 6. Appropriateness and
adequacy of the training methods used by the instructors. 7. Sufficiency of the time committed by the training director and staff to the training program. 8. Adequacy of the ratio of
training staff to students. 9. Availability and commitment of the training program of adequate human and equipment resources in the areas of a. Health effects, b. Safety, c. Personal
protective equipment (PPE), d. Operational procedures, e. Employee protection practices/procedures. 10. Appropriateness of management controls. 11. Adequacy of the organization and appropriate
resources assigned to assure appropriate training. 12. In the case of multiple-site training programs, adequacy of satellite centers management. C. Training facilities and resources.
Adequacy and appropriateness of the facilities and resources for supporting the training program should be considered, including, 1. Space and equipment to conduct the training. 2. Facilities
for representative hands-on training. 3. In the case of multiple-site programs, equipment and facilities at the satellite centers. 4. Adequacy and appropriateness of the quality control
and evaluations program to account for instructor performance. 5. Adequacy and appropriateness of the quality control and evaluation program to ensure appropriate course evaluation,
feedback, updating, and corrective action. 6. Adequacy and appropriateness of disciplines and expertise being used within the quality control and evaluation program. 7. Adequacy and
appropriateness of the role of student evaluations to provide feedback for training program improvement. D. Quality control and evaluation. Adequacy and appropriateness of quality control
and evaluation plans for training programs should be considered, including: 1. A balanced advisory committee and/or competent outside reviewers to give overall policy guidance; 2. Clear
and adequate definition of the composition and active programmatic role of the advisory committee or outside reviewers. 3. Adequacy of the minutes or reports of the advisory committee
or outside reviewers’ meetings or written communication. 4. Adequacy and appropriateness of the quality control and evaluations program to account for instructor performance. 5. Adequacy
and appropriateness of the quality control and evaluation program to ensure appropriate course evaluation, feedback, updating, and corrective action. 6. Adequacy and appropriateness
of disciplines and expertise being used within the quality control and evaluation program. 7. Adequacy and appropriateness of the role of student evaluations to provide feedback for
training program improvement. E. Students Adequacy and appropriateness of the program for accepting students should be considered, including 1. Assurance that the student already possess
the necessary skills for their job, including necessary documentation. 2. Appropriateness of methods the program uses to ensure that recruits are capable of satisfactorily completing
training. 3. Review and compliance with any medical clearance policy. F. Institutional Environment and Administrative Support The adequacy and appropriateness of the institutional environment
and administrative support system for the training program should be considered, including 1. Adequacy of the institutional commitment to the employee training program. 2. Adequacy and
appropriateness of the administrative structure and administrative support. G. Summary of Evaluation Questions Key questions for evaluating the quality and appropriateness of an overall
training program should include the following: VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00404 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
405 Occupational Safety and Health Admin., Labor § 1910.120 1. Are the program objectives clearly stated? 2. Is the program accomplishing its objectives? 3. Are appropriate facilities
and staff available? 4. Is there an appropriate mix of classroom, demonstration, and hands-on training? 5. Is the program providing quality employee health and safety training that fully
meets the intent of regulatory requirements? 6. What are the program’s main strengths? 7. What are the program’s main weaknesses? 8. What is recommended to improve the program? 9. Are
instructors instructing according to their training outlines? 10. Is the evaluation tool current and appropriate for the program content? 11. Is the course material current and relevant
to the target group? Suggested Training Curriculum Guidelines The following training curriculum guidelines are for those operations specifically identified in 29 CFR 1910.120 as requiring
training. Issues such as qualifications of instructors, training certification, and similar criteria appropriate to all categories of operations addressed in 1910.120 have been covered
in the preceding section and are not readdressed in each of the generic guidelines. Basic core requirements for training programs that are addressed include 1. General Hazardous Waste
Operations 2. RCRA operations—Treatment, storage, and disposal facilities. 3. Emergency Response. A. General Hazardous Waste Operations and Site-specific Training 1. Off-site training.Training
course content for hazardous waste operations, required by 29 CFR 1910.120(e), should include the following topics or procedures: a. Regulatory knowledge. (1) An review of 29 CFR 1910.120
and the core elements of an occupational safety and health program. (2) The content of a medical surveillance program as outlined in 29 CFR 1910.120(f). (3) The content of an effective
site safety and health plan consistent with the requirements of 29 CFR 1910.120(b)(4)(ii). (4) Emergency response plan and procedures as outlined in 29 CFR 1910.38 and 29 CFR 1910.120(l).
(5) Adequate illumination. (6) Sanitation recommendation and equipment. (7) Review and explanation of OSHA’s hazard-communication standard (29 CFR 1910.1200) and lock-out-tag-out standard
(29 CFR 1910.147). (8) Review of other applicable standards including but not limited to those in the construction standards (29 CFR Part 1926). (9) Rights and responsibilities of employers
and employees under applicable OSHA and EPA laws. b. Technical knowledge. (1) Type of potential exposures to chemical, biological, and radiological hazards; types of human responses
to these hazards and recognition of those responses; principles of toxicology and information about acute and chronic hazards; health and safety considerations of new technology. (2)
Fundamentals of chemical hazards including but not limited to vapor pressure, boiling points, flash points, ph, other physical and chemical properties. (3) Fire and explosion hazards
of chemicals. (4) General safety hazards such as but not limited to electrical hazards, powered equipment hazards, motor vehicle hazards, walking-working surface hazards, excavation
hazards, and hazards associated with working in hot and cold temperature extremes. (5) Review and knowledge of confined space entry procedures in 29 CFR 1910.146. (6) Work practices
to minimize employee risk from site hazards. (7) Safe use of engineering controls, equipment, and any new relevant safety technology or safety procedures. (8) Review and demonstration
of competency with air sampling and monitoring equipment that may be used in a site monitoring program. (9) Container sampling procedures and safeguarding; general drum and container
handling procedures including special requirement for laboratory waste packs, shock-sensitive wastes, and radioactive wastes. (10) The elements of a spill control program. (11) Proper
use and limitations of material handling equipment. (12) Procedures for safe and healthful preparation of containers for shipping and transport. (13) Methods of communication including
those used while wearing respiratory protection. c. Technical skills. (1) Selection, use maintenance, and limitations of personal protective equipment including the components and procedures
for carrying out a respirator program to comply with 29 CFR 1910.134. (2) Instruction in decontamination programs including personnel, equipment, and hardware; hands-on training including
level A, B, and C ensembles and appropriate decontamination lines; field activities including the donning and doffing of protective equipment to a level commensurate with the employee’s
anticipated job function and responsibility and to the degree required by potential hazards. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00405 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XX
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406 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) (3) Sources for additional hazard information; exercises using relevant manuals and hazard coding systems. d. Additional suggested items.
(1) A laminated, dated card or certificate with photo, denoting limitations and level of protection for which the employee is trained should be issued to those students successfully
completing a course. (2) Attendance should be required at all training modules, with successful completion of exercises and a final written or oral examination with at least 50 questions.
(3) A minimum of one-third of the program should be devoted to hands-on exercises. (4) A curriculum should be established for the 8-hour refresher training required by 29 CFR 1910.120(e)(8),
with delivery of such courses directed toward those areas of previous training that need improvement or reemphasis. (5) A curriculum should be established for the required 8-hour training
for supervisors. Demonstrated competency in the skills and knowledge provided in a 40-hour course should be a prerequisite for supervisor training. 2. Refresher training. The 8-hour
annual refresher training required in 29 CFR 1910.120(e)(8) should be conducted by qualified training providers. Refresher training should include at a minimum the following topics and
procedures: (a) Review of and retraining on relevant topics covered in the 40-hour program, as appropriate, using reports by the students on their work experiences. (b) Update on developments
with respect to material covered in the 40-hour course. (c) Review of changes to pertinent provisions of EPA or OSHA standards or laws. (d) Introduction of additional subject areas as
appropriate. (e) Hands-on review of new or altered PPE or decontamination equipment or procedures. Review of new developments in personal protective equipment. (f) Review of newly developed
air and contaminant monitoring equipment. 3. On-site training. a. The employer should provide employees engaged in hazardous waste site activities with information and training prior
to initial assignment into their work area, as follows: (1) The requirements of the hazard communication program including the location and availability of the written program, required
lists of hazardous chemicals, and material safety data sheets. (2) Activities and locations in their work area where hazardous substance may be present. (3) Methods and observations
that may be used to detect the present or release of a hazardous chemical in the work area (such as monitoring conducted by the employer, continuous monitoring devices, visual appearances,
or other evidence (sight, sound or smell) of hazardous chemicals being released, and applicable alarms from monitoring devices that record chemical releases. (4) The physical and health
hazards of substances known or potentially present in the work area. (5) The measures employees can take to help protect themselves from work-site hazards, including specific procedures
the employer has implemented. (6) An explanation of the labeling system and material safety data sheets and how employees can obtain and use appropriate hazard information. (7) The elements
of the confined space program including special PPE, permits, monitoring requirements, communication procedures, emergency response, and applicable lock-out procedures. b. The employer
should provide hazardous waste employees information and training and should provide a review and access to the site safety and plan as follows: (1) Names of personnel and alternate
responsible for site safety and health. (2) Safety and health hazards present on the site. (3) Selection, use, maintenance, and limitations of personal protective equipment specific
to the site. (4) Work practices by which the employee can minimize risks from hazards. (5) Safe use of engineering controls and equipment available on site. (6) Safe decontamination
procedures established to minimize employee contact with hazardous substances, including: (A) Employee decontamination, (B) Clothing decontamination, and (C) Equipment decontamination.
(7) Elements of the site emergency response plan, including: (A) Pre-emergency planning. (B) Personnel roles and lines of authority and communication. (C) Emergency recognition and prevention.
(D) Safe distances and places of refuge. (E) Site security and control. (F) Evacuation routes and procedures. (G) Decontamination procedures not covered by the site safety and health
plan. (H) Emergency medical treatment and first aid. (I) Emergency equipment and procedures for handling emergency incidents. c. The employer should provide hazardous waste employees
information and training on personal protective equipment used at the site, such as the following: (1) PPE to be used based upon known or anticipated site hazards. (2) PPE limitations
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407 Occupational Safety and Health Admin., Labor § 1910.120 medical considerations; use and limitations of respirator equipment as well as documentation procedures as outlined in 29
CFR 1910.134. (3) PPE inspection procedures prior to, during, and after use. (4) PPE donning and doffing procedures. (5) PPE decontamination and disposal procedures. (6) PPE maintenance
and storage. (7) Task duration as related to PPE limitations. d. The employer should instruct the employee about the site medical surveillance program relative to the particular site,
including (1) Specific medical surveillance programs that have been adapted for the site. (2) Specific signs and symptoms related to exposure to hazardous materials on the site. (3)
The frequency and extent of periodic medical examinations that will be used on the site. (4) Maintenance and availability of records. (5) Personnel to be contacted and procedures to
be followed when signs and symptoms of exposures are recognized. e. The employees will review and discuss the site safety plan as part of the training program. The location of the site
safety plan and all written programs should be discussed with employees including a discussion of the mechanisms for access, review, and references described. B. RCRA Operations Training
for Treatment, Storage and Disposal Facilities. 1. As a minimum, the training course required in 29 CFR 1910.120 (p) should include the following topics: (a) Review of the applicable
paragraphs of 29 CFR 1910.120 and the elements of the employer’s occupational safety and health plan. (b) Review of relevant hazards such as, but not limited to, chemical, biological,
and radiological exposures; fire and explosion hazards; thermal extremes; and physical hazards. (c) General safety hazards including those associated with electrical hazards, powered
equipment hazards, lock-out-tag-out procedures, motor vehicle hazards and walkingworking surface hazards. (d) Confined-space hazards and procedures. (e) Work practices to minimize employee
risk from workplace hazards. (f) Emergency response plan and procedures including first aid meeting the requirements of paragraph (p)(8). (g) A review of procedures to minimize exposure
to hazardous waste and various type of waste streams, including the materials handling program and spill containment program. (h) A review of hazard communication programs meeting the
requirements of 29 CFR 1910.1200. (i) A review of medical surveillance programs meeting the requirements of 29 CFR 1910.120(p)(3) including the recognition of signs and symptoms of overexposure
to hazardous substance including known synergistic interactions. (j) A review of decontamination programs and procedures meeting the requirements of 29 CFR 1910.120(p)(4). (k) A review
of an employer’s requirements to implement a training program and its elements. (l) A review of the criteria and programs for proper selection and use of personal protective equipment,
including respirators. (m) A review of the applicable appendices to 29 CFR 1910.120. (n) Principles of toxicology and biological monitoring as they pertain to occupational health. (o)
Rights and responsibilities of employees and employers under applicable OSHA and EPA laws. (p) Hands-on exercises and demonstrations of competency with equipment to illustrate the basic
equipment principles that may be used during the performance of work duties, including the donning and doffing of PPE. (q) Sources of reference, efficient use of relevant manuals, and
knowledge of hazard coding systems to include information contained in hazardous waste manifests. (r) At least 8 hours of hands-on training. (s) Training in the job skills required for
an employee’s job function and responsibility before they are permitted to participate in or supervise field activities. 2. The individual employer should provide hazardous waste employees
with information and training prior to an employee’s initial assignment into a work area. The training and information should cover the following topics: (a) The Emergency response plan
and procedures including first aid. (b) A review of the employer’s hazardous waste handling procedures including the materials handling program and elements of the spill containment
program, location of spill response kits or equipment, and the names of those trained to respond to releases. (c) The hazardous communication program meeting the requirements of 29 CFR
1910.1200. (d) A review of the employer’s medical surveillance program including the recognition of signs and symptoms of exposure to relevant
hazardous substance including known synergistic interactions. (e) A review of the employer’s decontamination program and procedures. (f) An review of the employer’s training program
and the parties responsible for that program. (g) A review of the employer’s personal protective equipment program including the VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO
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408 § 1910.120 29 CFR Ch. XVII (7–1–04 Edition) proper selection and use of PPE based upon specific site hazards. (h) All relevant site-specific procedures addressing potential safety
and health hazards. This may include, as appropriate, biological and radiological exposures, fire and explosion hazards, thermal hazards, and physical hazards such as electrical hazards,
powered equipment hazards, lock-out-tag-out hazards, motor vehicle hazards, and walkingworking surface hazards. (i) Safe use engineering controls and equipment on site. (j) Names of
personnel and alternates responsible for safety and health. C. Emergency response training. Federal OSHA standards in 29 CFR 1910.120(q) are directed toward private sector emergency
responders. Therefore, the guidelines provided in this portion of the appendix are directed toward that employee population. However, they also impact indirectly through State OSHA or
USEPA regulations some public sector emergency responders. Therefore, the guidelines provided in this portion of the appendix may be applied to both employee populations. States with
OSHA state plans must cover their employees with regulations at least as effective as the Federal OSHA standards. Public employees in states without approved state OSHA programs covering
hazardous waste operations and emergency response are covered by the U.S. EPA under 40 CFR 311, a regulation virtually identical to §1910.120. Since this is a non-mandatory appendix
and therefore not an enforceable standard, OSHA recommends that those employers, employees or volunteers in public sector emergency response organizations outside Federal OSHA jurisdiction
consider the following criteria in developing their own training programs. A unified approach to training at the community level between emergency response organizations covered by Federal
OSHA and those not covered directly by Federal OSHA can help ensure an effective community response to the release or potential release of hazardous substances in the community. a. General
considerations. Emergency response organizations are required to consider the topics listed in §1910.120(q)(6). Emergency response organizations may use some or all of the following
topics to supplement those mandatory topics when developing their response training programs. Many of the topics would require an interaction between the response provider and the individuals
responsible for the site where the response would be expected. (1) Hazard recognition, including: (A) Nature of hazardous substances present, (B) Practical applications of hazard recognition,
including presentations on biology, chemistry, and physics. (2) Principles of toxicology, biological monitoring, and risk assessment. (3) Safe work practices and general site safety.
(4) Engineering controls and hazardous waste operations. (5) Site safety plans and standard operating procedures. (6) Decontamination procedures and practices. (7) Emergency procedures,
first aid, and self-rescue. (8) Safe use of field equipment. (9) Storage, handling, use and transportation of hazardous substances. (10) Use, care, and limitations of personal protective
equipment. (11) Safe sampling techniques. (12) Rights and responsibilities of employees under OSHA and other related laws concerning right-to-know, safety and health, compensations and
liability. (13) Medical monitoring requirements. (14) Community relations. b. Suggested criteria for specific courses. (1) First responder awareness level. (A) Review of and demonstration
of competency in performing the applicable skills of 29 CFR 1910.120(q). (B) Hands-on experience with the U.S. Department of Transportation’s Emergency Response Guidebook (ERG) and familiarization
with OSHA standard 29 CFR 1910.1201. (C) Review of the principles and practices for analyzing an incident to determine both the hazardous substances present and the basic hazard and
response information for each hazardous substance present. (D) Review of procedures for implementing actions consistent with the local emergency response plan, the organization’s standard
operating procedures, and the current edition of DOT’s ERG including emergency notification procedures and follow-up communications. (E) Review of the expected hazards including fire
and explosions hazards, confined space hazards, electrical hazards, powered equipment hazards, motor vehicle hazards, and walking-working surface hazards. (F) Awareness and knowledge
of the competencies for the First Responder at the Awareness Level covered in the National Fire Protection Association’s Standard No. 472, Professional Competence of Responders to Hazardous
Materials Incidents. (2) First responder operations level. (A) Review of and demonstration of competency in performing the applicable skills of 29 CFR 1910.120(q). (B) Hands-on experience
with the U.S. Department of Transportation’s Emergency Response Guidebook (ERG), manufacturer material safety data sheets, CHEMTREC/VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110
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409 Occupational Safety and Health Admin., Labor § 1910.120 CANUTEC, shipper or manufacturer contacts, and other relevant sources of information addressing hazardous substance releases.
Familiarization with OSHA standard 29 CFR 1910.1201. (C) Review of the principles and practices for analyzing an incident to determine the hazardous substances present, the likely behavior
of the hazardous substance and its container, the types of hazardous substance transportation containers and vehicles, the types and selection of the appropriate defensive strategy for
containing the release. (D) Review of procedures for implementing continuing response actions consistent with the local emergency response plan, the organization’s standard operating
procedures, and the current edition of DOT’s ERG including extended emergency notification procedures and follow-up communications. (E) Review of the principles and practice for proper
selection and use of personal protective equipment. (F) Review of the principles and practice of personnel and equipment decontamination. (G) Review of the expected hazards including
fire and explosions hazards, confined space hazards, electrical hazards, powered equipment hazards, motor vehicle hazards, and walking-working surface hazards. (H) Awareness and knowledge
of the competencies for the First Responder at the Operations Level covered in the National Fire Protection Association’s Standard No. 472, Professional Competence of Responders to Hazardous
Materials Incidents. (3) Hazardous materials technician. (A) Review of and demonstration of competency in performing the applicable skills of 29 CFR 1910.120(q). (B) Hands-on experience
with written and electronic information relative to response decision making including but not limited to the U.S. Department of Transportation’s Emergency Response Guidebook (ERG),
manufacturer material safety data sheets, CHEMTREC/CANUTEC, shipper or manufacturer contacts, computer data bases and response models, and other relevant sources of information addressing
addressing hazardous substance releases. Familiarization with OSHA standard 29 CFR 1910.1201. (C) Review of the principles and practices for analyzing an incident to determine the hazardous
substances present, their physical and chemical properties, the likely behavior of the hazardous substance and its container, the types of hazardous substance transportation containers
and vehicles involved in the release, the appropriate strategy for approaching release sites and containing the release. (D) Review of procedures for implementing continuing response
actions consistent with the local emergency response plan, the organization’s standard operating procedures, and the current edition of DOT’s ERG including extended emergency notification
procedures and follow-up communications. (E) Review of the principles and practice for proper selection and use of personal protective equipment. (F) Review of the principles and practices
of establishing exposure zones, proper decontamination and medical surveillance stations and procedures. (G) Review of the expected hazards including fire and explosions hazards, confined
space hazards, electrical hazards, powered equipment hazards, motor vehicle hazards, and walking-working surface hazards. (H) Awareness and knowledge of the competencies for the Hazardous
Materials Technician covered in the National Fire Protection Association’s Standard No. 472, Professional Competence of Responders to Hazardous Materials Incidents. (4) Hazardous materials
specialist. (A) Review of and demonstration of competency in performing the applicable skills of 29 CFR 1910.120(q). (B) Hands-on experience with retrieval and use of written and electronic
information relative to response decision making including but not limited to the U.S. Department of Transportation’s Emergency Response Guidebook (ERG), manufacturer material safety
data sheets, CHEMTREC/CANUTEC, shipper or manufacturer contacts, computer data bases and response models, and other relevant sources of information addressing hazardous substance releases.
Familiarization with OSHA standard 29 CFR 1910.1201. (C) Review of the principles and practices for analyzing an incident to determine the hazardous substances present, their physical
and chemical properties, and the likely behavior of the hazardous substance and its container, vessel, or vehicle. (D) Review of the principles and practices for identification of the
types of hazardous substance transportation containers, vessels and vehicles involved in the release; selecting and using the various types of equipment available for plugging or patching
transportation containers, vessels or vehicles; organizing and directing the use of multiple teams of hazardous material technicians and selecting the appropriate strategy for approaching
release sites and containing or stopping the release. (E) Review of procedures for implementing continuing response actions consistent with the local emergency response plan, the organization’s
standard operating procedures, including knowledge of the available public and private response resources, establishment of an incident command post, direction of hazardous material
technician teams, and extended emergency notification procedures and follow-up communications. (F) Review of the principles and practice for proper selection and use of personal protective
equipment. VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm 00409 Fmt 8010 Sfmt 8002 Y:\SGML\203110T.XXX 203110T
410 § 1910.121 29 CFR Ch. XVII (7–1–04 Edition) (G) Review of the principles and practices of establishing exposure zones and proper decontamination, monitoring and medical surveillance
stations and procedures. (H) Review of the expected hazards including fire and explosions hazards, confined space hazards, electrical hazards, powered equipment hazards, motor vehicle
hazards, and walking-working surface hazards. (I) Awareness and knowledge of the competencies for the Off-site Specialist Employee covered in the National Fire Protection Association’s
Standard No. 472, Professional Competence of Responders to Hazardous Materials Incidents. (5) Incident commander. The incident commander is the individual who, at any one time, is responsible
for and in control of the response effort. This individual is the person responsible for the direction and coordination of the response effort. An incident commander’s position should
be occupied by the most senior, appropriately trained individual present at the response site. Yet, as necessary and appropriate by the level of response provided, the position may be
occupied by many individuals during a particular response as the need for greater authority, responsibility, or training increases. It is possible for the first responder at the awareness
level to assume the duties of incident commander until a more senior and appropriately trained individual arrives at the response site. Therefore, any emergency responder expected to
perform as an incident commander should be trained to fulfill the obligations of the position at the level of response they will be providing including the following: (A) Ability to
analyze a hazardous substance incident to determine the magnitude of the response problem. (B) Ability to plan and implement an appropriate response plan within the capabilities of available
personnel and equipment. (C) Ability to implement a response to favorably change the outcome of the incident in a manner consistent with the local emergency response plan and the organization’s
standard operating procedures. (D) Ability to evaluate the progress of the emergency response to ensure that the response objectives are being met safely, effectively, and efficiently.
(E) Ability to adjust the response plan to the conditions of the response and to notify higher levels of response when required by the changes to the response plan. [54 FR 9317, Mar.
6, 1989, as amended at 55 FR 14073, Apr. 13, 1990; 56 FR 15832, Apr. 18, 1991; 59 FR 43270, Aug. 22, 1994; 61 FR 9238, Mar. 7, 1996; 67 FR 67964, Nov. 7, 2002] § 1910.121 [Reserved]
DIPPING AND COATING OPERATIONS SOURCE: 64 FR 13909, Mar. 23, 1999, unless otherwise noted. § 1910.122 Table of contents. This section lists the paragraph headings contained in §§1910.123
through 1910.126. § 1910.123 Dipping and coating operations: Coverage and definitions. (a) Does this rule apply to me? (b) What operations are covered? (c) What operations are not covered?
(d) How are terms used in §§ 1910.123 through 1910.126 defined? § 1910.124 General requirements for dipping and coating operations. (a) What construction requirements apply to dip tanks?
(b) What ventilation requirements apply to vapor areas? (c) What requirements must I follow to recirculate exhaust air into the workplace? (d) What must I do when I use an exhaust hood?
(e) What requirements must I follow when an employee enters a dip tank? (f) What first-aid procedures must my employees know? (g) What hygiene facilities must I provide? (h) What treatment
and first aid must I provide? (i) What must I do before an employee cleans a dip tank? (j) What must I do to inspect and maintain my dipping or coating operation? § 1910.125 Additional
requirements for dipping and coating operations that use flammable or combustible liquids. (a) What type of construction material must be used in making my dip tank? (b) When must I
provide overflow piping? (c) When must I provide a bottom drain? (d) When must my conveyer system shut down automatically? (e) What ignition and fuel sources must be controlled? (f)
What fire protection must I provide? (g) To what temperature may I heat a liquid in a dip tank? § 1910.126 Additional requirements for special dipping and coating operations. (a) What
additional requirements apply to hardening or tempering tanks? (b) What additional requirements apply to flow coating? VerDate May<21>2004 10:25 Jul 17, 2004 Jkt 203110 PO 00000 Frm
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7-32-2121. Duties of sheriff. The sheriff shall: (1) preserve the peace; (2) arrest and take before the nearest magistrate for examination all persons who attempt to commit or have committed
a public offense; (3) prevent and suppress all affrays, breaches of the peace, riots, and insurrections that may come to the sheriff's knowledge; (4) perform the duties of a humane officer
within the county with reference to the protection of animals; (5) attend all courts, except municipal, justices', and city courts, at their respective terms or sessions held within
the county and obey their lawful orders and directions; (6) command the aid of as many inhabitants of the county as are necessary in the execution of the sheriff's duties; (7) take charge
of and keep the detention center and the inmates in the detention center, unless the detention center is operated by a private party under an agreement entered into under 7-32-2201 or
by a detention center administrator or by another local government; (8) endorse upon all all notices and process the year, month, day, hour, and minute of receipt and issue to the person
delivering them, on payment of fees, a certificate showing the names of the parties, the title of the paper, and the time of receipt; (9) serve all process or notices in the manner prescribed
by law; (10) certify in writing upon the process or notices the manner and time of service or, if the sheriff fails to make service, the reasons for this failure, and return the papers
without delay; (11) take charge of and supervise search and rescue units and their officers whenever search and rescue units are called into service; and
7-32-235. Search and rescue units authorized --under control of county sheriff --optional funding. (1) A county may establish or recognize one or more search and rescue units within
the county. (2) (a) Except in time of martial rule as provided in 10-1-106, search and rescue units and their officers are under the operational control and supervision of the county
sheriff, or the sheriff's designee, having jurisdiction and whose span of control would be considered within reasonable limits. (b) A county sheriff or the sheriff's designee may authorize
the participation of members of the civil air patrol, including cadets under 18 years of age, in search and rescue operations. (3) Subject to 15-10-420, a county may, after approval
by a majority of the people voting on the question at an election held throughout the county, levy an annual tax on the taxable value of all taxable property within the county to support
one or more search and rescue units established or recognized under subsection (1). The election must be held as provided in 15-10-425.
10-3-401. Local and interjurisdictional disaster and emergency plan --distribution. (1) Each political subdivision eligible to receive funds under this chapter shall prepare a local
or interjurisdictional disaster and emergency plan and program covering the area for which that political subdivision is responsible. This plan shall be in accordance with and in support
of the state disaster and emergency plan and program. (2) The political subdivision shall prepare and distribute on behalf of the principal executive officers, in written form, a clear
and complete statement of: (a) the emergency responsibilities of all local agencies, if any, and officials; (b) the disaster and emergency chain of command; (c) local evacuation authority
and responsibility; and (d) local authority and responsibility for control of ingress and egress to and from an emergency or disaster area. 10-3-402. Local emergency --declaration and
termination. (1) A local emergency proclamation or disaster declaration may be issued only by the principal executive officer of a political subdivision. (2) An emergency proclamation
may be issued by order or resolution whenever the principal executive officer determines there is an emergency. (3) An emergency proclamation may terminate with a disaster declaration
or when the principal executive officer determines that the emergency no longer exists. 10-3-403. Local disaster --declaration and termination. (1) A disaster declaration may be issued
by order or resolution whenever the principal executive officer determines a disaster is occurring or has occurred. (2) A disaster declaration may be terminated when the principal executive
officer determines that the disaster conditions no longer exist. 10-3-404. Contents of order --effect. (1) An order or resolution declaring or terminating a state of emergency or disaster
shall indicate the nature of the emergency or disaster, the area threatened, and the conditions which have brought about the proclamation or declaration or which make possible termination
of the state of emergency or disaster. Such order or resolution shall be disseminated promptly by means calculated to bring its contents to the attention of the general public and shall
be filed promptly with the division and the agency charged with recording the official records of the political subdivision. (2) The effect of an emergency proclamation or a disaster
declaration is to activate
applicable parts of the local or interjurisdictional disaster and emergency plan and program and to authorize the furnishing of aid and assistance in accordance with such plans and programs.
10-3-405. Levying emergency tax --disposition of surplus. (1) The governing body of the city or town or the governing body of the county, or both, shall estimate expenditures and levy
an emergency millage to cover the expenditures. The millage levied by the governing body of the city or town shall not exceed 2 mills on the municipality's taxable valuation. The millage
levied by the governing body of the county shall not exceed 2 mills on the taxable valuation of the county outside the municipalities. (2) No expenditure of revenue received from the
millage shall be made without approval of the appropriate levying body. (3) An additional levy or levies may be made by the appropriate levying body, providing that the sum of the levies
for emergencies as set forth in this section shall not exceed 2 mills in any one year. (4) 4) All levies under this section may be passed only by a unanimous vote of the appropriate
body. (5) Funds levied for an emergency and remaining when no further expenditures are necessary shall remain in a separate emergency fund and shall be used only for expenditures arising
from future emergencies. 10-3-406. Authority of principal executive officer. (1) Upon the declaration of an emergency or disaster under 10-3-402 or 10-3-403 and the issuance of an order
as required by 10-3-404, the principal executive officer may: (a) direct and compel the evacuation of all or part of the population from an incident or emergency or disaster area within
that political subdivision when necessary for the preservation of life or other disaster mitigation, response, or recovery; and (b) control the ingress and egress to and from an incident
or emergency or disaster area and the movement of persons within the area. (2) Subject to 7-33-2212(4)(a), the authority to control ingress and egress, as provided in subsection (1)(b),
b), includes the authority to close wildland areas to access during periods of extreme fire danger.
10-3-505. Proclamation of emergency --effect and termination. (1) Following an attack, if the governor finds that action is necessary to deal with the danger to the public safety caused
by the attack or to aid in the postattack recovery or rehabilitation of the United States or any part of the United States, the governor shall declare by proclamation the existence of
a postattack recovery and rehabilitation emergency. A proclamation is ineffectual unless the legislature is then in session or the governor simultaneously issues an order convening the
legislature in special session within 45 days. (2) During the period when the proclamation issued under subsection (1) is in force or during the continuance of any emergency declared
by the president of the United States or the congress calling for postattack recovery and rehabilitation activities, subject to the limitations set forth in this part and in a manner
consistent with any rules or orders and policy guidance issued by the federal government, the governor may issue, amend, and enforce rules and orders to: (a) control, restrict, and regulate,
by rationing, freezing, use of quotas, prohibitions on shipments, price fixing, allocation, or other means, the use, sale, or distribution of food, feed, fuel, clothing and other commodities,
materials, goods, or services; (b) prescribe and direct activities in connection with but not limited to use, conservation, salvage, and prevention of waste of materials, services, and
facilities, including production, transportation, power, and communication facilities, training and supply of labor, utilization of industrial plants, health and medical care, nutrition,
housing, including the use of existing and private facilities, rehabilitation, education, welfare, child care, recreation, consumer protection, and other essential civil needs; and (c)
take other action that may be necessary for the management of resources following an attack. (3) All rules and orders issued under authority conferred by this part have the effect of
law during the continuance of a proclamation or declaration of emergency as contemplated by this section when a copy of the rule or order is filed in the office of the secretary of state
or, if issued by a local or area official, when filed in the office or offices of the county clerk and recorder. If, by reason of destruction or disruption attendant upon or resulting
from attack, the filing requirements of this subsection cannot be met, public notice by means that may be available must be considered a complete and sufficient substitute. All existing
laws, ordinances, rules, and orders inconsistent with the provisions of this part or any rule or order issued under the authority of this part is inoperative during the period of time
and to the extent that inconsistency exists. (4) Any authority exercised under a proclamation of emergency contemplated by this section may be exercised with respect to the entire territory
over which the governor or
other official, as the case may be, has jurisdiction or to any specified part of the territory. (5) The governor's power and authority to issue a proclamation following an attack must
be terminated by the passage of a joint resolution of the legislature or by declaration of the termination of the emergency by the president or by the congress. However, the proclamation
must terminate automatically 6 months after issuance and a similar proclamation may not be issued unless concurrence is given by a joint resolution of the legislature.
34.3.102 EXPENDITURES FROM FUND--GENERAL REQUIREMENTS (1) Expenditures from the emergency and disaster fund shall be made only when the emergency or disaster justifies the expenditure
and is declared an emergency or disaster by executive order of the governor. (2) The responsible governmental entity must demonstrate that: (a) all available emergency levies will be
exhausted; (b) the emergency is beyond the financial capability of the responsible governmental entity. (3) The county disaster committee must determine that an emergency exists and
the board of county commissioners or the city, council must levy an emergency millage as provided in 10-3-405, MCA.
PUBLIC LAW 106–390—OCT. 30, 2000 DISASTER MITIGATION ACT OF 2000 VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00001 Fmt 6579 Sfmt 6579 E:\PUBLAW\PUBL390.106 APPS27
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114 STAT. 1552 PUBLIC LAW 106–390—OCT. 30, 2000 Public Law 106–390 106th Congress An Act To amend the Robert T. Stafford Disaster Relief and Emergency Assistance Act to authorize a program
for predisaster mitigation, to streamline the administration of disaster relief, to control the Federal costs of disaster assistance, and for other purposes. Be it enacted by the Senate
and House of Representatives of the United States of America in Congress assembled, SECTION 1. SHORT TITLE; TABLE OF CONTENTS. (a) SHORT TITLE.—This Act may be cited as the ‘‘Disaster
Mitigation Act of 2000’’. (b) TABLE OF CONTENTS.—The table of contents of this Act is as follows: Sec. 1. Short title; table of contents. TITLE I—PREDISASTER HAZARD MITIGATION Sec. 101.
Findings and purpose. Sec. 102. Predisaster hazard mitigation. Sec. 103. Interagency task force. Sec. 104. Mitigation planning; minimum standards for public and private structures. TITLE
II—STREAMLINING AND COST REDUCTION Sec. 201. Technical amendments. Sec. 202. Management costs. Sec. 203. Public notice, comment, and consultation requirements. Sec. 204. State administration
of hazard mitigation grant program. Sec. 205. Assistance to repair, restore, reconstruct, or replace damaged facilities. Sec. 206. Federal assistance to individuals and households. Sec.
207. Community disaster loans. Sec. 208. Report on State management of small disasters initiative. Sec. 209. Study regarding cost reduction. TITLE III—MISCELLANEOUS
Sec. 301. Technical correction of short title. Sec. 302. Definitions. Sec. 303. Fire management assistance. Sec. 304. Disaster grant closeout procedures. Sec. 305. Public safety officer
benefits for certain Federal and State employees. Sec. 306. Buy American. Sec. 307. Treatment of certain real property. Sec. 308. Study of participation by Indian tribes in emergency
management. TITLE I—PREDISASTER HAZARD MITIGATION SEC. 101. FINDINGS AND PURPOSE. (a) FINDINGS.—Congress finds that— 42 USC 5133 note. 42 USC 5121 note. Disaster Mitigation Act of 2000.
Oct. 30, 2000 [H.H.R. 707] VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00002 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1553 (1) natural disasters, including earthquakes, tsunamis, tornadoes, hurricanes, flooding, and wildfires, pose great danger to human life
and to property throughout the United States; (2) greater emphasis needs to be placed on— (A) identifying and assessing the risks to States and local governments (including Indian tribes)
from natural disasters; (B) implementing adequate measures to reduce losses from natural disasters; and (C) ensuring that the critical services and facilities of communities will continue
to function after a natural disaster; (3) expenditures for postdisaster assistance are increasing without commensurate reductions in the likelihood of future losses from natural disasters;
(4) in the expenditure of Federal funds under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.), high priority should be given to mitigation
of hazards at the local level; and (5) with a unified effort of economic incentives, awareness and education, technical assistance, and demonstrated Federal support, States and local
governments (including Indian tribes) will be able to— (A) form effective community-based partnerships for hazard mitigation purposes; (B) implement effective hazard mitigation measures
that reduce the potential damage from natural disasters; (C) ensure continued functionality of critical services; (D) leverage additional non-Federal resources in meeting natural disaster
resistance goals; and (E) make commitments to long-term hazard mitigation efforts to be applied to new and existing structures. (b) PURPOSE.—The purpose of this title is to establish
a national disaster hazard mitigation program— (1) to reduce the loss of life and property, human suffering, economic disruption, and disaster assistance costs resulting from natural
disasters; and (2) to provide a source of predisaster hazard mitigation funding that will assist States and local governments (including Indian tribes) in implementing effective hazard
mitigation measures that are designed to ensure the continued functionality of critical services and facilities after a natural disaster. SEC. 102. PREDISASTER HAZARD MITIGATION. (a)
IN GENERAL.—Title II of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5131 et seq.) is amended by adding at the end the following: ‘‘SEC. 203. PREDISASTER
HAZARD MITIGATION. ‘‘(a) DEFINITION OF SMALL IMPOVERISHED COMMUNITY.—In this section, the term ‘small impoverished community’ means a community of 3,000 or fewer individuals that is
economically disadvantaged, as determined by the State in which the community is located and based on criteria established by the President. ‘‘(b) ESTABLISHMENT OF PROGRAM.—The President
may establish a program to provide technical and financial assistance to States and local governments to assist in the implementation of President. 42 USC 5133. VerDate 11-MAY-2000 04:55
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90114 STAT. 1554 PUBLIC LAW 106–390—OCT. 30, 2000 predisaster hazard mitigation measures that are cost-effective and are designed to reduce injuries, loss of life, and damage and destruction
of property, including damage to critical services and facilities under the jurisdiction of the States or local governments. ‘‘(c) APPROVAL BY PRESIDENT.—If the President determines
that a State or local government has identified natural disaster hazards in areas under its jurisdiction and has demonstrated the ability to form effective public-private natural disaster
hazard mitigation partnerships, the President, using amounts in the National Predisaster Mitigation Fund established under subsection (i) (referred to in this section as the ‘Fund’),
may provide technical and financial assistance to the State or local government to be used in accordance with subsection (e). ‘‘(d) STATE RECOMMENDATIONS.— ‘‘(1) IN GENERAL.— ‘‘(A) RECOMMENDATIONS.—T
he Governor of each State may recommend to the President not fewer than five local governments to receive assistance under this section. ‘‘(B) DEADLINE FOR SUBMISSION.—The recommendations
under subparagraph (A) shall be submitted to the President not later than October 1, 2001, and each October 1st thereafter or such later date in the year as the President may establish.
‘‘(C) CRITERIA.—In making recommendations under subparagraph (A), a Governor shall consider the criteria specified in subsection (g). ‘‘(2) USE.— ‘‘(A) IN GENERAL.—Except as provided
in subparagraph (B), in providing assistance to local governments under this section, the President shall select from local governments recommended by the Governors under this subsection.
‘‘(B) EXTRAORDINARY CIRCUMSTANCES.—In providing assistance to local governments under this section, the President may select a local government that has not been recommended by a Governor
under this subsection if the President determines that extraordinary circumstances justify the selection and that making the selection will further the purpose of this section. ‘‘(3)
EFFECT OF FAILURE TO NOMINATE.—If a Governor of a State fails to submit recommendations under this subsection in a timely manner, the President may select, subject to the criteria specified
in subsection (g), any local governments of the State to receive assistance under this section. ‘‘(e) USES OF TECHNICAL AND FINANCIAL ASSISTANCE.— ‘‘(1) IN GENERAL.—Technical and financial
assistance provided under this section— ‘‘(A) shall be used by States and local governments principally to implement predisaster hazard mitigation measures that are cost-effective and
are described in proposals approved by the President under this section; and ‘‘(B) may be used— ‘‘(i) to support effective public-private natural disaster hazard mitigation partnerships;
‘‘(ii) to improve the assessment of a community’s vulnerability to natural hazards; or President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00004 Fmt 6580 Sfmt 6581
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PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1555 ‘‘(iii) to establish hazard mitigation priorities, and an appropriate hazard mitigation plan, for a community. ‘‘(2) DISSEMINATION.—A
State or local government may use not more than 10 percent of the financial assistance received by the State or local government under this section for a fiscal year to fund activities
to disseminate information regarding cost-effective mitigation technologies. ‘‘(f ) ALLOCATION OF FUNDS.—The amount of financial assistance made available to a State (including amounts
made available to local governments of the State) under this section for a fiscal year— ‘‘(1) shall be not less than the lesser of— ‘‘(A) $500,000; or ‘‘(B) the amount that is equal
to 1.0 percent of the total funds appropriated to carry out this section for the fiscal year; ‘‘(2) shall not exceed 15 percent of the total funds described in paragraph (1)(B); and
‘‘(3) shall be subject to the criteria specified in subsection (g). ‘‘(g) CRITERIA FOR ASSISTANCE AWARDS.—In determining whether to provide technical and financial assistance to a State
or local government under this section, the President shall take into account— ‘‘(1) the extent and nature of the hazards to be mitigated; ‘‘(2) the degree of commitment of the State
or local government to reduce damages from future natural disasters; ‘‘(3) the degree of commitment by the State or local government to support ongoing non-Federal support for the hazard
mitigation measures to be carried out using the technical and financial assistance; ‘‘(4) the extent to which the hazard mitigation measures to be carried out using the technical and
financial assistance contribute to the mitigation goals and priorities established by the State; ‘‘(5) the extent to which the technical and financial assistance is consistent with other
assistance provided under this Act; ‘‘(6) the extent to which prioritized, cost-effective mitigation activities that produce meaningful and definable outcomes are clearly identified;
‘‘(7) if the State or local government has submitted a mitigation plan under section 322, the extent to which the activities identified under paragraph (6) are consistent with the mitigation
plan; ‘‘(8) the opportunity to fund activities that maximize net benefits to society; ‘‘(9) the extent to which assistance will fund mitigation activities in small impoverished communities;
and ‘‘(10) such other criteria as the President establishes in consultation with State and local governments. ‘‘(h) FEDERAL SHARE.— ‘‘(1) IN GENERAL.—Financial assistance provided under
this section may contribute up to 75 percent of the total cost of mitigation activities approved by the President. President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390
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114 STAT. 1556 PUBLIC LAW 106–390—OCT. 30, 2000 ‘‘(2) SMALL IMPOVERISHED COMMUNITIES.—Notwithstanding paragraph (1), the President may contribute up to 90 percent of the total cost of
a mitigation activity carried out in a small impoverished community. ‘‘(i) NATIONAL PREDISASTER MITIGATION FUND.— ‘‘(1) ESTABLISHMENT.—The President may establish in the Treasury of
the United States a fund to be known as the ‘National Predisaster Mitigation Fund’, to be used in carrying out this section. ‘‘(2) TRANSFERS TO FUND.—There shall be deposited in the
Fund— ‘‘(A) amounts appropriated to carry out this section, which shall remain available until expended; and ‘‘(B) sums available from gifts, bequests, or donations of services or property
received by the President for the purpose of predisaster hazard mitigation. ‘‘(3) EXPENDITURES FROM FUND.—Upon request by the President, the Secretary of the Treasury shall transfer
from the Fund to the President such amounts as the President determines are necessary to provide technical and financial assistance under this section. ‘‘(4) INVESTMENT OF AMOUNTS.—
‘‘(A) IN GENERAL.—The Secretary of the Treasury shall invest such portion of the Fund as is not, in the judgment of the Secretary of the Treasury, required to meet current withdrawals.
Investments may be made only in interestbearing obligations of the United States. ‘‘(B) ACQUISITION OF OBLIGATIONS.—For the purpose of investments under subparagraph (A), obligations
may be acquired— ‘‘(i) on original issue at the issue price; or ‘‘(ii) by purchase of outstanding obligations at the market price. ‘‘(C) SALE OF OBLIGATIONS.—Any obligation acquired
by the Fund may be sold by the Secretary of the Treasury at the market price. ‘‘(D) CREDITS TO FUND.—The interest on, and the proceeds from the sale or redemption of, any obligations
held in the Fund shall be credited to and form a part of the Fund. ‘‘(E) TRANSFERS OF AMOUNTS.— ‘‘(i) IN GENERAL.—The amounts required to be transferred to the Fund under this subsection
shall be transferred at least monthly from the general fund of the Treasury to the Fund on the basis of estimates made by the Secretary of the Treasury. ‘‘(ii) ADJUSTMENTS.—Proper adjustment
shall be made in amounts subsequently transferred to the extent prior estimates were in excess of or less than the amounts required to be transferred. ‘‘( j) LIMITATION ON TOTAL AMOUNT
OF FINANCIAL ASSISTANCE.— The President shall not provide financial assistance under this section in an amount greater than the amount available in the Fund. ‘‘(k) MULTIHAZARD ADVISORY
MAPS.— ‘‘(1) DEFINITION OF MULTIHAZARD ADVISORY MAP.—In this subsection, the term ‘multihazard advisory map’ means a map VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm
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PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1557 on which hazard data concerning each type of natural disaster is identified simultaneously for the purpose of showing areas of hazard
overlap. ‘‘(2) DEVELOPMENT OF MAPS.—In consultation with States, local governments, and appropriate Federal agencies, the President shall develop multihazard advisory maps for areas,
in not fewer than five States, that are subject to commonly recurring natural hazards (including flooding, hurricanes and severe winds, and seismic events). ‘‘(3) USE OF TECHNOLOGY.—In
developing multihazard advisory maps under this subsection, the President shall use, to the maximum extent practicable, the most cost-effective and efficient technology available. ‘‘(4)
USE OF MAPS.— ‘‘(A) ADVISORY NATURE.—The multihazard advisory maps shall be considered to be advisory and shall not require the development of any new policy by, or impose any new policy
on, any government or private entity. ‘‘(B) AVAILABILITY OF MAPS.—The multihazard advisory maps shall be made available to the appropriate State and local governments for the purposes
of— ‘‘(i) informing the general public about the risks of natural hazards in the areas described in paragraph (2); ‘‘(ii) supporting the activities described in subsection (e); and ‘‘(iii)
other public uses. ‘‘(l) REPORT ON FEDERAL AND STATE ADMINISTRATION.—Not later than 18 months after the date of the enactment of this section, the President, in consultation with State
and local governments, shall submit to Congress a report evaluating efforts to implement this section and recommending a process for transferring greater authority and responsibility
for administering the assistance program established under this section to capable States. ‘‘(m) TERMINATION OF AUTHORITY.—The authority provided by this section terminates December
31, 2003.’’. (b) CONFORMING AMENDMENT.—Title II of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5131 et seq.) is amended by striking the title heading
and inserting the following: ‘‘TITLE II—DISASTER PREPAREDNESS AND MITIGATION ASSISTANCE’’. SEC. 103. INTERAGENCY TASK FORCE. Title II of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5131 et seq.) (as amended by section 102(a)) is amended by adding at the end the following: ‘‘SEC. 204. INTERAGENCY TASK FORCE. ‘‘(a) IN GENERAL.—The President
shall establish a Federal interagency task force for the purpose of coordinating the implementation of predisaster hazard mitigation programs administered by the Federal Government.
42 USC 5134. Deadline. President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00007 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
114 STAT. 1558 PUBLIC LAW 106–390—OCT. 30, 2000 ‘‘(b) CHAIRPERSON.—The Director of the Federal Emergency Management Agency shall serve as the chairperson of the task force. ‘‘(c) MEMBERSHIP.—The
membership of the task force shall include representatives of— ‘‘(1) relevant Federal agencies; ‘‘(2) State and local government organizations (including Indian tribes); and ‘‘(3) the
American Red Cross.’’. SEC. 104. MITIGATION PLANNING; MINIMUM STANDARDS FOR PUBLIC AND PRIVATE STRUCTURES. (a) IN GENERAL.—Title III of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5141 et seq.) is amended by adding at the end the following: ‘‘SEC. 322. MITIGATION PLANNING. ‘‘(a) REQUIREMENT OF MITIGATION PLAN.—As a condition of receipt
of an increased Federal share for hazard mitigation measures under subsection (e), a State, local, or tribal government shall develop and submit for approval to the President a mitigation
plan that outlines processes for identifying the natural hazards, risks, and vulnerabilities of the area under the jurisdiction of the government. ‘‘(b) LOCAL AND TRIBAL PLANS.—Each
mitigation plan developed by a local or tribal government shall— ‘‘(1) describe actions to mitigate hazards, risks, and vulnerabilities identified under the plan; and ‘‘(2) establish
a strategy to implement those actions. ‘‘(c) STATE PLANS.—The State process of development of a mitigation plan under this section shall— ‘‘(1) identify the natural hazards, risks, and
vulnerabilities of areas in the State; ‘‘(2) support development of local mitigation plans; ‘‘(3) provide for technical assistance to local and tribal governments for mitigation planning;
and ‘‘(4) identify and prioritize mitigation actions that the State will support, as resources become available. ‘‘(d) FUNDING.— ‘‘(1) IN GENERAL.—Federal contributions under section
404 may be used to fund the development and updating of mitigation plans under this section. ‘‘(2) MAXIMUM FEDERAL CONTRIBUTION.—With respect to any mitigation plan, a State, local,
or or tribal government may use an amount of Federal contributions under section 404 not to exceed 7 percent of the amount of such contributions available to the government as of a date
determined by the government. ‘‘(e) INCREASED FEDERAL SHARE FOR HAZARD MITIGATION MEASURES.— ‘‘(1) IN GENERAL.—If, at the time of the declaration of a major disaster, a State has in
effect an approved mitigation plan under this section, the President may increase to 20 percent, with respect to the major disaster, the maximum percentage specified in the last sentence
of section 404(a). ‘‘(2) FACTORS FOR CONSIDERATION.—In determining whether to increase the maximum percentage under paragraph (1), the President shall consider whether the State has
established— President. 42 USC 5165. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00008 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1559 ‘‘(A) eligibility criteria for property acquisition and other types of mitigation measures; ‘‘(B) requirements for cost effectiveness
that are related to the eligibility criteria; ‘‘(C) a system of priorities that is related to the eligibility criteria; and ‘‘(D) a process by which an assessment of the effectiveness
of a mitigation action may be carried out after the mitigation action is complete. ‘‘SEC. 323. MINIMUM STANDARDS FOR PUBLIC AND PRIVATE STRUCTURES. ‘‘(a) IN GENERAL.—As a condition of
receipt of a disaster loan or grant under this Act— ‘‘(1) the recipient shall carry out any repair or construction to be financed with the loan or grant in accordance with applicable
standards of safety, decency, and sanitation and in conformity with applicable codes, specifications, and standards; and ‘‘(2) the President may require safe land use and construction
practices, after adequate consultation with appropriate State and local government officials. ‘‘(b) EVIDENCE OF COMPLIANCE.—A recipient of a disaster loan or grant under this Act shall
provide such evidence of compliance with this section as the President may require by regulation.’’. (b) LOSSES FROM STRAIGHT LINE WINDS.—The President shall increase the maximum percentage
specified in the last sentence of section 404(a) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170c(a)) from 15 percent to 20 percent with respect
to any major disaster that is in the State of Minnesota and for which assistance is being provided as of the date of the enactment of this Act, except that additional assistance provided
under this subsection shall not exceed $6,000,000. The mitigation measures assisted under this subsection shall be related to losses in the State of Minnesota from straight line winds.
(c) CONFORMING AMENDMENTS.— (1) Section 404(a) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170c(a)) is amended— (A) in the second sentence, by
striking ‘‘section 409’’ and inserting ‘‘section 322’’; and (B) in the third sentence, by striking ‘‘The total’’ and inserting ‘‘Subject to section 322, the total’’. (2) Section 409
of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5176) is repealed. TITLE II—STREAMLINING AND COST REDUCTION SEC. 201. TECHNICAL AMENDMENTS. Section
311 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5154) is amended in subsections (a)(1), (b), and (c) by striking ‘‘section 803 of the Public Works
and Economic Development Act of 1965’’ each place it appears President. 42 USC 5165a. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00009 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106
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114 STAT. 1560 PUBLIC LAW 106–390—OCT. 30, 2000 and inserting ‘‘section 209(c)(2) of the Public Works and Economic Development Act of 1965 (42 U.S.C. 3149(c)(2))’’. SEC. 202. MANAGEMENT
COSTS. (a) IN GENERAL.—Title III of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5141 et seq.) (as amended by section 104(a)) is amended by adding at
the end the following: ‘‘SEC. 324. MANAGEMENT COSTS. ‘‘(a) DEFINITION OF MANAGEMENT COST.—In this section, the term ‘management cost’ includes any indirect cost, any administrative expense,
and any other expense not directly chargeable to a specific project under a major disaster, emergency, or disaster preparedness or mitigation activity or measure. ‘‘(b) ESTABLISHMENT
OF MANAGEMENT COST RATES.—Notwithstanding any other provision of law (including any administrative rule or guidance), the President shall by regulation establish management cost rates,
for grantees and subgrantees, that shall be used to determine contributions under this Act for for management costs. ‘‘(c) REVIEW.—The President shall review the management cost rates
established under subsection (b) not later than 3 years after the date of establishment of the rates and periodically thereafter.’’. (b) APPLICABILITY.— (1) IN GENERAL.—Subject to paragraph
(2), subsections (a) and (b) of section 324 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (as added by subsection (a)) shall apply to major disasters declared
under that Act on or after the date of the enactment of this Act. (2) INTERIM AUTHORITY.—Until the date on which the President establishes the management cost rates under section 324
of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (as added by subsection (a)), section 406(f ) of the Robert T. Stafford Disaster Relief and Emergency Assistance
Act (42 U.S.C. 5172(f )) (as in effect on the day before the date of the enactment of this Act) shall be used to establish management cost rates. SEC. 203. PUBLIC NOTICE, COMMENT, AND
CONSULTATION REQUIREMENTS. Title III of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5141 et seq.) (as amended by section 202(a)) is amended by adding
at the end the following: ‘‘SEC. 325. PUBLIC NOTICE, COMMENT, AND CONSULTATION REQUIREMENTS. ‘‘(a) PUBLIC NOTICE AND COMMENT CONCERNING NEW OR MODIFIED POLICIES.— ‘‘(1) IN GENERAL.—The
President shall provide for public notice and opportunity for comment before adopting any new or modified policy that— ‘‘(A) governs implementation of the public assistance program administered
by the Federal Emergency Management Agency under this Act; and ‘‘(B) could result in a significant reduction of assistance under the program. President. 42 USC 5165c. 42 USC 5165b note.
Deadline. Regulations. 42 USC 5165b. VerDate 11-MAY-2000 22:30 Dec 27, 2000 Jkt 089139 PO 00390 Frm 00010 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1561 ‘‘(2) APPLICATION.—Any policy adopted under paragraph (1) shall apply only to a major disaster or emergency declared on or after the date
on which the policy is adopted. ‘‘(b) CONSULTATION CONCERNING INTERIM POLICIES.— ‘‘(1) IN GENERAL.—Before adopting any interim policy under the public assistance program to address specific
conditions that relate to a major disaster or emergency that has been declared under this Act, the President, to the maximum extent practicable, shall solicit the views and recommendations
of grantees and subgrantees with respect to the major disaster or emergency concerning the potential interim policy, if the interim policy is likely— ‘‘(A) to result in a significant
reduction of assistance to applicants for the assistance with respect to the major disaster or emergency; or ‘‘(B) to change the terms of a written agreement to which the Federal Government
is a party concerning the declaration of the major disaster or emergency. ‘‘(2) NO LEGAL RIGHT OF ACTION.—Nothing in this subsection confers a legal right of action on any party. ‘‘(c)
PUBLIC ACCESS.—The President shall promote public access to policies governing the implementation of the public assistance program.’’. SEC. 204. STATE ADMINISTRATION OF HAZARD MITIGATION
GRANT PROGRAM. Section 404 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170c) is amended by adding at the end the following: ‘‘(c) PROGRAM ADMINISTRATION
BY STATES.— ‘‘(1) IN GENERAL.—A State desiring to administer the hazard mitigation grant program established by this section with respect to hazard mitigation assistance in the State
may submit to the President an application for the delegation of the authority to administer the program. ‘‘(2) CRITERIA.—The President, in consultation and coordination with States
and local governments, shall establish criteria for the approval of applications submitted under paragraph (1). The criteria shall include, at a minimum— ‘‘(A) the demonstrated ability
of the State to manage the grant program under this section; ‘‘(B) there being in effect an approved mitigation plan under section 322; and ‘‘(C) a demonstrated commitment to mitigation
activities. ‘‘(3) APPROVAL.—The President shall approve an application submitted under paragraph (1) that meets the criteria established under paragraph (2). ‘‘(4) WITHDRAWAL OF APPROVAL.—If,
after approving an application of a State submitted under paragraph (1), the President determines that the State is not administering the hazard mitigation grant program established
by this section in a manner satisfactory to the President, the President shall withdraw the approval. ‘‘(5) AUDITS.—The President shall provide for periodic audits of the hazard mitigation
grant programs administered by States under this subsection.’’. President. President. President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00011 Fmt 6580 Sfmt 6581
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114 STAT. 1562 PUBLIC LAW 106–390—OCT. 30, 2000 SEC. 205. ASSISTANCE TO REPAIR, RESTORE, RECONSTRUCT, OR REPLACE DAMAGED FACILITIES. (a) CONTRIBUTIONS.—Section 406 of the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172) is amended by striking subsection (a) and inserting the following: ‘‘(a) CONTRIBUTIONS.— ‘‘(1) IN GENERAL.—The President
may make contributions— ‘‘(A) to a State or local government for the repair, restoration, reconstruction, or replacement of a public facility damaged or destroyed by a major disaster
and for associated expenses incurred by the government; and ‘‘(B) subject to paragraph (3), to a person that owns or operates a private nonprofit facility damaged or destroyed by a major
disaster for the repair, restoration, reconstruction, or replacement of the facility and for associated expenses incurred by the person. ‘‘(2) ASSOCIATED EXPENSES.—For the purposes of
this section, associated expenses shall include— ‘‘(A) the costs of mobilizing and employing the National Guard for performance of eligible work; ‘‘(B) the costs of using prison labor
to perform eligible work, including wages actually paid, transportation to a worksite, and extraordinary costs of guards, food, and lodging; and ‘‘(C) base and overtime wages for the
employees and extra hires of a State, local government, or person described in paragraph (1) that perform eligible work, plus fringe benefits on such wages to the extent that such benefits
were being paid before the major disaster. ‘‘(3) CONDITIONS FOR ASSISTANCE TO PRIVATE NONPROFIT FACILITIES.— ‘‘(A) IN GENERAL.—The President may make contributions to a private nonprofit
facility under paragraph (1)(B) only if—‘‘(i) the facility provides critical services (as defined
by the President) in the event of a major disaster; or ‘‘(ii) the owner or operator of the facility— ‘‘(I) has applied for a disaster loan under section 7(b) of the Small Business Act
(15 U.S.C. 636(b)); and ‘‘(II)(aa) has been determined to be ineligible for such a loan; or ‘‘(bb) has obtained such a loan in the maximum amount for which the Small Business Administration
determines the facility is eligible. ‘‘(B) DEFINITION OF CRITICAL SERVICES.—In this paragraph, the term ‘critical services’ includes power, water (including water provided by an irrigation
organization or facility), sewer, wastewater treatment, communications, and emergency medical care. ‘‘(4) NOTIFICATION TO CONGRESS.—Before making any contribution under this section
in an amount greater than $20,000,000, the President shall notify— ‘‘(A) the Committee on Environment and Public Works of the Senate; VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139
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PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1563 ‘‘(B) the Committee on Transportation and Infrastructure of the House of Representatives; ‘‘(C) the Committee on Appropriations of the
Senate; and ‘‘(D) the Committee on Appropriations of the House of Representatives.’’. (b) FEDERAL SHARE.—Section 406 of the Robert T. Stafford Disaster Relief and Emergency Assistance
Act (42 U.S.C. 5172) is amended by striking subsection (b) and inserting the following: ‘‘(b) FEDERAL SHARE.— ‘‘(1) MINIMUM FEDERAL SHARE.—Except as provided in paragraph (2), the Federal
share of assistance under this section shall be not less than 75 percent of the eligible cost of repair, restoration, reconstruction, or replacement carried out under this section. ‘‘(2)
REDUCED FEDERAL SHARE.—The President shall promulgate regulations to reduce the Federal share of assistance under this section to not less than 25 percent in the case of the repair,
restoration, reconstruction, or replacement of any eligible public facility or private nonprofit facility following an event associated with a major disaster— ‘‘(A) that has been damaged,
on more than one occasion within the preceding 10-year period, by the same type of event; and ‘‘(B) the owner of which has failed to implement appropriate mitigation measures to address
the hazard that caused the damage to the facility.’’. (c) LARGE IN-LIEU CONTRIBUTIONS.—Section 406 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172)
is amended by striking subsection (c) and inserting the following: ‘‘(c) LARGE IN-LIEU CONTRIBUTIONS.— ‘‘(1) FOR PUBLIC FACILITIES.— ‘‘(A) IN GENERAL.—In any case in which a State or
local government determines that the public welfare would not best be served by repairing, restoring, reconstructing, or replacing any public facility owned or controlled by the State
or local government, the State or local government may elect to receive, in lieu of a contribution under subsection (a)(1)(A), a contribution in an amount equal to 75 percent of the
Federal share of the Federal estimate of the cost of repairing, restoring, reconstructing, or replacing the facility and of management expenses. ‘‘(B) AREAS WITH UNSTABLE SOIL.—In any
case in which a State or local government determines that the public welfare would not best be served by repairing, restoring, reconstructing, or replacing any public facility owned
or controlled by the State or local government because soil instability in the disaster area makes repair, restoration, reconstruction, or replacement infeasible, the State or local
government may elect to receive, in lieu of a contribution under subsection (a)(1)(A), a contribution in an amount equal to 90 percent of the Federal share of the Federal estimate of
the cost of repairing, restoring, reconstructing, or replacing the facility and of management expenses. ‘‘(C) USE OF FUNDS.—Funds contributed to a State or local government under this
paragraph may be used— President. Regulations. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00013 Fmt Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
114 STAT. 1564 PUBLIC LAW 106–390—OCT. 30, 2000 ‘‘(i) to repair, restore, or expand other selected public facilities; ‘‘(ii) to construct new facilities; or ‘‘(iii) to fund hazard mitigation
measures that the State or local government determines to be necessary to meet a need for governmental services and functions in the area affected by the major disaster. ‘‘(D) LIMITATIONS.—Funds
made available to a State or local government under this paragraph may not be used for— ‘‘(i) any public facility located in a regulatory floodway (as defined in section 59.1 of title
44, Code of Federal Regulations (or a successor regulation)); or ‘‘(ii) any uninsured public facility located in a special flood hazard area identified by the Director of the Federal
Emergency Management Agency under the National Flood Insurance Act of 1968 (42 U.S.C. 4001 et seq.). ‘‘(2) FOR PRIVATE NONPROFIT FACILITIES.— ‘‘(A) IN GENERAL.—In any case in which a
person that owns or operates a private nonprofit facility determines that the public welfare would not best be served by repairing, restoring, reconstructing, or replacing the facility,
the person may elect to receive, in lieu of a contribution under subsection (a)(1)(B), a contribution in an amount equal to 75 percent of the Federal share of the Federal estimate of
the cost of repairing, restoring, reconstructing, or replacing the facility and of management expenses. ‘‘(B) USE OF FUNDS.—Funds contributed to a person under this paragraph may be
used— ‘‘(i) to repair, restore, or expand other selected private nonprofit facilities owned or operated by the person; ‘‘(ii) to construct new private nonprofit facilities to be owned
or operated by the person; or ‘‘(iii) to fund hazard mitigation measures that the person determines to be necessary to meet a need for the person’s services and functions in the area
affected by the major disaster. ‘‘(C) LIMITATIONS.—Funds made available to a person under this paragraph may not be used for— ‘‘(i) any private nonprofit facility located in a regulatory
floodway (as defined in section 59.1 of title 44, Code of Federal Regulations (or a successor regulation)); or ‘‘(ii) any uninsured private nonprofit facility located in a special flood
hazard area identified by the Director of the Federal Emergency Management Agency under the National Flood Insurance Act of 1968 (42 U.S.C. 4001 et seq.).’’. (d) ELIGIBLE COST.— (1)
IN GENERAL.—Section 406 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172) is amended by striking subsection (e) and inserting the following: ‘‘(e)
ELIGIBLE COST.— VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00014 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1565 ‘‘(1) DETERMINATION.— ‘‘(A) IN GENERAL.—For the purposes of this section, the President shall estimate the eligible cost of repairing,
restoring, reconstructing, or replacing a public facility or private nonprofit facility— ‘‘(i) on the basis of the design of the facility as the facility existed immediately before the
major disaster; and ‘‘(ii) in conformity with codes, specifications, and standards (including floodplain management and hazard mitigation criteria required by the President or under
the Coastal Barrier Resources Act (16 U.S.C. 3501 et seq.)) applicable at the time at which the disaster occurred. ‘‘(B) COST ESTIMATION PROCEDURES.— ‘‘(i) IN GENERAL.—Subject to paragraph
(2), the President shall use the cost estimation procedures established under paragraph (3) to determine the eligible cost under this subsection. ‘‘(ii) APPLICABILITY.—The procedures
specified in this paragraph and paragraph (2) shall apply only to projects the eligible cost of which is equal to or greater than the amount specified in section 422. ‘‘(2) MODIFICATION
OF ELIGIBLE COST.— ‘‘(A) ACTUAL COST GREATER THAN CEILING PERCENTAGE OF ESTIMATED COST.—In any case in which the actual cost of repairing, restoring, reconstructing, or replacing a facility
under this section is greater than the ceiling percentage established under paragraph (3) of the cost estimated under paragraph (1), the President may determine that the eligible cost
includes a portion of the actual cost of the repair, restoration, reconstruction, or replacement that exceeds the cost estimated under paragraph (1). ‘‘(B) ACTUAL COST LESS THAN ESTIMATED
COST.— ‘‘(i) GREATER THAN OR EQUAL TO FLOOR PERCENTAGE OF ESTIMATED COST.—In any case in which the actual cost of repairing, restoring, reconstructing, or replacing a facility under
this section is less than 100 percent of the cost estimated under paragraph (1), but is greater than or equal to the floor percentage established under paragraph (3) of the cost estimated
under under paragraph (1), the State or local government or person receiving funds under this section shall use the excess funds to carry out cost-effective activities that reduce the
risk of future damage, hardship, or suffering from a major disaster. ‘‘(ii) LESS THAN FLOOR PERCENTAGE OF ESTIMATED COST.—In any case in which the actual cost of repairing, restoring,
reconstructing, or replacing a facility under this section is less than the floor percentage established under paragraph (3) of the cost estimated under paragraph (1), the State or local
government or person receiving assistance under this section shall reimburse the President in the amount of the difference. ‘‘(C) NO EFFECT ON APPEALS PROCESS.—Nothing in this paragraph
affects any right of appeal under section 423. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00015 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
114 STAT. 1566 PUBLIC LAW 106–390—OCT. 30, 2000 ‘‘(3) EXPERT PANEL.— ‘‘(A) ESTABLISHMENT.—Not later than 18 months after the date of the enactment of this paragraph, the President, acting
through the Director of the Federal Emergency Management Agency, shall establish an expert panel, which shall include representatives from the construction industry and State and local
government. ‘‘(B) DUTIES.—The expert panel shall develop recommendations concerning— ‘‘(i) procedures for estimating the cost of repairing, restoring, reconstructing, or replacing a
facility consistent with industry practices; and ‘‘(ii) the ceiling and floor percentages referred to in paragraph (2). ‘‘(C) REGULATIONS.—Taking into account the recommendations of
the expert panel under subparagraph (B), the President shall promulgate regulations that establish— ‘‘(i) cost estimation procedures described in subparagraph (B)(i); and ‘‘(ii) the
ceiling and floor percentages referred to in paragraph (2). ‘‘(D) REVIEW BY PRESIDENT.—Not later than 2 2 years after the date of promulgation of regulations under subparagraph (C) and
periodically thereafter, the President shall review the cost estimation procedures and the ceiling and floor percentages established under this paragraph. ‘‘(E) REPORT TO CONGRESS.—Not
later than 1 year after the date of promulgation of regulations under subparagraph (C), 3 years after that date, and at the end of each 2-year period thereafter, the expert panel shall
submit to Congress a report on the appropriateness of the cost estimation procedures. ‘‘(4) SPECIAL RULE.—In any case in which the facility being repaired, restored, reconstructed, or
replaced under this section was under construction on the date of the major disaster, the cost of repairing, restoring, reconstructing, or replacing the facility shall include, for the
purposes of this section, only those costs that, under the contract for the construction, are the owner’s responsibility and not the contractor’s responsibility.’’. (2) EFFECTIVE DATE.—The
amendment made by paragraph (1) takes effect on the date of the enactment of this Act and applies to funds appropriated after the date of the enactment of this Act, except that paragraph
(1) of section 406(e) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (as amended by paragraph (1)) takes effect on the date on which the cost estimation procedures
established under paragraph (3) of that section take effect. (e) CONFORMING AMENDMENT.—Section 406 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5172)
is amended by striking subsection (f ). SEC. 206. FEDERAL ASSISTANCE TO INDIVIDUALS AND HOUSEHOLDS. (a) IN GENERAL.—Section 408 of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5174) is amended to read as follows: 42 USC 5172 note. Deadline. Deadline. President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00016 Fmt
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PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1567 ‘‘SEC. 408. FEDERAL ASSISTANCE TO INDIVIDUALS AND HOUSEHOLDS. ‘‘(a) IN GENERAL.— ‘‘(1) PROVISION OF ASSISTANCE.—In accordance with this
section, the President, in consultation with the Governor of a State, may provide financial assistance, and, if necessary, direct services, to individuals and households in the State
who, as a direct result of a major disaster, have necessary expenses and serious needs in cases in which the individuals and households are unable to meet such expenses or needs through
other means. ‘‘(2) RELATIONSHIP TO OTHER ASSISTANCE.—Under paragraph (1), an individual or household shall not be denied assistance under paragraph (1), (3), or (4) of subsection (c)
solely on the basis that the individual or household has not applied for or received any loan or other financial assistance from the Small Business Administration or any other Federal
agency. ‘‘(b) HOUSING ASSISTANCE.— ‘‘(1) ELIGIBILITY.—The President may provide financial or other assistance under this section to individuals and households to respond to the disaster-related
housing needs of individuals and households who are displaced from their predisaster primary residences or whose predisaster primary residences are rendered uninhabitable as a result
of damage caused by a major disaster. ‘‘(2) DETERMINATION OF APPROPRIATE TYPES OF ASSISTANCE.— ‘‘(A) IN GENERAL.—The President shall determine appropriate types of housing assistance
to be provided under this section to individuals and households described in subsection (a)(1) based on considerations of cost effectiveness, convenience to the individuals and households,
and such other factors as the President may consider appropriate. ‘‘(B) MULTIPLE TYPES OF ASSISTANCE.—One or more types of housing assistance may be made available under this section,
based on the suitability and availability of the types of assistance, to meet the needs of individuals and households in the particular disaster situation. ‘‘(c) TYPES OF HOUSING ASSISTANCE.—
‘‘(1) TEMPORARY HOUSING.— ‘‘(A) FINANCIAL ASSISTANCE.— ‘‘(i) IN GENERAL.—The President may provide financial assistance to individuals or households to rent alternate housing accommodations,
existing rental units, manufactured housing, recreational vehicles, or other readily fabricated dwellings. ‘‘(ii) AMOUNT.—The amount of assistance under clause (i) shall be based on
the fair market rent for the accommodation provided plus the cost of any transportation, utility hookups, or unit installation not provided directly by the President. ‘‘(B) DIRECT ASSISTANCE.—
‘‘(i) IN GENERAL.—The President may provide temporary housing units, acquired by purchase or lease, directly to individuals or households who, because of a lack of available housing
resources, would be unable President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00017 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
114 STAT. 1568 PUBLIC LAW 106–390—OCT. 30, 2000 to make use of the assistance provided under subparagraph (A). ‘‘(ii) PERIOD OF ASSISTANCE.—The President may not provide direct assistance
under clause (i) with respect to a major disaster after the end of the 18-month period beginning on the date of the declaration of the major disaster by the President, except that the
President may extend that period if the President determines that due to extraordinary circumstances an extension would be in the public interest. ‘‘(iii) COLLECTION OF RENTAL CHARGES.—After
the end of the 18-month period referred to in clause (ii), the President may charge fair market rent for each temporary housing unit provided. ‘‘(2) REPAIRS.— ‘‘(A) IN GENERAL.—The President
may provide financial assistance for— ‘‘(i) the repair of owner-occupied private residences, utilities, and residential infrastructure (such as a private access route) damaged by a major
disaster to a safe and sanitary living or functioning condition; and ‘‘(ii) eligible hazard mitigation measures that reduce the likelihood of future damage to such residences, utilities,
or infrastructure. ‘‘(B) RELATIONSHIP TO OTHER ASSISTANCE.—A recipient of assistance provided under this paragraph shall not be required to show that the assistance can be met through
other means, except insurance proceeds. ‘‘(C) MAXIMUM AMOUNT OF ASSISTANCE.—The amount of assistance provided to a household under this paragraph shall not exceed $5,000, as adjusted
annually to reflect changes in the Consumer Price Index for All Urban Consumers published by the Department of Labor. ‘‘(3) REPLACEMENT.— ‘‘(A) IN GENERAL.—The President may provide
financial assistance for the replacement of owner-occupied private residences damaged by a major disaster. ‘‘(B) MAXIMUM AMOUNT OF ASSISTANCE.—The amount of assistance provided to a
household under this paragraph shall not exceed $10,000, as adjusted annually to reflect changes in the Consumer Price Index for All Urban Consumers published by the Department of Labor.
Labor. ‘‘(C) APPLICABILITY OF FLOOD INSURANCE REQUIREMENT.—With respect to assistance provided under this paragraph, the President may not waive any provision of Federal law requiring
the purchase of flood insurance as a condition of the receipt of Federal disaster assistance. ‘‘(4) PERMANENT HOUSING CONSTRUCTION.—The President may provide financial assistance or
direct assistance to individuals or households to construct permanent housing in insular areas outside the continental United States and in other remote locations in cases in which—
‘‘(A) no alternative housing resources are available; and VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00018 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1569 ‘‘(B) the types of temporary housing assistance described in paragraph (1) are unavailable, infeasible, or not cost-effective. ‘‘(d) TERMS
AND CONDITIONS RELATING TO HOUSING ASSISTANCE.— ‘‘(1) SITES.— ‘‘(A) IN GENERAL.—Any readily fabricated dwelling provided under this section shall, whenever practicable, be located on
a site that— ‘‘(i) is complete with utilities; and ‘‘(ii) is provided by the State or local government, by the owner of the site, or by the occupant who was displaced by the major disaster.
‘‘(B) SITES PROVIDED BY THE PRESIDENT.—A readily fabricated dwelling may be located on a site provided by the President if the President determines that such a site would be more economical
or accessible. ‘‘(2) DISPOSAL OF UNITS.— ‘‘(A) SALE TO OCCUPANTS.— ‘‘(i) IN GENERAL.—Notwithstanding any other provision of law, a temporary housing unit purchased under this section
by the President for the purpose of housing disaster victims may be sold directly to the individual or household who is occupying the unit if the individual or household lacks permanent
housing. ‘‘(ii) SALE PRICE.—A sale of a temporary housing unit under clause (i) shall be at a price that is fair and equitable. ‘‘(iii) DEPOSIT OF PROCEEDS.—Notwithstanding any other
provision of law, the proceeds of a sale under clause (i) shall be deposited in the appropriate Disaster Relief Fund account. ‘‘(iv) HAZARD AND FLOOD INSURANCE.—A sale of a temporary
housing unit under clause (i) shall be made on the condition that the individual or household purchasing the housing unit agrees to obtain and maintain hazard and flood insurance on
the housing unit. ‘‘(v) USE OF GSA SERVICES.—The President may use the services of the General Services Administration to accomplish a sale under clause (i). ‘‘(B) OTHER METHODS OF DISPOSAL.—If
not disposed of under subparagraph (A), a temporary housing unit purchased under this section by the President for the purpose of housing disaster victims— ‘‘(i) may be sold to any person;
or ‘‘(ii) may be sold, transferred, donated, or otherwise made available directly to a State or other governmental entity or to a voluntary organization for the sole purpose of providing
temporary housing to disaster victims in major disasters and emergencies if, as a condition of the sale, transfer, or donation, the State, other governmental agency, or voluntary organization
agrees—‘‘(I) to comply with the nondiscrimination provisions of section 308; and ‘‘(II) to obtain and maintain hazard and flood insurance on the housing unit. VerDate 11-MAY-2000 04:55
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114 STAT. 1570 PUBLIC LAW 106–390—OCT. 30, 2000 ‘‘(e) FINANCIAL ASSISTANCE TO ADDRESS OTHER NEEDS.— ‘‘(1) MEDICAL, DENTAL, AND FUNERAL EXPENSES.—The President, in consultation with the
Governor of a State, may provide financial assistance under this section to an individual or household in the State who is adversely affected by a major disaster to meet disaster-related
medical, dental, and funeral expenses. ‘‘(2) PERSONAL PROPERTY, TRANSPORTATION, AND OTHER EXPENSES.—The President, in consultation with the Governor of a State, may provide financial
assistance under this section to an individual or household described in paragraph (1) to address personal property, transportation, and other necessary expenses or serious needs resulting
from the major disaster. ‘‘(f ) STATE ROLE.— ‘‘(1) FINANCIAL ASSISTANCE TO ADDRESS OTHER NEEDS.— ‘‘(A) GRANT TO STATE.—Subject to subsection (g), a Governor may request a grant from
the President to provide financial assistance to individuals and households in the State under subsection (e). ‘‘(B) ADMINISTRATIVE COSTS.—A State that receives a grant under subparagraph
(A) may expend not more than 5 percent of the amount of the grant for the administrative costs of providing financial assistance to individuals and households in the State under subsection
(e). ‘‘(2) ACCESS TO RECORDS.—In providing assistance to individuals and households under this section, the President shall provide for the substantial and ongoing involvement of the
States in which the individuals and households are located, including by providing to the States access to the electronic records of individuals and households receiving assistance under
this section in order for the States to make available any additional State and local assistance to the individuals and households. ‘‘(g) COST SHARING.— ‘‘(1) FEDERAL SHARE.—Except as
provided in paragraph (2), the Federal share of the costs eligible to be paid using assistance provided under this section shall be 100 percent. ‘‘(2) FINANCIAL ASSISTANCE TO ADDRESS
OTHER OTHER NEEDS.— In the case of financial assistance provided under subsection (e)— ‘‘(A) the Federal share shall be 75 percent; and ‘‘(B) the non-Federal share shall be paid from
funds made available by the State. ‘‘(h) MAXIMUM AMOUNT OF ASSISTANCE.— ‘‘(1) IN GENERAL.—No individual or household shall receive financial assistance greater than $25,000 under this
section with respect to a single major disaster. ‘‘(2) ADJUSTMENT OF LIMIT.—The limit established under paragraph (1) shall be adjusted annually to reflect changes in the Consumer Price
Index for All Urban Consumers published by the Department of Labor. ‘‘(i) RULES AND REGULATIONS.—The President shall prescribe rules and regulations to carry out this section, including
criteria, standards, and procedures for determining eligibility for assistance.’’. (b) CONFORMING AMENDMENT.—Section 502(a)(6) of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5192(a)(6)) is amended by striking ‘‘temporary housing’’. President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00020 Fmt 6580 Sfmt 6581
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PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1571 (c) ELIMINATION OF INDIVIDUAL AND FAMILY GRANT PROGRAMS.—Section 411 of the Robert T. Stafford Disaster Relief and Emergency Assistance
Act (42 U.S.C. 5178) is repealed. (d) EFFECTIVE DATE.—The amendments made by this section take effect 18 months after the date of the enactment of this Act. SEC. 207. COMMUNITY DISASTER
LOANS. Section 417 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5184) is amended— (1) by striking ‘‘(a) The President’’ and inserting the following:
‘‘(a) IN GENERAL.—The President’’; (2) by striking ‘‘The amount’’ and inserting the following: ‘‘(b) AMOUNT.—The amount’’; (3) by striking ‘‘Repayment’’ and inserting the following:
‘‘(c) REPAYMENT.— ‘‘(1) CANCELLATION.—Repayment’’; (4) by striking ‘‘(b) Any loans’’ and inserting the following: ‘‘(d) EFFECT ON OTHER ASSISTANCE.—Any loans’’; (5) in subsection (b)
(as designated by paragraph (2))— (A) by striking ‘‘and shall’’ and inserting ‘‘shall’’; and (B) by inserting before the period at the end the following: ‘‘, and shall not exceed $5,000,000’’;
and (6) in subsection (c) (as designated by paragraph (3)), by adding at the end the following: ‘‘(2) CONDITION ON CONTINUING ELIGIBILITY.—A local government shall not be eligible for
further assistance under this section during any period in which the local government is in arrears with respect to a required repayment of a loan under this section.’’. SEC. 208. REPORT
ON STATE MANAGEMENT OF SMALL DISASTERS INITIATIVE. Not later than 3 years after the date of the enactment of this Act, the President shall submit to Congress a report describing the
results of the State Management of Small Disasters Initiative, including— (1) identification of any administrative or financial benefits of the initiative; and (2) recommendations concerning
the conditions, if any, under which States should be allowed the option to administer parts of the assistance program under section 406 of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act (42 U.S.C. 5172). SEC. 209. STUDY REGARDING COST REDUCTION. Not later than 3 years after the date of the enactment of this Act, the Director of the Congressional
Budget Office shall complete a study estimating the reduction in Federal disaster assistance that has resulted and is likely to result from the enactment of this Act. Deadline. 42 USC
5121 note. Deadline. 42 USC 5121 note. 42 USC 5174 note. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00021 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
114 STAT. 1572 PUBLIC LAW 106–390—OCT. 30, 2000 TITLE III—MISCELLANEOUS SEC. 301. TECHNICAL CORRECTION OF SHORT TITLE. The first section of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act (42 U.S.C. 5121 note) is amended to read as follows: ‘‘SECTION 1. SHORT TITLE. ‘‘This Act may be cited as the ‘Robert T. Stafford Disaster Relief and Emergency
Assistance Act’.’’. SEC. 302. DEFINITIONS. Section 102 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5122) is amended— (1) in each of paragraphs (3)
and (4), by striking ‘‘the Northern’’ and all that follows through ‘‘Pacific Islands’’ and inserting ‘‘and the Commonwealth of the Northern Mariana Islands’’; (2) by striking paragraph
(6) and inserting the following: ‘‘(6) LOCAL GOVERNMENT.—The term ‘local government’ means—‘‘(A) a county, municipality, city, town, township, local public authority, school district,
special district, intrastate district, council of governments (regardless of whether the council of governments is incorporated as a nonprofit corporation under State law), regional
or interstate government entity, or agency or instrumentality of a local government; ‘‘(B) an Indian tribe or authorized tribal organization, or Alaska Native village or organization;
and ‘‘(C) a rural community, unincorporated town or village, or other public entity, for which an application for assistance is made by a State or political subdivision of a State.’’;
and (3) in paragraph (9), by inserting ‘‘irrigation,’’ after ‘‘utility,’’. SEC. 303. FIRE MANAGEMENT ASSISTANCE. (a) IN GENERAL.—Section 420 of the Robert T. Stafford Disaster
Relief and Emergency Assistance Act (42 U.S.C. 5187) is amended to read as follows: ‘‘SEC. 420. FIRE MANAGEMENT ASSISTANCE. ‘‘(a) IN GENERAL.—The President is authorized to provide assistance,
including grants, equipment, supplies, and personnel, to any State or local government for the mitigation, management, and control of any fire on public or private forest land or grassland
that threatens such destruction as would constitute a major disaster. ‘‘(b) COORDINATION WITH STATE AND TRIBAL DEPARTMENTS OF FORESTRY.—In providing assistance under this section, the
President shall coordinate with State and tribal departments of forestry. ‘‘(c) ESSENTIAL ASSISTANCE.—In providing assistance under this section, the President may use the authority
provided under section 403. President. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00022 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106 APPS27 PsN: PUBL390
PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1573 ‘‘(d) RULES AND REGULATIONS.—The President shall prescribe such rules and regulations as are necessary to carry out this section.’’. (b)
EFFECTIVE DATE.—The amendment made by subsection (a) takes effect 1 year after the date of the enactment of this Act. SEC. 304. DISASTER GRANT CLOSEOUT PROCEDURES. Title VII of the Robert
T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5101 et seq.) is amended by adding at the end the following: ‘‘SEC. 705. DISASTER GRANT CLOSEOUT PROCEDURES. ‘‘(a)
STATUTE OF LIMITATIONS.— ‘‘(1) IN GENERAL.—Except as provided in paragraph (2), no administrative action to recover any payment made to a State or local government for disaster or emergency
assistance under this Act shall be initiated in any forum after the date that is 3 years after the date of transmission of the final expenditure report for the disaster or emergency.
‘‘(2) FRAUD EXCEPTION.—The limitation under paragraph (1) shall apply unless there is evidence of civil or criminal fraud. ‘‘(b) REBUTTAL OF PRESUMPTION OF RECORD MAINTENANCE.— ‘‘(1)
IN GENERAL.—In any dispute arising under this section after the date that is 3 years after the date of transmission of the final expenditure report for the disaster or emergency, there
shall be a presumption that accounting records were maintained that adequately identify the source and application of funds provided for financially assisted activities. ‘‘(2) AFFIRMATIVE
EVIDENCE.—The presumption described in paragraph (1) may be rebutted only on production of affirmative evidence that the State or local government did not maintain documentation described
in that paragraph. ‘‘(3) INABILITY TO PRODUCE DOCUMENTATION.—The inability of the Federal, State, or local government to produce source documentation supporting expenditure reports later
than 3 years after the date of transmission of the final expenditure report shall not constitute evidence to rebut the presumption described in paragraph (1). ‘‘(4) RIGHT OF ACCESS.—The
The period during which the Federal, State, or local government has the right to access source documentation shall not be limited to the required 3-year retention period referred to
in paragraph (3), but shall last as long as the records are maintained. ‘‘(c) BINDING NATURE OF GRANT REQUIREMENTS.—A State or local government shall not be liable for reimbursement
or any other penalty for any payment made under this Act if— ‘‘(1) the payment was authorized by an approved agreement specifying the costs; ‘‘(2) the costs were reasonable; and ‘‘(3)
the purpose of the grant was accomplished.’’. SEC. 305. PUBLIC SAFETY OFFICER BENEFITS FOR CERTAIN FEDERAL AND STATE EMPLOYEES. (a) IN GENERAL.—Section 1204 of the Omnibus Crime Control
and Safe Streets Act of 1968 (42 U.S.C. 3796b) is amended by striking paragraph (7) and inserting the following: ‘‘(7) ‘public safety officer’ means— 42 USC 5205. 42 USC 5187 note. President.
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114 STAT. 1574 PUBLIC LAW 106–390—OCT. 30, 2000 ‘‘(A) an individual serving a public agency in an official capacity, with or without compensation, as a law enforcement officer, as a
firefighter, or as a member of a rescue squad or ambulance crew; ‘‘(B) an employee of the Federal Emergency Management Agency who is performing official duties of the Agency in an area,
if those official duties— ‘‘(i) are related to a major disaster or emergency that has been, or is later, declared to exist with respect to the area under the Robert T. Stafford Disaster
Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.); and ‘‘(ii) are determined by the Director of the Federal Emergency Management Agency to be hazardous duties; or ‘‘(C) an
employee of a State, local, or tribal emergency management or civil defense agency who is performing official duties in cooperation with the Federal Emergency Management Agency in an
area, if those official duties— ‘‘(i) are related to a major disaster or emergency that has been, or is later, declared to exist with respect to the area under the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.); and ‘‘(ii) are determined by the head of the agency to be hazardous duties.’’. (b) EFFECTIVE DATE.—The amendment
made by subsection (a) applies only to employees described in subparagraphs (B) and (C) of section 1204(7) of the Omnibus Crime Control and Safe Streets Act of 1968 (as amended by subsection
(a)) who are injured or who die in the line of duty on or after the date of the enactment of this Act. SEC. 306. BUY AMERICAN. (a) COMPLIANCE WITH BUY AMERICAN ACT.—No funds authorized
to be appropriated under this Act or any amendment made by this Act may be expended by an entity unless the entity, in expending the funds, complies with the Buy American Act (41 U.S.C.
10a et seq.). (b) DEBARMENT OF PERSONS CONVICTED OF FRAUDULENT USE OF ‘‘MADE IN AMERICA’’ LABELS.— (1) IN GENERAL.—If the Director of the Federal Emergency Management Agency determines
that a person has been convicted of intentionally affixing a label bearing a ‘‘Made in America’’ inscription to any product sold in or shipped to the United States that is not made in
America, the Director shall determine, not later than 90 days after determining that the person has been so convicted, whether the person should be debarred from contracting under the
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.). (2) DEFINITION OF DEBAR.—In this subsection, the term ‘‘debar’’ has the meaning given the term
in section 2393(c) of title 10, United States Code. SEC. 307. TREATMENT OF CERTAIN REAL PROPERTY. (a) IN GENERAL.—Notwithstanding the National Flood Insurance Act of 1968 (42 U.S.C.
4001 et seq.), the Flood Disaster Deadline. 42 USC 5206. 42 USC 3796b note. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00024 Fmt 6580 Sfmt 6581 E:\PUBLAW\PUBL390.106
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PUBLIC LAW 106–390—OCT. 30, 2000 114 STAT. 1575 Protection Act of 1973 (42 U.S.C. 4002 et seq.), or any other provision of law, or any flood risk zone identified, delineated, or established
under any such law (by flood insurance rate map or otherwise), the real property described in subsection (b) shall not be considered to be, or to have been, located in any area having
special flood hazards (including any floodway or floodplain). (b) REAL PROPERTY.—The real property described in this subsection is all land and improvements on the land located in the
Maple Terrace Subdivisions in the City of Sycamore, DeKalb County, Illinois, including— (1) Maple Terrace Phase I; (2) Maple Terrace Phase II; (3) Maple Terrace Phase III Unit 1; (4)
Maple Terrace Phase III Unit 2; (5) Maple Terrace Phase III Unit 3; (6) Maple Terrace Phase IV Unit 1; (7) Maple Terrace Phase IV Unit 2; and (8) Maple Terrace Phase IV Unit 3. (c) REVISION
OF FLOOD INSURANCE RATE LOT MAPS.—As soon as practicable after the date of the enactment of of this Act, the Director of the Federal Emergency Management Agency shall revise the appropriate
flood insurance rate lot maps of the agency to reflect the treatment under subsection (a) of the real property described in subsection (b). SEC. 308. STUDY OF PARTICIPATION BY INDIAN
TRIBES IN EMERGENCY MANAGEMENT. (a) DEFINITION OF INDIAN TRIBE.—In this section, the term ‘‘Indian tribe’’ has the meaning given the term in section 4 of the Indian Self-Determination
and Education Assistance Act (25 U.S.C. 450b). (b) STUDY.— (1) IN GENERAL.—The Director of the Federal Emergency Management Agency shall conduct a study of participation by Indian tribes
in emergency management. (2) REQUIRED ELEMENTS.—The study shall— (A) survey participation by Indian tribes in training, predisaster and postdisaster mitigation, disaster preparedness,
and disaster recovery programs at the Federal and State levels; and (B) review and assess the capacity of Indian tribes to participate in cost-shared emergency management programs and
to to participate in the management of the programs. (3) CONSULTATION.—In conducting the study, the Director shall consult with Indian tribes. (c) REPORT.—Not later than 1 year after
the date of the enactment of this Act, the Director shall submit a report on the study under subsection (b) to— (1) the Committee on Environment and Public Works of the Senate; (2) the
Committee on Transportation and Infrastructure of the House of Representatives; (3) the Committee on Appropriations of the Senate; and Deadline. 42 USC 5121 note. VerDate 11-MAY-2000
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114 STAT. 1576 PUBLIC LAW 106–390—OCT. 30, 2000 LEGISLATIVE HISTORY—H.R. 707 (S. 1691): HOUSE REPORTS: No. 106–40 (Comm. on Transportation and Infrastructure). SENATE REPORTS: No. 106–295
accompanying S. 1691 (Comm. on Environment and Public Works). CONGRESSIONAL RECORD: Vol. 145 (1999): Mar. 4, considered and passed House. Vol. 146 (2000): July 19, considered and passed
Senate, amended. Oct. 3, House concurred in Senate amendment with an amendment. Oct. 5, Senate concurred in House amendment with an amendment. Oct. 10, House concurred in Senate amendment.
® (4) the Committee on Appropriations of the House of Representatives. Approved October 30, 2000. VerDate 11-MAY-2000 04:55 Dec 06, 2000 Jkt 089139 PO 00390 Frm 00026 Fmt 6580 Sfmt 6580
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Homeland Security Presidential Directive-3 March 11, 2002 SUBJECT: Homeland Security Advisory System Purpose The Nation requires a Homeland Security Advisory System to provide a comprehensive
and effective means to disseminate information regarding the risk of terrorist acts to Federal, State, and local authorities and to the American people. Such a system would provide warnings
in the form of a set of graduated "Threat Conditions" that would increase as the risk of the threat increases. At each Threat Condition, Federal departments and agencies would implement
a corresponding set of "Protective Measures" to further reduce vulnerability or increase response capability during a period of heightened alert. This system is intended to create a
common vocabulary, context, and structure for an ongoing national discussion about the nature of the threats that confront the homeland and the appropriate measures that should be taken
in response. It seeks to inform and facilitate decisions appropriate to different levels of government and to private citizens at home and at work. Homeland Security Advisory System
The Homeland Security Advisory System shall be binding on the executive branch and suggested, although voluntary, to other levels of government and the private sector. There are five
Threat Conditions, each identified by a description and corresponding color. From lowest to highest, the levels and colors are: Low = Green; Guarded = Blue; Elevated = Yellow; High =
Orange; Severe = Red. The higher the Threat Condition, the greater the risk of a terrorist attack. Risk includes both the probability of an attack occurring and its potential gravity.
Threat Conditions shall be assigned by the Attorney General in consultation with the Assistant to the President for Homeland Security. Except in exigent circumstances, the Attorney General
shall seek the views of the appropriate Homeland Security Principals or their subordinates, and other parties as appropriate, on the Threat Condition to be assigned. Threat Conditions
may be assigned for the entire Nation, or they may be set for a particular geographic area or industrial sector. Assigned Threat Conditions shall be reviewed at regular intervals to
determine whether adjustments are warranted. For facilities, personnel, and operations inside the territorial United States, all Federal departments, agencies, and offices other than
military facilities shall conform their existing threat
advisory systems to this system and henceforth administer their systems consistent with the determination of the Attorney General with regard to the Threat Condition in effect. The assignment
of a Threat Condition shall prompt the implementation of an appropriate set of Protective Measures. Protective Measures are the specific steps an organization shall take to reduce its
vulnerability or increase its ability to respond during a period of heightened alert. The authority to craft and implement Protective Measures rests with the Federal departments and
agencies. It is recognized that departments and agencies may have several preplanned sets of responses to a particular Threat Condition to facilitate a rapid, appropriate, and tailored
response. Department and agency heads are respon-sible for developing their own Protective Measures and other antiterrorism or self-protection and continuity plans, and resourcing, rehearsing,
documenting, and maintaining these plans. Likewise, they retain the authority to respond, as necessary, to risks, threats, incidents, or events at facilities within the specific jurisdiction
of their department or agency, and, as authorized by law, to direct agencies and industries to implement their own Protective Measures. They shall continue to be responsible for taking
all appropriate proactive steps to reduce the vulnerability of their personnel and facilities to terrorist attack. Federal department and agency heads shall submit an annual written
report to the President, through the Assistant to the President for Homeland Security, describing the steps they have taken to develop and implement appropriate Protective Measures for
each Threat Condition. Governors, mayors, and the leaders of other organizations are encouraged to conduct a similar review of their organizations= Protective Measures. The decision
whether to publicly announce Threat Conditions shall be made on a case-by-case basis by the Attorney General in consultation with the Assistant to the President for Homeland Security.
Every effort shall be made to share as much information regarding the threat as possible, consistent with the safety of the Nation. The Attorney General shall ensure, consistent with
the safety of the Nation, that State and local government officials and law enforcement authorities are provided the most relevant and timely information. The Attorney General shall
be responsible for identifying any other information developed in the threat assessment process that would be useful to State and local officials and others and conveying it to them
as permitted consistent with the constraints of classification. The Attorney General shall establish a process and a system for conveying relevant information to Federal, State, and
local government officials, law enforcement authorities, and the private sector expeditiously. The Director of Central Intelligence and the Attorney General shall ensure that a continuous
and timely flow of integrated threat assessments and reports is provided to the President, the Vice President, Assistant to the President and Chief of Staff, the Assistant to the President
for Homeland Security, and the Assistant to the President for National Security Affairs. Whenever possible and practicable, these integrated threat assessments and reports shall be reviewed
and commented upon by the wider interagency community. A decision on which Threat Condition to assign shall integrate a variety of considerations. This integration will rely on qualitative
assessment, not quantitative calculation. Higher Threat Conditions indicate greater risk of a terrorist act, with risk including both probability and gravity. Despite best efforts, there
can be no guarantee that, at any given Threat Condition, a terrorist attack will not occur. An initial and important factor is the quality of the threat information itself.
The evaluation of this threat information shall include, but not be limited to, the following factors: 1. To what degree is the threat information credible? 2. To what degree is the
threat information corroborated? 3. To what degree is the threat specific and/or imminent? 4. How grave are the potential consequences of the threat? Threat Conditions and Associated
Protective Measures The world has changed since September 11, 2001. We remain a Nation at risk to terrorist attacks and will remain at risk for the foreseeable future. At all Threat
Conditions, we must remain vigilant, prepared, and ready to deter terrorist attacks. The following Threat Conditions each represent an increasing risk of terrorist attacks. Beneath each
Threat Condition are some suggested Protective Measures, recognizing that the heads of Federal departments and agencies are responsible for developing and implementing appropriate agency-specific
Protective Measures: 1. Low Condition (Green). This condition is declared when there is a low low risk of terrorist attacks. Federal departments and agencies should consider the following
general measures in addition to the agency-specific Protective Measures they develop and implement: 1. Refining and exercising as appropriate preplanned Protective Measures; 2. Ensuring
personnel receive proper training on the Homeland Security Advisory System and specific preplanned department or agency Protective Measures; and 3. Institutionalizing a process to assure
that all facilities and regulated sectors are regularly assessed for vulnerabilities to terrorist attacks, and all reasonable measures are taken to mitigate these vulnerabilities. 2.
Guarded Condition (Blue). This condition is declared when there is a general risk of terrorist attacks. In addition to the Protective Measures taken in the previous Threat Condition,
Federal departments and agencies should consider the following general measures in addition to the agency-specific Protective Measures that they will develop and implement: 1. Checking
communications with designated emergency response or command locations; 2. Reviewing and updating emergency response procedures; and 3. Providing the public with any information that
would strengthen its ability to act appropriately. 3. Elevated Condition (Yellow). An Elevated Condition is declared when there is a significant risk of terrorist attacks. In addition
to the Protective Measures taken in the previous Threat Conditions, Federal departments and agencies should consider the following general measures in addition to the Protective Measures
that they will develop and implement: 1. Increasing surveillance of critical locations; 2. Coordinating emergency plans as appropriate with nearby jurisdictions;
3. Assessing whether the precise characteristics of the threat require the further refinement of preplanned Protective Measures; and 4. Implementing, as appropriate, contingency and
emergency response plans. 4. High Condition (Orange). A High Condition is declared when there is a high risk of terrorist attacks. In addition to the Protective Measures taken in the
previous Threat Conditions, Federal departments and agencies should consider the following general measures in addition to the agency-specific Protective Measures that they will develop
and implement: 1. Coordinating necessary security efforts with Federal, State, and local law enforcement agencies or any National Guard or other appropriate armed forces organizations;
2. Taking additional precautions at public events and possibly considering alternative venues or even cancellation; 3. Preparing to execute contingency procedures, such as moving to
an alternate site or dispersing their workforce; and 4. Restricting threatened facility access to essential personnel only. 5. Severe Condition (Red). A Severe Condition reflects a severe
risk of terrorist attacks. Under most circumstances, the Protective Measures for a Severe Condition are not intended to be sustained for substantial periods of time. In addition to the
Protective Measures in the previous Threat Conditions, Federal departments and agencies also should consider the following general measures in addition to the agency-specific Protective
Measures that they will develop and implement: 1. Increasing or redirecting personnel to address critical emergency needs; 2. Assigning emergency response personnel and pre-positioning
and mobilizing specially trained teams or resources; 3. Monitoring, redirecting, or constraining transportation systems; and 4. Closing public and government facilities. Comment and
Review Periods The Attorney General, in consultation and coordination with the Assistant to the President for Homeland Security, shall, for 45 days from the date of this directive, seek
the views of government officials at all levels and of public interest groups and the private sector on the proposed Homeland Security Advisory System. One hundred thirty-five days from
the date of this directive the Attorney General, after consultation and coordination with the Assistant to the President for Homeland Security, and having considered the views received
during the comment period, shall recommend to the President in writing proposed refinements to the Homeland Security Advisory System.
For Immediate Release Office of the Press Secretary February 28, 2003 Homeland Security Presidential Directive/HSPD-5 Subject: Management of Domestic Incidents Purpose (1) To enhance
the ability of the United States to manage domestic incidents by establishing a single, comprehensive national incident management system. Definitions (2) In this directive: (a) the
term "Secretary" means the Secretary of Homeland Security. (b) the term "Federal departments and agencies" means those executive departments enumerated in 5 U.S.C. 101, together with
the Department of Homeland Security; independent establishments as defined by 5 U.S.C. 104(1); government corporations as defined by 5 U.S.C. 103(1); and the United States Postal Service.
(c) the terms "State," "local," and the "United States" when it is used in a geographical sense, have the same meanings as used in the Homeland Security Act of 2002, Public Law 107-296.
Policy (3) To prevent, prepare for, respond to, and recover from terrorist attacks, major disasters, disasters, and other emergencies, the United States Government shall establish a
single, compre-hensive approach to domestic incident management. The objective of the United States Government is to ensure that all levels of government across the Nation have the capability
to work efficiently and effectively together, using a national approach to domestic incident management. In these efforts, with regard to domestic incidents, the United States Government
treats crisis management and consequence management as a single, integrated function, rather than as two separate functions. (4) The Secretary of Homeland Security is the principal Federal
official for domestic incident management. Pursuant to the Homeland Security Act of 2002, the Secretary is responsible for coordinating Federal operations within the United States to
prepare for, respond to, and recover from terrorist attacks, major disasters, and other emergencies. The Secretary shall coordinate the Federal Government's resources utilized in response
to to or recovery from terrorist attacks, major disasters,
or other emergencies if and when any one of the following four conditions applies: (1) a Federal department or agency acting under its own authority has requested the assistance of the
Secretary; (2) the resources of State and local authorities are overwhelmed and Federal assistance has been requested by the appropriate State and local authorities; (3) more than one
Federal department or agency has become substantially involved in responding to the incident; or (4) the Secretary has been directed to assume responsibility for managing the domestic
incident by the President. (5) Nothing in this directive alters, or impedes the ability to carry out, the authorities of Federal departments and agencies to perform their responsibilities
under law. All Federal departments and agencies shall cooperate with the Secretary in the Secretary's domestic incident management role. (6) The Federal Government recognizes the roles
and responsibilities of State and local authorities in domestic incident management. Initial responsibility for managing domestic incidents generally falls on State and local authorities.
The Federal Government will assist State and local authorities when their resources are overwhelmed, or when Federal interests are involved. The Secretary will coordinate with State
and local governments to ensure adequate planning, equipment, training, and exercise activities. The Secretary will also provide assistance to State and local governments to develop
all-hazards plans and capabilities, including those of greatest importance to the security of the United States, and will ensure that State, local, and Federal plans are compatible.
(7) The Federal Government recognizes the role that the private and nongovernmental sectors play in preventing, preparing for, responding to, and recovering from terrorist attacks, major
disasters, and other emergencies. The Secretary will coordinate with the private and nongovernmental sectors to ensure adequate planning, equipment, training, and exercise activities
and to promote partnerships to address incident management capabilities. (8) The Attorney General has lead responsibility for criminal investigations of terrorist acts or terrorist threats
by individuals or groups inside the United States, or directed at United States citizens or institutions abroad, where such acts are within the Federal criminal jurisdiction of the United
States, as well as for related intelligence collection activities within the United States, subject to the National Security Act of 1947 and other applicable law, Executive Order 12333,
and Attorney General-approved procedures pursuant to that Executive Order. Generally acting through the Federal Bureau of Investigation, the Attorney General, in cooperation with other
Federal departments and agencies engaged in activities to protect our national security, shall also coordinate the activities of the other members of the law enforcement community to
detect, prevent, preempt, and disrupt terrorist attacks against the United States. Following a terrorist threat or an actual incident that falls within the criminal jurisdiction of the
United States, the full capabilities of the United States shall be dedicated, consistent with United States law and with activities of other Federal departments and agencies to protect
our national security, to assisting the Attorney General to identify the perpetrators and bring them to justice. The Attorney General and the Secretary shall establish appropriate relationships
and mechanisms for cooperation and coordination between their two departments.
(9) Nothing in this directive impairs or otherwise affects the authority of the Secretary of Defense over the Department of Defense, including the chain of command for military forces
from the President as Commander in Chief, to the Secretary of Defense, to the commander of military forces, or military command and control procedures. The Secretary of Defense shall
provide military support to civil authorities for domestic incidents as directed by the President or when consistent with military readiness and appropriate under the circumstances and
the law. The Secretary of Defense shall retain command of military forces providing civil support. The Secretary of Defense and the Secretary shall establish appropriate relationships
and mechanisms for cooperation and coordination between their two departments. (10) The Secretary of State has the responsibility, consistent with other United
States Government activities to protect our national security, to coordinate international activities related to the prevention, preparation, response, and recovery from a domestic incident,
and for the protection of United States citizens and United States interests overseas. The Secretary of State and the Secretary shall establish appropriate relationships and mechanisms
for cooperation and coordination between their two departments. (11) The Assistant to the President for Homeland Security and the Assistant to the President for National Security Affairs
shall be responsible for interagency policy coordination on domestic and international incident management, respectively, as directed by the President. The Assistant to the President
for Homeland Security and the Assistant to the President for National Security Affairs shall work together to ensure that the United States domestic and international incident management
efforts are seamlessly united. (12) The Secretary shall ensure that, as appropriate, information related to domestic incidents is gathered and provided to the public, the private sector,
State and local authorities, Federal departments and agencies, and, generally through the Assistant to the President for Homeland Security, to the President. The Secretary shall provide
standardized, quantitative reports to the Assistant to the President for Homeland Security on the readiness and preparedness of the Nation --at all levels of government --to prevent,
prepare for, respond to, and recover from domestic incidents. (13) Nothing in this directive shall be construed to grant to any Assistant to the President any authority to issue orders
to Federal departments and agencies, their officers, or their employees. Tasking (14) The heads of all Federal departments and agencies are directed to provide their full and prompt
cooperation, resources, and support, as appropriate and consistent with their own responsibilities for protecting our national security, to the Secretary, the Attorney General, the Secretary
of Defense, and the Secretary of State in the exercise of the individual leadership responsibilities and missions assigned in in paragraphs (4), (8), (9), and (10), respectively, above.
(15) The Secretary shall develop, submit for review to the Homeland Security Council, and administer a National Incident Management System (NIMS). This system will provide a consistent
nationwide approach for Federal, State, and local
governments to work effectively and efficiently together to prepare for, respond to, and recover from domestic incidents, regardless of cause, size, or complexity. To provide for interoperability
and compatibility among Federal, State, and local capabilities, the NIMS will include a core set of concepts, principles, terminology, and technologies covering the incident command
system; multi-agency coordination systems; unified command; training; identification and management of resources (including systems for classifying types of resources); qualifications
and certification; and the collection, tracking, and reporting of incident information and incident resources. (16) The Secretary shall develop, submit for review to the Homeland Security
Council, and administer a National Response Plan (NRP). The Secretary shall consult with appropriate Assistants to the President (including the Assistant to the President for Economic
Policy) and the Director of the Office of Science and Technology Policy, and other such Federal officials as may be appropriate, in developing and implementing the NRP. This plan shall
integrate Federal Government domestic prevention, preparedness, response, and recovery plans into one all-discipline, all-hazards plan. The NRP shall be unclassified. If certain operational
aspects require classification, they shall be included in classified annexes to the NRP. (a) The NRP, using the NIMS, shall, with regard to response to domestic incidents, provide the
structure and mechanisms for national level policy and operational direction for Federal support to State and local incident managers and for exercising direct Federal authorities and
responsibilities, as appropriate. (b) The NRP will include protocols for operating under different threats or threat levels; incorporation of existing Federal emergency and incident
management plans (with appropriate modifications and revisions) as either integrated components of the NRP or as supporting operational plans; and additional opera-tional plans or annexes,
as appropriate, including public affairs and intergovernmental communications. (c) The NRP will include a consistent approach to reporting incidents, providing assessments, and making
recommendations to the President, the Secretary, and the Homeland Security Council. (d) The NRP will include rigorous requirements for continuous improvements from testing, exercising,
experience with incidents, and new information and technologies. (17) The Secretary shall: (a) By April 1, 2003, (1) develop and publish an initial version of the NRP, in consultation
with other Federal departments and agencies; and (2) provide the Assistant to the President for Homeland Security with a plan for full development and implementation of the NRP. (b)
By June 1, 2003, (1) in consultation with Federal departments and agencies and with State and local governments, develop a national system of standards, guidelines, and protocols to
implement the NIMS; and (2) establish a mechanism for ensuring ongoing management and maintenance of the NIMS, including regular consultation with other Federal departments and agencies
and with State and local governments.
(c) By September 1, 2003, in consultation with Federal departments and agencies and the Assistant to the President for Homeland Security, review existing authorities and regulations
and prepare recommendations for the President on revisions necessary to implement fully the NRP. (18) The heads of Federal departments and agencies shall adopt the NIMS within their
departments and agencies and shall provide support and assistance to the Secretary in the development and maintenance of the NIMS. All Federal departments and agencies will use the NIMS
in their domestic incident management and emergency prevention, preparedness, response, recovery, and mitigation activities, as well as those actions taken in support of State or local
entities. The heads of Federal departments and agencies shall participate in the NRP, shall assist and support the Secretary in the development and maintenance of the NRP, and shall
participate in and use domestic incident reporting systems and protocols established by the Secretary. (19) The head of each Federal department and agency shall: (a) By June 1, 2003,
make initial revisions to existing plans in accordance with the initial version of the NRP. (b) By August 1, 2003, submit a plan to adopt and implement the NIMS to the Secretary and
the Assistant to the President for Homeland Security. The Assistant to the President for Homeland Security shall advise the President on whether such plans effectively implement the
NIMS. (20) Beginning in Fiscal Year 2005, Federal departments and agencies shall make adoption of the NIMS a requirement, to the extent permitted by law, for providing Federal preparedness
assistance through grants, contracts, or other activities. The Secretary shall develop standards and guidelines for determining whether a State or local entity has adopted the NIMS.
Technical and Conforming Amendments to National Security Presidential Directive-1 (NSPD-1) (21) NSPD-1 ("Organization of the National Security Council System") is amended by replacing
the fifth sentence of the third paragraph on the first page with the following: "The Attorney General, the Secretary of Homeland Security, and the Director of the Office of Management
and Budget shall be invited to attend meetings pertaining to their responsibilities.". Technical and Conforming Amendments to National Security Presidential Directive-8 (NSPD-8) (22)
NSPD-8 ("National Director and Deputy National Security Advisor for Combating Terrorism") is amended by striking "and the Office of Homeland Security," on page 4, and inserting "the
Department of Homeland Security, and the Homeland Security Council" in lieu thereof. Technical and Conforming Amendments to Homeland Security Presidential Directive-2 (HSPD-2)
(23) HSPD-2 ("Combating Terrorism Through Immigration Policies") is amended as follows: (a) striking "the Commissioner of the Immigration and Naturalization Service (INS)" in the second
sentence of the second paragraph in section 1, and inserting "the Secretary of Homeland Security" in lieu thereof ; (b) striking "the INS," in the third paragraph in section 1, and inserting
"the Department of Homeland Security" in lieu thereof; (c) inserting ", the Secretary of Homeland Security," after "The Attorney General" in the fourth paragraph in section 1; (d) inserting
", the Secretary of Homeland Security," after "the Attorney General" in the fifth paragraph in section 1; (e) striking "the INS and the Customs Service" in the first sentence of the
first paragraph of section 2, and inserting "the Department of Homeland Security" in lieu thereof; (f) striking "Customs and INS" in the first sentence of the second paragraph of section
2, and inserting "the Department of Homeland Security" in lieu thereof; (g) striking "the two agencies" in the second sentence of the second paragraph of section 2, and inserting "the
Department of Homeland Security" in lieu thereof; (h) striking "the Secretary of the Treasury" wherever it appears in section 2, and inserting "the Secretary of Homeland Security" in
lieu thereof; (i) inserting ", the Secretary of Homeland Security," after "The Secretary of State" wherever the latter appears in section 3; (j) inserting ", the Department of Homeland
Security," after "the Department of State," in the second sentence in the third paragraph in section 3; (k) inserting "the Secretary of Homeland Security," after "the Secretary of State,"
in the first sentence of the fifth paragraph of section 3; (l) striking "INS" in the first sentence of the sixth paragraph of section 3, and inserting "Department of Homeland Security"
in lieu thereof; (m) striking "the Treasury" wherever it appears in section 4 and inserting "Homeland Security" in lieu thereof; (n) inserting ", the Secretary of Homeland Security,"
after "the Attorney General" in the first sentence in section 5; and (o) inserting ", Homeland Security" after "State" in the first sentence of section 6.
Technical and Conforming Amendments to Homeland Security Presidential Directive-3 (HSPD-3) (24) The Homeland Security Act of 2002 assigned the responsibility for administering the Homeland
Security Advisory System to the Secretary of Homeland Security. Accordingly, HSPD-3 of March 11, 2002 ("Homeland Security Advisory System") is amended as follows: (a) replacing the third
sentence of the second paragraph entitled "Homeland Security Advisory System" with "Except in exigent circumstances, the Secretary of Homeland Security shall seek the views of the Attorney
General, and any other federal agency heads the Secretary deems appropriate, including other members of the Homeland Security Council, on the Threat Condition to be assigned." (b) inserting
"At the request of the Secretary of Homeland Security, the Department of Justice shall permit and facilitate the use of delivery systems administered or managed by the Department of
Justice for the purposes of delivering threat information pursuant to the Homeland Security Advisory System." as a new paragraph after the fifth paragraph of the section entitled "Homeland
Security Advisory System." (c) inserting ", the Secretary of Homeland Security" after "The Director of Central Intelligence" in the first sentence of the seventh paragraph of the section
entitled "Homeland Security Advisory System". (d) striking "Attorney General" wherever it appears (except in the sentences referred to in subsections (a) and (c) above), and inserting
"the Secretary of Homeland Security" in lieu thereof; and (e) striking the section entitled "Comment and Review Periods." GEORGE W. BUSH
Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, and Related Authorities FEMA 592, June 2007
Robert T. Stafford Disaster Relief and Emergency Assistance Act, Public Law 93-288, as amended, 42 U.S.C. 5121-5207, and Related Authorities UNITED STATES CODE TITLE 42. THE PUBLIC HEALTH
AND WELFARE CHAPTER 68. DISASTER RELIEF Table of Contents Title I --Findings, Declarations and Definitions............................................................... 1 Sec. 101.
Congressional Findings and Declarations (42 U.S.C. 5121) ................................. 1 Sec. 102. Definitions (42 U.S.C. 5122)* ..................................................................
............. 2 Title II --Disaster Preparedness and Mitigation Assistance ........................................... 3 Sec. 201. Federal and State Disaster Preparedness Programs (42
U.S.C. 5131) ................... 3 Sec. 202. Disaster Warnings (42 U.S.C. 5132)...................................................................... 4 Sec. 203. Predisaster Hazard Mitigation
(42 U.S.C. 5133) ................................................... 5 Sec. 204. Interagency Task Force (42 U.S.C. 5134)..............................................................10
Title III --Major Disaster and Emergency Assistance Administration..........................10 Sec. 301. Waiver of Administrative Conditions (42 U.S.C. 5141)........................................10
Sec. 302. Coordinating Officers (42 U.S.C. 5143)* ..............................................................10 Sec. 303. Emergency Support and Response Teams (42 U.S.C. 5144)*....................
...........11 Sec. 304. Reimbursement of Federal Agencies (42 U.S.C. 5147).........................................12 Sec. 305. Nonliability of Federal Government (42 U.S.C. 5148)....................
......................12 Sec. 306. Performance of Services (42 U.S.C. 5149) ............................................................13 Sec. 307. Use of Local Firms and Individuals
(42 U.S.C. 5150)*.........................................13 Sec. 308. Nondiscrimination in Disaster Assistance (42 U.S.C. 5151)* ...............................14 Sec. 309. Use and
Coordination of Relief Organizations (42 U.S.C. 5152)..........................15 i
Sec. 310. Priority to Certain Applications for Public Facility and Public Housing Assistance (42 U.S.C. 5153) ......................................................................................15
Sec. 311. Insurance (42 U.S.C. 5154)....................................................................................16 Prohibited Flood Disaster Assistance (42 U.S.C. 5154a) .....................
.................................17 Sec. 312. Duplication of Benefits (42 U.S.C. 5155)..............................................................18 Sec. 313. Standard of Review (42
U.S.C. 5156)....................................................................19 Sec. 314. Penalties (42 U.S.C. 5157)................................................................................
.....19 Sec. 315. Availability of Materials (42 U.S.C. 5158)............................................................20 Sec. 316. Protection of Environment (42 U.S.C. 5159)........................
.................................20 Sec. 317. Recovery of Assistance (42 U.S.C. 5160)..............................................................20 Sec. 318. Audits and Investigations
(42 U.S.C. 5161) ..........................................................21 Sec. 319. Advance of Non-Federal Share (42 U.S.C. 5162) .................................................21
Sec. 320. Limitation on Use of Sliding Scale (42 U.S.C. 5163)............................................22 Sec. 321. Rules and Regulations (42 U.S.C. 5164) ..........................................
.....................22 Sec. 322. Mitigation Planning (42 U.S.C. 5165) ...................................................................22 Sec. 323. Standards for Public and Private
Structures (42 U.S.C. 5165a).............................23 Sec. 324. Management Costs (42 U.S.C. 5165b)...................................................................24 Sec. 325.
Public Notice, Comment, and Consultation Requirements (42 U.S.C. 5165c) .....24 Sec. 326. Designation of Small State and Rural Rural Advocate (42 U.S.C. 5165d)* ...................25
Title IV --Major Disaster Assistance Programs...............................................................26 Sec. 401. Procedure for Declaration (42 U.S.C. 5170)....................................
......................26 Sec. 402. General Federal Assistance (42 U.S.C. 5170a)*....................................................26 Sec. 403. Essential Assistance (42 U.S.C. 5170b)*...............
................................................27 Sec. 404. Hazard Mitigation (42 U.S.C. 5170c)* ..................................................................29 ii
Sec. 405. Federal Facilities (42 U.S.C. 5171)........................................................................31 Sec. 406. Repair, Restoration, and Replacement of Damaged Facilities
(42 U.S.C. 5172)* ......................................................................................................31 Sec. 407. Debris Removal (42 U.S.C. 5173)* .................................
......................................39 Sec. 408. Federal Assistance to Individuals and Households (42 U.S.C. 5174)* .................40 Sec. 410. Unemployment Assistance (42 U.S.C.
5177) ........................................................45 Sec. 412. Food Coupons and Distribution (42 U.S.C. 5179).................................................46 Sec. 413.
Food Commodities (42 U.S.C. 5180).....................................................................46 Sec. 414. Relocation Assistance (42 U.S.C. 5181)..............................................
..................46 Sec. 415. Legal Services (42 U.S.C. 5182)............................................................................47 Sec. 416. Crisis Counseling Assistance and
Training (42 U.S.C. 5183) ...............................47 Sec. 417. Community Disaster Loans (42 U.S.C. 5184)* .....................................................47 Sec. 418. Emergency
Communications (42 U.S.C. 5185).....................................................48 Sec. 419. Emergency Public Transportation (42 U.S.C. 5186) .............................................48
Sec. 420. Fire Management Assistance (42 U.S.C. 5187).....................................................48 Sec. 421. Timber Sale Contracts (42 U.S.C. 5188) .........................................
......................48 Sec. 422. Simplified Procedures (42 U.S.C. 5189)................................................................49 Sec. 423. Appeals of Assistance Decisions
(42 U.S.C. 5189a) .............................................50 Sec. 424. Date of Eligibility; Expenses Incurred Before Date of Disaster (42 U.U.S.C. 5189b) ........................................
................................................................................50 Sec. 425. Transportation Assistance to Individuals and Households (42 U.S.C. 5189c)* ....50 Sec. 426.
Case Management Services (42 U.S.C. 5189d)* ...................................................50 Sec. 427. Essential Service Providers (42 U.S.C. 5189e)*.............................................
.......50 iii
Title V --Emergency Assistance Programs.......................................................................51 Sec. 501. Procedure for Declaration (42 U.S.C. 5191)..................................
........................51 Sec. 502. Federal Emergency Assistance (42 U.S.C. 5192)* ................................................52 Sec. 503. Amount of Assistance (42 U.S.C. 5193).................
...............................................53 Title VI --Emergency Preparedness ..................................................................................54 Sec. 601. Declaration
of Policy (42 U.S.C. 5195) .................................................................54 Sec. 602. Definitions (42 U.S.C. 5195a).................................................................
...............54 Sec. 603. Administration of Title (42 U.S.C. 5195b) ............................................................56 SUBTITLE A – POWERS AND DUTIES....................................
...........................................56 Sec. 611. Detailed Functions or Administration (42 U.S.C. 5196)* .....................................56 Sec. 612. Mutual Aid Pacts Between
States and Neighboring Countries (42 U.S.C. 5196a) ........................................................................................................................61 Sec. 613.
Contributions for Personnel and Administrative Expenses (42 U.S.C. 5196b)* ...61 Sec. 614. Requirement for State Matching Funds for Construction of Emergency Operating Centers (42 U.S.C.
5196c) ........................................................................63 Sec. 615. Use of Funds to Prepare for and Respond to Hazards (42 U.S.C. 5196d) .............63 Sec.
616. Disaster Related Information Services (42 U.S.C. 5196f)* ...................................63 SUBTITLE B – GENERAL PROVISIONS ...................................................................
..........64 Sec. 621. Administrative Authority (42 U.S.C. 5197)...........................................................64 Sec. 622. Security Regulations (42 U.S.C. 5197a) ........................
........................................65 Sec. 623. Use of Existing Facilities (42 U.S.C. 5197b).........................................................67 Sec. 624. Annual Report to
Congress (42 U.S.C. 5197c)......................................................67 Sec. 625. Applicability of Subchapter (42 U.S.C. 5197d).....................................................67
Sec. 626. Authorization of Appropriation and Transfers of Funds (42 U.S.C. 5197e) .........67 iv
Sec. 627. Relation to Atomic Energy Act of 1954 (42 U.S.C. 5197f)...................................68 Sec. 628. Federal Bureau of Investigation (42 U.S.C. 5197g).....................................
..........68 Title VII – Miscellaneous.....................................................................................................68 Sec. 701. Rules and Regulations (42 U.S.C.
5201) ...............................................................68 Sec. 705. Disaster Grant Closeout Procedures (42 U.S.C. 5205) ..........................................68 Sec.
706. Firearms Policies (42 U.S.C. 5207)* .....................................................................69 * This section of the Stafford Act has been amended by either the Department
of Homeland Security Appropriations Act of 2007, Pub. L. No. 109-295, 120 Stat.1355 (2006), signed on October 4, 2006, the Pets Evacuation and Transportation Standards Act of 2006, Pub.
L. No 109-308, 120 Stat. 1725 (2006), signed on October 6, 2006, or the Security and Accountability for Every Port Act of 2006, Pub. L. No. 109-347, 120 Stat. 1884 (2006), signed on
October 13, 2006. The changes are effective for emergencies or major disasters declared on or after October 4, 6, or 13, 2006. For events before those dates, please consult an earlier
version of the Stafford Act. v
MISCELLANEOUS STATUTORY PROVISIONS THAT RELATE TO THE STAFFORD ACT..........................................................................................................................71
Excess Disaster Assistance Payments as Budgetary Emergency Requirements (42 U.S.C. 5203) ........................................................................................................71
Insular Areas Disaster Survival and Recovery; Definitions (42 U.S.C. 5204) .......................................................................................................71 Authorization
of Appropriations for Insular Areas (Disaster Recovery) (42 U.S.C. 5204a) ......................................................................................................71 Technical
Assistance for Insular Areas (Disaster Recovery) (42 U.S.C. 5204b) ......................................................................................................72 Hazard Mitigation
for Insular Areas (Limitation on Amount of Contributions, Local Match) (42 U.S.C. 5204c)................................................................................72 Buy American
(Requirements) (42 U.S.C. 5206)......................................................73 U.S. Troop Readiness, Veterans’ Care, Katrina Recovery, and Iraq Accountability Appropriations
Act, 2007, Pub. L. No. 110-28, 121 Stat. 112 (2007), Signed on May 25, 2007............................................................................................................................
.....74 Sec. 4501. (100% Federal Share for Katrina, Wilma, Dennis, and Rita) ..................74 Sec. 4502. (Allowing Community Disaster Loans To Be Canceled) ........................74
Sec. 4503. (Paying Utility Costs for 2005 Hurricanes Extended to 24 Months) .......75 Department of Homeland Security Appropriations Act, 2007, Pub. L. No. 109-295, 120 Stat. 1355 (2006),
Signed on October 4, 2006 [Includes Post-Katrina Emergency Reform Act (PKEMRA)] ........................................................................................................75
Sec. 508. (Notifying Congressional Committees before Announcement of Grants FY 2007) ........................................................................................................75
Sec. 536. (Accounting for Needs of Individuals with Household Pets and Service Animals)........................................................................................................75
Title VI – National Emergency Management........................................................76 Sec. 601. Short Title (6 U.S.C. 701 note) ..........................................................
........76 Sec. 612. (References to Director of FEMA Considered to Refer to Administrator of FEMA) (6 U.S.C. 313 note and 6 U.S.C. 311 note).......................76 vi
Sec. 640a. Disclosure of Certain Information to Law Enforcement Agencies (6 U.S.C. 727) ............................................................................................76
Sec. 653. Federal Preparedness (Prescripted Mission Assignments) (6 U.S.C. 753) .......................................................................................................................
.....76 SUBTITLE E – STAFFORD ACT AMENDMENTS...................................................77 Sec. 682. National Disaster Recovery Strategy (6 U.S.C. 771).................................77
Sec. 683. National Disaster Housing Strategy (6 U.S.C. 772)...................................78 Sec. 689. Individuals with Disabilities (6 U.S.C. 773) ..............................................7
9 Sec. 689b. Reunification (Child Locator Center) (6 U.S.C. 774)..............................80 Sec. 689c. National Emergency Family Registry and Locator System (6 U.S.C. 775) ......................
......................................................................................................81 Sec. 689i. Individuals and Households Pilot Program (6 U.S.C. 776) .....................82
Sec. 689j. Public Assistance Pilot Program (6 U.S.C. 777)......................................84 Sec. 689k. Disposal of Unused Temporary Housing Units .......................................85
SUBTITLE F – PREVENTION OF FRAUD, WASTE, AND ABUSE ........................86 Sec. 691. Advance Contracting (6 U.S.C. 791) .........................................................86
Sec. 692. Limitations on Tiering of Subcontractors (6 U.S.C. 792)..........................87 Sec. 693. Oversight and Accountability of Federal Disaster Expenditures (6 U.S.C. 793) ..................
..............................................................................................87 Sec. 695. Limitation on Length of Certain Noncompetitive Contracts (6 U.S.C. 794) ....................
........................................................................................................89 Sec. 696. Fraud, Waste, and Abuse Controls (6 U.S.C. 795) ..................................
..89 Sec. 697. Registry of Disaster Response Contractors (6 U.S.C. 796) .......................90
Sec. 698. Fraud Prevention Training Program (6 U.S.C. 797) ..................................91 vii
Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Hurricane Recovery, 2006, Pub. L. No. 109-234, 120 Stat. 418 (2006), Signed on June 15, 2006......................
.................................................................................91 Sec. 2401. (Paying Utility Costs for 2005 Hurricanes) .............................................91
Sec. 2403 (Alternative Housing Pilot Programs)......................................................91 viii
HOMELAND SECURITY ACT OF 2002, as amended, 6 U.S.C. 311-321j ............................ 93 Title V--National Emergency Management...........................................................
93 Sec. 501. Definitions (6 U.S.C. 311) ......................................................................... 93 Sec. 502. Definition (6 U.S.C. 312)...............................................
............................ 94 Sec. 503. Federal Emergency Management Agency (6 U.S.C. 313)......................... 94 Sec. 504. Authorities and Responsibilities (6 U.S.C. 314) ....................
.................... 96 Sec. 505. Functions Transferred (U.S.C. 315)........................................................... 99 Sec. 506. Preserving the Federal Emergency Management
Agency (6 U.S.C. 316) ............................................................................................................ 99 Sec. 507. Regional Offices (6 U.S.C. 317) .......................
.........................................100 Sec. Sec. 508. National Advisory Council (6 U.S.C. 318) ................................................103 Sec. 509. National Integration
Center (6 U.S.C. 319) ...............................................104 Sec. 510. Credentialing and Typing (6 U.S.C. 320) ..................................................106 Sec.
511. The National Infrastructure Simulation and Analysis Center (6 U.S.C. 321) ............................................................................................................106
Sec. 512. Evacuation Plans and Exercises (6 U.S.C. 321a).......................................107 Sec. 513. Disability Coordinator (6 U.S.C. 321b) ...................................................
..108 Sec. 514. Department and Agency Officials (6 U.S.C. 321c) ...................................109 Sec. 515. National Operations Center (6 U.S.C. 321d) ...........................................
..110 Sec. 516. Chief Medical Officer (6 U.S.C. 321e) ......................................................110 Sec. 517. Nuclear Incident Response (6 U.S.C. 321f)....................................
...........111 Sec. 518. Conduct of Certain Public Health-related Activities (6 U.S.C. 321g) .......111 Sec. 519. Use of National Private Sector Networks in Emergency Response (6 U.S.C.
321h) ..........................................................................................................111 ix
x Sec. 520. Use of Commercially Available Technology, Goods and Services (6 U.S.C. 321i)...........................................................................................................112
Sec. 521. Procurement of Security Countermeasures for Strategic National Stockpile (6 U.S.C. 321j)...........................................................................................112
Title I --Findings, Declarations and Definitions Sec. 101. Congressional Findings and Declarations (42 U.S.C. 5121) (a) The Congress hereby finds and declares that -(1) because disasters
often cause loss of life, human suffering, loss of income, and property loss and damage; and (2) because disasters often disrupt the normal functioning of governments and communities,
and adversely affect individuals and families with great severity; special measures, designed to assist the efforts of the affected States in expediting the rendering of aid, assistance,
and emergency services, and the reconstruction and rehabilitation of devastated areas, are necessary. (b) It is the intent of the Congress, by this Act, to provide an orderly and continuing
means of assistance by the Federal Government to State and local governments in carrying out their responsibilities to alleviate the suffering and damage which result from such disasters
by -(1) revising and broadening the scope of existing disaster relief programs; (2) encouraging the development of comprehensive disaster preparedness and assistance plans, programs,
capabilities, and organizations by the States and by local governments; (3) achieving greater coordination and responsiveness of disaster preparedness and relief programs; (4) encouraging
individuals, States, and local governments to protect themselves by obtaining insurance coverage to supplement or replace governmental assistance; (5) encouraging hazard mitigation measures
to reduce losses from disasters, including development of land use and construction regulations; and (6) providing Federal assistance programs for both public and private losses sustained
in disasters 1
Sec. 102. Definitions (42 U.S.C. 5122)* As used in this Act -(1) “Emergency” means any occasion or instance for which, in the determination of the President, Federal assistance is needed
to supplement State and local efforts and capabilities to save lives and to protect property and public health and safety, or to lessen or avert the threat of a catastrophe in any part
of the United States. (2) “Major disaster” means any natural catastrophe (including any hurricane, tornado, storm, high water, winddriven water, tidal wave, tsunami, earthquake, volcanic
eruption, landslide, mudslide, snowstorm, or drought), or, regardless of cause, any fire, flood, or explosion, in any part of the United States, which in the determination of the President
causes damage of sufficient severity and magnitude to warrant major disaster assistance under this Act to supplement the efforts and available resources of States, local governments,
and disaster relief organizations in alleviating the damage, loss, hardship, or suffering caused thereby. (3) “United States” means the fifty States, the District of Columbia, Puerto
Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands. (4) “State” means any State of the United States, the District of Columbia, Puerto
Rico, the Virgin Islands, Guam, American Samoa, and the Commonwealth of the Northern Mariana Islands. (5) “Governor” means the chief executive of any State. (6) “Individual with a Disability”-The
term “individual with a disability” means an individual with a disability as defined in section 3(2) of the Americans with Disabilities Act of 1990 (42 U.S.C. 12102(2)). (7) The term
“local government” means – (A)a county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (regardless
of whether the council of governments is incorporated as a nonprofit corporation under State law), regional or interstate government entity, or agency or instrumentality of a local government;
(B) an Indian tribe or authorized tribal organization, or Alaska Native village or organization; and (C) a rural community, unincorporated town or village, or other public entity, for
which an application for assistance is made by a State or political subdivision of a State. (8) “Federal agency” means any department, independent establishment, Government corporation,
or other agency of the executive branch of the Federal Government, 2
including the United States Postal Service, but shall not include the American National Red Cross. (9) “Public facility” means the following facilities owned by a State or local government:
(A)Any flood control, navigation, irrigation, reclamation, public power, sewage treatment and collection, water supply and distribution, watershed development, or airport facility. (B)
Any non-Federal-aid street, road, or highway. (C) Any other public building, structure, or system, including those used for educational, recreational, or cultural purposes. (D)Any park.
(10) Private nonprofit facility -(A)In General -The term “private nonprofit facility” means private nonprofit educational, utility, irrigation, emergency, medical, rehabilitational,
and temporary or permanent custodial care facilities (including those for the aged and disabled) and facilities on Indian reservations, as defined by the President. (B) Additional Facilities
– In addition to the facilities described in subparagraph (A), the term “private nonprofit facility” includes any private nonprofit facility that provides essential services of a governmental
nature to the general public (including museums, zoos, performing arts facilities, community arts centers, libraries, homeless shelters, senior citizen centers, rehabilitation facilities,
shelter workshops, and facilities that provide health and safety services of a governmental nature), as defined by the President. Title II --Disaster Preparedness and Mitigation Assistance
Sec. 201. Federal and State Disaster Preparedness Programs (42 U.S.C. 5131) (a) Utilization of services of other agencies -The President is authorized to establish a program of disaster
preparedness that utilizes services of all appropriate agencies and includes -(1) preparation of disaster preparedness plans for mitigation, warning, emergency operations, rehabilitation,
and recovery; (2) training and exercises; (3) postdisaster critiques and evaluations; (4) annual review of programs; 3
(5) coordination of Federal, State, and local preparedness programs; (6) application of science and technology; (7) research. (b) Technical assistance for the development of plans and
programs -The President shall provide technical assistance to the States in developing comprehensive plans and practicable programs for preparation against disasters, including hazard
reduction, avoidance, and mitigation; for assistance to individuals, businesses, and State and local governments following such disasters; and for recovery of damages or destroyed public
and private facilities. (c) Grants to States for development of plans and programs -Upon application by a State, the President is authorized to make grants, not to exceed in the aggregate
to such State $250,000, for the development of plans, programs, and capabilities for disaster preparedness and prevention. Such grants shall be applied for within one year from May 22,
1974. Any State desiring financial assistance under this section shall designate or create an agency to plan and administer such a disaster preparedness program, and shall, through such
agency, submit a State plan to the President, which shall (1) set forth a comprehensive and detailed State program for preparation against and assistance following, emergencies and major
disasters, including provisions for assistance to individuals, businesses, and local governments; and (2) include provisions for appointment and training of appropriate staffs, formulation
of necessary regulations and procedures and conduct of required exercises. (d) Grants for improvement, maintenance, and updating of State plans -The President is authorized to make grants
not to exceed 50 per centum of the cost of improving, maintaining and updating State disaster assistance plans, including evaluations of natural hazards and development of the programs
and actions required to mitigate such hazards; except that no such grant shall exceed $50,000 per annum to any State. Sec. 202. Disaster Warnings (42 U.S.C. 5132) (a) Readiness of Federal
agencies to issue warnings to state and local officials -The President shall insure that all appropriate Federal agencies are prepared to issue warnings of disasters to State and local
officials. (b) Technical assistance to State and local governments for effective warnings -The President shall direct appropriate Federal agencies to provide technical assistance 4
to State and local governments to insure that timely and effective disaster warning is provided. (c) Warnings to governmental authorities and public endangered by disaster -The President
is authorized to utilize or to make available to Federal, State, and local agencies the facilities of the civil defense communications system established and maintained pursuant to section
5196(c) of this title or any other Federal communications system for the purpose of providing warning to governmental authorities and the civilian population in areas endangered by disasters.
(d) Agreements with commercial communications systems for use of facilities -The President is authorized to enter into agreements with the officers or agents of any private or commercial
communications systems who volunteer the use of their systems on a reimbursable or nonreimbursable basis for the purpose of providing warning to governmental authorities and the civilian
population endangered by disasters. Sec. 203. Predisaster Hazard Mitigation (42 U.S.C. 5133) (a) Definition of Small Impoverished Community -In this section, the term “small impoverished
community” means a community of 3,000 or fewer individuals that is economically disadvantaged, as determined by the State in which the community is located and based on criteria established
by the President. (b) Establishment of Program -The President may establish a program to provide technical and financial assistance to States and local governments to assist in the implementation
of predisaster hazard mitigation measures that are cost-effective and are designed to reduce injuries, loss of life, and damage and destruction of property, including damage to critical
services and facilities under the jurisdiction of the States or local governments. (c) Approval by President -If the President determines that a State or local government has identified
natural disaster hazards in areas under its jurisdiction and has demonstrated the ability to form effective public-private natural disaster hazard mitigation partnerships, the President,
using amounts in the National Predisaster Mitigation Fund established under subsection (i) (referred to in this section as the “Fund”), may provide technical and financial assistance
to the State or local government to be used in accordance with subsection (e). (d) State Recommendations -(1) In general -(A) Recommendations -The Governor of each State may recommend
to the President not fewer than five local governments to receive assistance under this section. 5
(B) Deadline for submission -The recommendations under subparagraph (A) shall be submitted to the President not later than October 1, 2001, and each October 1st thereafter or such later
date in the year as the President may establish. (C) Criteria -In making recommendations under subparagraph (A), a Governor shall consider the criteria specified in subsection (g). (2)
Use -(A) In general -Except as provided in subparagraph (B), in providing assistance to local governments under this section, the President shall select from local governments recommended
by the Governors under this subsection. (B) Extraordinary circumstances -In providing assistance to local governments under this section, the President may select a local government
that has not been recommended by a Governor under this subsection if the President determines that extraordinary circumstances justify the selection and that making the selection will
further the purpose of this section. (3) Effect of failure to nominate -If a Governor of a State fails to submit recommendations under this subsection in a timely manner, the President
may select, subject to the criteria specified in subsection (g), any local governments of the State to receive assistance under this section. (e) Uses of Technical and Financial Assistance
-(1) In general -Technical and financial assistance provided under this section (A) shall be used by States and local governments principally to implement predisaster hazard mitigation
measures that are costeffective and are described in proposals approved by the President under this section; and (B) may be used -(i) to support effective public-private natural disaster
hazard mitigation partnerships; (ii) to improve the assessment of a community's vulnerability to natural hazards; or (iii)to establish hazard mitigation priorities, and an appropriate
hazard mitigation plan, for a community (2) Dissemination -A State or local government may use not more than 10 percent of the financial assistance received by the State or local government
under this section for a fiscal year to fund activities to disseminate information regarding cost-effective mitigation technologies. 6
(f) Allocation of Funds -The amount of financial assistance made available to a State (including amounts made available to local governments of the State) under this section for a fiscal
year -(1) shall be not less than the lesser of -(A) $500,000; or (B) the amount that is equal to 1.0 percent of the total funds appropriated to carry out this section for the fiscal
year; (2) shall not exceed 15 percent of the total funds described in paragraph (1)(B); and (3) shall be subject to the criteria specified in subsection (g). (g) Criteria for Assistance
Awards -In determining whether to provide technical and financial assistance to a State or local government under this section, the President shall take into account -(1) the extent
and nature of the hazards to be mitigated; (2) the degree of commitment by the State or local government to reduce damages from future natural disasters; (3) the degree of commitment
by the State or local government to support ongoing non-Federal support for the hazard mitigation measures to be carried out using the technical and financial assistance; (4) the extent
to which the hazard mitigation measures to be carried out using the technical and financial assistance contribute to the mitigation goals and priorities established by the State; (5)
the extent to which the technical and financial assistance is consistent with other assistance provided under this Act; (6) the extent to which prioritized, cost-effective mitigation
activities that produce meaningful and definable outcomes are clearly identified; (7) if the State or local government has submitted a mitigation plan under section 5165 of this title,
the extent to which the activities identified under paragraph (6) are consistent with the mitigation plan; (8) the opportunity to fund activities that maximize net benefits to society;
(9) the extent to which assistance will fund mitigation activities in small impoverished communities; and 7
(10) such other criteria as the President establishes in consultation with State and local governments. (h) Federal Share -(1) In general -Financial assistance provided under this section
may contribute up to 75 percent of the total cost of mitigation activities approved by the President. (2) Small impoverished communities -Notwithstanding paragraph (1), the President
may contribute up to 90 percent of the total cost of a mitigation activity carried out in a small impoverished community. (i) National Predisaster Mitigation Fund -(1) Establishment
-The President may establish in the Treasury of the United States a fund to be known as the “National Predisaster Mitigation Fund”, to be used in carrying out this section. (2) Transfers
to fund -There shall be deposited in the Fund -(A) amounts appropriated to carry out this section, which shall remain available until expended; and (B) sums available from gifts, bequests,
or donations of services or property received by the President for the purpose of predisaster predisaster hazard mitigation. (3) Expenditures from fund -Upon request by the President,
the Secretary of the Treasury shall transfer from the Fund to the President such amounts as the President determines are necessary to provide technical and financial assistance under
this section. (4) Investment of amounts -(A) In general -The Secretary of the Treasury shall invest such portion of the Fund as is not, in the judgment of the Secretary of the Treasury,
required to meet current withdrawals. Investments may be made only in interest-bearing obligations of the United States. (B) Acquisition of obligations -For the purpose of investments
under subparagraph (A), obligations may be acquired -(i) on original issue at the issue price; or (ii) by purchase of outstanding obligations at the market price. (C) Sale of obligations
-Any obligation acquired by the Fund may be sold by the Secretary of the Treasury at the market price. (D) Credits to fund -The interest on, and the proceeds from the sale or redemption
of, any obligations held in the Fund shall be credited to and form a part of the Fund. 8
(E) Transfers of amounts -(i) In general -The amounts required to be transferred to the Fund under this subsection shall be transferred at least monthly from the general fund of the
Treasury to the Fund on the basis of estimates made by the Secretary of the Treasury. (ii) Adjustments -Proper adjustment shall be made in amounts subsequently transferred to the extent
prior estimates were in excess of or less than the amounts required to be transferred. (j) Limitation on Total Amount of Financial Assistance -The President shall not provide financial
assistance under this section in an amount greater than the amount available in the Fund. (k) Multihazard Advisory Maps -(1) Definition of multihazard advisory map -In this subsection,
the term “multihazard advisory map” means a map on which hazard data concerning each type of natural disaster is identified simultaneously for the purpose of showing areas of hazard
overlap. (2) Development of maps -In consultation with States, local governments, and appropriate Federal agencies, the President shall develop multihazard advisory maps for areas, in
not fewer than five States, that are subject to commonly recurring natural hazards (including flooding, hurricanes and severe winds, and seismic events). (3) Use of technology -In developing
multihazard advisory maps under this subsection, the President shall use, to the maximum extent practicable, the most cost-effective and efficient technology available. (4) Use of maps
-(A) Advisory nature -The multihazard advisory maps shall be considered to be advisory and shall not require the development of any new policy by, or impose any new policy on, any government
or private entity. (B) Availability of maps -The multihazard advisory maps shall be made available to the appropriate State and local governments for the purposes of -(i) informing the
general public about the risks of natural hazards in the areas described in paragraph (2); (ii) supporting the activities described in subsection (e); and (iii)other public uses. 9
(l) Report on Federal and State Administration -Not later than Oct. 30, 2000, the President, in consultation with State and local governments, shall submit to Congress a report evaluating
efforts to implement this section and recommending a process for transferring greater authority and responsibility for administering the assistance program established under this section
to capable States. (m)Termination of Authority -The authority provided by this section terminates September 30, 2008. Sec. 204. Interagency Task Force (42 U.S.C. 5134) (a) In General
-The President shall establish a Federal interagency task force for the purpose of coordinating the implementation of predisaster hazard mitigation programs administered by the Federal
Government. (b) Chairperson -The Director of the Federal Emergency Management Agency shall serve as the chairperson of the task force. (c) Membership -The membership of the task force
shall include representatives of (1) relevant Federal agencies; (2) State and local government organizations (including Indian tribes); and (3) the American Red Cross. Title III --Major
Disaster and Emergency Assistance Administration Sec. 301. Waiver of Administrative Conditions (42 U.S.C. 5141) Any Federal agency charged with the administration of a Federal assistance
program may, if so requested by the applicant State or local authorities, modify or waive, for a major disaster, such administrative conditions for assistance as would otherwise prevent
the giving of assistance under such programs if the inability to meet such conditions is a result of the major disaster. Sec. 302. Coordinating Officers (42 U.S.C. 5143)* (a) Appointment
of Federal coordinating officer -Immediately upon his declaration of a major disaster or emergency, the President shall appoint a Federal coordinating officer to operate in the affected
area. 10
(b) Functions of Federal coordinating officer -In order to effectuate the purposes of this Act, the Federal coordinating officer, within the affected area, shall (1) make an initial
appraisal of the types of relief most urgently needed; (2) establish such field offices as he deems necessary and as are authorized by the President; (3) coordinate the administration
of relief, including activities of the State and local governments, the American National Red Cross, the Salvation Army, the Mennonite Disaster Service, and other relief or disaster
assistance organizations, which agree to operate under his advice or direction, except that nothing contained in this Act shall limit or in any way affect the responsibilities of the
American National Red Cross under the Act of January 5, 1905, as amended (33 Stat. 599) and (4) take such other action, consistent with authority delegated to him by the President, and
consistent with the provisions of this Act, as he may deem necessary to assist local citizens and public officials in promptly obtaining assistance to which they are entitled. (c) State
Coordinating officer -When the President determines assistance under this Act is necessary, he shall request that the Governor of the affected State designate a State coordinating officer
for the purpose of coordinating State and local disaster assistance efforts with those of the Federal Government. (d) Where the area affected by a major disaster or emergency includes
parts of more than 1 State, the President, at the discretion of the President, may appoint a single Federal coordinating officer for the entire affected area, and may appoint such deputy
Federal coordinating officers to assist the Federal coordinating officer as the President determines appropriate. Sec. 303. Emergency Support and Response Teams (42 U.S.C. 5144)* (a)
Emergency Support Teams – The President shall form emergency support teams of Federal personnel to be deployed in an area affected by a major disaster or emergency. Such emergency support
teams shall assist the Federal coordinating officer in carrying out his responsibilities pursuant to this Act. Upon request of the President, the head of any Federal agency is directed
to detail to temporary duty with the emergency support teams on either a reimbursable or nonreimbursable basis, as is determined necessary by the President, such personnel within the
administrative jurisdiction of the head of the Federal agency as the President may need or believe to be useful for carrying out the functions of the emergency support teams, each such
detail to be without loss of seniority, pay, or other employee status. 11
(b) Emergency Response Teams-(1) Establishment -In carrying out subsection (a), the President, acting through the Director of the Federal Emergency Management Agency, shall establish-(A)
at a minimum 3 national response teams; and (B) sufficient regional response teams, including Regional Office strike teams under section 507 of the Homeland Security Act of 2002; and
(C) other response teams as may be necessary to meet the incident management responsibilities of the Federal Government. (2) Target Capability Level -The Director shall ensure that specific
target capability levels, as defined pursuant to the guidelines established under section 646(a) of the Post-Katrina Emergency Management Reform Act of 2006, are established for Federal
emergency response teams. (3) Personnel -The President, acting through the Director, shall ensure that the Federal emergency response teams consist of adequate numbers of properly planned,
organized, equipped, trained, and exercised personnel to achieve the established target target capability levels. Each emergency response team shall work in coordination with State and
local officials and onsite personnel associated with a particular incident. (4) Readiness Reporting -The Director shall evaluate team readiness on a regular basis and report team readiness
levels in the report required under
section 652(a) of the Post-Katrina Emergency Management Reform Act of 2006. Sec. 304. Reimbursement of Federal Agencies (42 U.S.C. 5147) Federal agencies may be reimbursed for expenditures
under this Act from funds appropriated for the purposes of this Act. Any funds received by Federal agencies as reimbursement for services or supplies furnished under the authority of
this Act shall be deposited to the credit of the appropriation or appropriations currently available for such services or supplies. Sec. 305. Nonliability of Federal Government (42 U.S.C.
5148) The Federal Government shall not be liable for any claim based upon the exercise or performance of or the failure to exercise or perform a discretionary function or duty on the
part of a Federal agency or an employee of the Federal Government in carrying out the provisions of this Act. 12
Sec. 306. Performance of Services (42 U.S.C. 5149) (a) Utilization of services or facilities of State and local governments -In carrying out the purposes of this Act, any Federal agency
is authorized to accept and utilize the services or facilities of any State or local government, or of any agency, office, or employee thereof, with the consent of such government. (b)
Appointment of temporary personnel, experts, and consultants; acquisition, rental, or hire of equipment, services, materials and supplies -In performing any services under this Act,
any Federal agency is authorized (1) to appoint and fix the compensation of such temporary personnel as may be necessary, without regard to the provisions of title 5, governing appointments
in competitive service; (2) to employ experts and consultants in accordance with the provisions of section 3109 of such title, without regard to the provisions of chapter 51 and subchapter
III of chapter 53 of such title relating to classification and General Schedule pay rates; rates; and (3) to incur obligations on behalf of the United States by contract or otherwise
for the acquisition, rental, or hire of equipment, services, materials, and supplies for shipping, drayage, travel, and communications, and for the supervision and administration of
such activities. Such obligations, including obligations arising out of the temporary employment of additional personnel, may be incurred by an agency in such amount as may be made available
to it by the President. Sec. 307. Use of Local Firms and Individuals (42 U.S.C. 5150)* (a) Contracts or Agreements With Private Entities-(1) In General -In the expenditure of Federal
funds for debris clearance, distribution of supplies, reconstruction, and other major disaster or emergency assistance activities which may be carried out by contract or agreement with
private organizations, firms, or individuals, preference shall be given, to the extent feasible and practicable, to those organizations, firms, and individuals residing or doing business
primarily in the area affected by such major disaster or emergency. (2) Construction -This section shall not be considered to restrict the use of Department of Defense resources under
this Act in the provision of assistance in a major disaster. (3) Specific Geographic Area -In carrying out this section, a contract or agreement may be set aside for award based on a
specific geographic area. 13
(b) Implementation-(1) Contracts not to entities in area -Any expenditure of Federal funds for debris clearance, distribution of supplies, reconstruction, and other major disaster or
emergency assistance activities which may be carried out by contract or agreement with private organizations, firms, or individuals, not awarded to an organization, firm, or individual
residing or doing business primarily in the area affected by such major disaster shall be justified in writing in the contract file. (2) Transition -Following the declaration of an emergency
or major disaster, an agency performing response, relief, and reconstruction activities shall transition work performed under contracts in effect on the date on which the President declares
the emergency or major disaster to organizations, firms, and individuals residing or doing business primarily in any area affected by the major disaster or emergency, unless the head
of such agency determines that it is not feasible or practicable to do so. (3) Formation of Requirements – The head of a Federal agency, as feasible and practicable, shall formulate
appropriate requirements to facilitate compliance with this section. (c) Prior Contracts -Nothing in this section shall be construed to require any Federal agency to breach or renegotiate
any contract in effect before the occurrence of a major disaster or emergency. Sec. 308. Nondiscrimination in Disaster Assistance (42 U.S.C. 5151)* (a) Regulations for equitable and
impartial relief operations -The President shall issue, and may alter and amend, such regulations as may be necessary for the guidance of personnel carrying out Federal assistance functions
at the site of a major disaster or emergency. Such regulations shall include provisions for insuring that the distribution of supplies, the processing of applications, and other relief
and assistance activities shall be accomplished in an equitable and impartial manner, without discrimination on the grounds of race, color, religion, nationality, sex, age, disability,
English proficiency, or economic status. (b) Compliance with regulations as prerequisite to participation by other bodies in relief operations -As a condition of participation in the
distribution of assistance or supplies under this Act or of receiving assistance under this Act, governmental bodies and other organizations shall be required to comply with regulations
relating to nondiscrimination promulgated by the President, and such other regulations applicable to activities within an area affected by a major disaster or emergency as he deems necessary
for the effective coordination of relief efforts. 14
Sec. 309. Use and Coordination of Relief Organizations (42 U.S.C. 5152) (a) In providing relief and assistance under this Act, the President may utilize, with their consent, the personnel
and facilities of the American National Red Cross, the Salvation Army, the Mennonite Disaster Service, and other relief or disaster assistance organizations, in the distribution of medicine,
food, supplies, or other items, and in the restoration, rehabilitation, or reconstruction of community services housing and essential facilities, whenever the President finds that such
utilization is necessary. (b) The President is authorized to enter into agreements with the American National Red Cross, the Salvation Army, the Mennonite Disaster Service, and other
relief or disaster assistance organizations under which the disaster relief activities of such organizations may be coordinated by the Federal coordinating officer whenever such organizations
are engaged in providing relief during and after a major disaster or emergency. Any Any such agreement shall include provisions assuring that use of Federal facilities, supplies, and
services will be in compliance with regulations prohibiting duplication of benefits and guaranteeing nondiscrimination promulgated by the President under this Act, and such other regulation
as the President may require. Sec. 310. Priority to Certain Applications for Public Facility and Public Housing Assistance (42 U.S.C. 5153) (a) Priority -In the processing of applications
for assistance, priority and immediate consideration shall be given by the head of the appropriate Federal agency, during such period as the President shall prescribe, to applications
from public bodies situated in areas affected by major disasters under the following Acts: (1) The United States Housing Act of 1937 for the provision of low-income housing. (2) Section
702 of the Housing Act of 1954 for assistance in public works planning. (3) The Community Development Block Grant Program under title I of the Housing and Community Development Act of
1974. (4) Section 306 of the Consolidated Farm and Rural Development Act. (5) The Public Works and Economic Development Act of 1965. (6) The Appalachian Regional Development Act of 1965.
(7) The Federal Water Pollution Control Act. 15
(b) Obligation of certain discretionary funds -In the obligation of discretionary funds or funds which are not allocated among the States or political subdivisions of a State, the Secretary
of Housing and Urban Development and the Secretary of Commerce shall give priority to applications for projects for major disaster areas. Sec. 311. Insurance (42 U.S.C. 5154) (a) Applicants
for replacement of damaged facilities (1) Compliance with certain regulations -An applicant for assistance under section 5172 of this title (relating to repair, restoration, and replacement
of damaged facilities), section 5189 of this title (relating to simplified procedure) or section 3149(c)(2) of this title) shall comply with regulations prescribed by the President to
assure that, with respect to any property to be replaced, restored, repaired, or constructed with such assistance, such types and extent of insurance will be obtained and maintained
as may be reasonably available, adequate, and necessary, to protect against future loss to such property. (2) Determination -In making a determination with respect to availability, adequacy,
and necessity under paragraph (1), the President shall not require greater types and extent of insurance than are certified to him as reasonable by the appropriate State insurance commissioner
responsible for regulation of such insurance. (b) Maintenance of insurance -No applicant for assistance under section 5172 of this title (relating to repair, restoration, and replacement
of damaged facilities), section 5189 of this title (relating to simplified procedure), or section 3149(c)(2) of this title) may receive such assistance for any property or part thereof
for which the applicant has previously received assistance under this Act unless all insurance required pursuant to this section has been obtained and maintained with respect to such
property. The requirements of this subsection may not be waived under section 5141 of this title. (c) State acting as self-insurer -A State may elect to act as a self-insurer with respect
to any or all of the facilities owned by the State. Such an election, if declared in writing at the time of acceptance of assistance under section 5172 or 5189 of this title or section
3149(c)(2) of this title) or subsequently and accompanied by a plan for self-insurance which is satisfactory to the President, shall be deemed compliance with subsection (a). No such
self-insurer may receive assistance under section 5172 or 5189 of this title for any property or part thereof for which it has previously received assistance under this Act, to the extent
that insurance for such property or part thereof would have been reasonably available. 16
Prohibited Flood Disaster Assistance (42 U.S.C. 5154a) (a) General prohibition -Notwithstanding any other provision of law, no Federal disaster relief assistance made available in a
flood disaster area may be used to make a payment (including any loan assistance payment) to a person for repair, replacement, or restoration for damage to any personal, residential,
or commercial property if that person at any time has received flood disaster assistance that was conditional on the person first having obtained flood insurance under applicable Federal
law and subsequently having failed to obtain and maintain flood insurance as required under applicable Federal law on such property. (b) Transfer of property -(1) Duty to notify -In
the event of the transfer of any property described in paragraph (3), the transferor shall, not later than the date on which such transfer occurs, notify the transferee in writing of
the requirements to -(A) obtain flood insurance in accordance with applicable Federal law with respect to to such property, if the property is not so insured as of the date on which
the property is transferred; and (B) maintain flood insurance in accordance with applicable Federal law with respect to such property. Such written notification shall be contained in
documents evidencing the transfer of ownership of the property. (2) Failure to notify -If a transferor described in paragraph (1) fails to make a notification in accordance with such
paragraph and, subsequent to the transfer of the property -(A) the transferee fails to obtain or maintain flood insurance in accordance with applicable Federal law with respect to the
property, (B) the property is damaged by a flood disaster, and (C) Federal disaster relief assistance is provided for the repair, replacement, or restoration of the property as a result
of such damage, the transferor shall be required to reimburse the Federal Government in an amount equal to the amount of the Federal disaster relief assistance provided with respect
to the property. (3) Property described -For purposes of paragraph (1), a property is described in this paragraph if it is personal, commercial, or residential property for which Federal
disaster relief assistance made available in a flood disaster area has been provided, prior to the date on which the property is transferred, for repair, replacement, or restoration
of the property, if such assistance was conditioned upon obtaining flood insurance in accordance with applicable Federal law with respect to such property. (c) [Omitted] 17
(d) Definition -For purposes of this section, the term “flood disaster area” means an area with respect to which -(1) the Secretary of Agriculture finds, or has found, to have been substantially
affected by a natural disaster in the United States pursuant to section 1961(a) of the Consolidated Farm and Rural Development Act (7 U.S.C. 1961(a)); or (2) the President declares,
or has declared, the existence of a major disaster or emergency pursuant to the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.), as a result
of flood conditions existing in or affecting that area. (e) Effective date -This section and the amendments made by this section [adding this section and amending 42 U.S.C. 4012a(a)]
shall apply to disasters declared after September 23, 1994. Sec. 312. Duplication of Benefits (42 U.S.C. 5155) (a) General prohibition -The President, in consultation with the head of
each Federal agency administering any program providing financial assistance to persons, business concerns, or other entities suffering losses as a result of a major disaster or emergency,
shall assure that no such person, business concern, or other entity will receive such assistance with respect to any part of such loss as to which he has received financial assistance
under any other program or from insurance or any other source. (b) Special rules -(1) Limitation -This section shall not prohibit the provision of Federal assistance to a person who
is or may be entitled to receive benefits for the same purposes from another source if such person has not received such other benefits by the time of application for Federal assistance
and if such person agrees to repay all duplicative assistance to the agency providing the Federal assistance. (2) Procedures -The President shall establish such procedures as the President
considers necessary to ensure uniformity in preventing duplication of benefits. (3) Effect of partial benefits -Receipt of partial benefits for a major disaster or emergency shall not
preclude provision of additional Federal assistance for any part of a loss or need for which benefits have not been provided. (c) Recovery of duplicative benefits -A person receiving
Federal assistance for a major disaster or emergency shall be liable to the United States to the extent that such assistance duplicates benefits available to the person for the same
purpose 18
(d) Assistance not income -Federal major disaster and emergency assistance provided to individuals and families under this Act, and comparable disaster assistance provided by States,
local governments, and disaster assistance organizations, shall not be considered as income or a resource when determining eligibility for or benefit levels under federally funded income
assistance or resource-tested benefit programs. Sec. 313. Standard of Review (42 U.S.C. 5156) The President shall establish comprehensive standards which shall be used to assess the
efficiency and effectiveness of Federal major disaster and emergency assistance programs administered under this Act. The President shall conduct annual reviews of the activities of
Federal agencies and State and local governments in major disaster and emergency preparedness and in providing major disaster and emergency assistance in order to assure maximum coordination
and effectiveness of such programs and consistency in policies for reimbursement of States under this Act. Sec. 314. Penalties (42 U.S.C. 5157) (a) Misuse of funds -Any person who knowingly
misapplies the proceeds of a loan or other cash benefit obtained under this Act shall be fined an amount equal to one and one-half times the misapplied amount of the proceeds or cash
benefit. (b) Civil enforcement -Whenever it appears that any person has violated or is about to violate any provision of this Act, including any civil penalty imposed under this Act,
the Attorney General may bring a civil action for such relief as may be appropriate. Such action may be brought in an appropriate United States district court. (c) Referral to Attorney
General -The President shall expeditiously refer to the Attorney General for appropriate action any evidence developed in the performance of functions under this Act that may warrant
consideration for criminal prosecution. (d) Civil penalty -Any individual who knowingly violates any order or regulation issued under this Act shall be subject to a civil penalty of
not more than $$5,000 for each violation. 19
Sec. 315. Availability of Materials (42 U.S.C. 5158) The President is authorized, at the request of the Governor of an affected State, to provide for a survey of construction materials
needed in the area affected by a major disaster on an emergency basis for housing repairs, replacement housing, public facilities repairs and replacement, farming operations, and business
enterprises and to take appropriate action to assure the availability and fair distribution of needed materials, including, where possible, the allocation of such materials for a period
of not more than one hundred and eighty days after such major disaster. Any allocation program shall be implemented by the President to the extent possible, by working with and through
those companies which traditionally supply construction materials in the affected area. For the purposes of this section “construction materials” shall include building materials and
materials required for repairing housing, replacement housing, public facilities repairs and replacement, and for normal farm and business operations. Sec. 316. Protection of Environment
(42 U.S.C. 5159) An action which is taken or assistance which is provided pursuant to section 5170a , 5170b, 5172, 5173, or 5192 of this title, including such assistance provided pursuant
to the procedures provided for in section 5189 of this title , which has the effect of restoring a facility substantially to its condition prior to the disaster or emergency, shall not
be deemed a major Federal action significantly affecting the quality of the human environment within the meaning of the National Environmental Policy Act of 1969 (83 Stat. 852) [42 U.S.C.
§4321 et seq.]. Nothing in this section shall alter or affect the applicability of the National Environmental Policy Act of 1969 [42 U.S.C. §4321 et seq.] to other Federal actions taken
under this Act or under any other provisions of law. Sec. 317. Recovery of Assistance (42 U.S.C. 5160) (a) Party liable -Any person who intentionally causes a condition for which Federal
assistance is provided under this Act or under any other Federal law as a result of a declaration of a major disaster or emergency under this Act shall be liable to the United States
for the reasonable costs incurred by the United States in responding to such disaster or emergency to the extent that such costs are attributable to the intentional act or omission of
such person which caused such condition. Such action for reasonable costs shall be brought in an appropriate United States district court. (b) Rendering of care -A person shall not be
liable under this section for costs incurred by the United States as a result of actions taken or omitted by such person in the course of rendering care or assistance in response to
a major disaster or emergency. 20
Sec. 318. Audits and Investigations (42 U.S.C. 5161) (a) In general -Subject to the provisions of chapter 75 of title 31, relating to requirements for single audits, the President shall
conduct audits and investigations as necessary to assure compliance with this Act, and in connection therewith may question such persons as may be necessary to carry out such audits
and investigations. (b) Access to records -For purposes of audits and investigations under this section, the President and Comptroller General may inspect any books, documents, papers,
and records of any person relating to any activity undertaken or funded under this Act. (c) State and local audits -The President may require audits by State and local governments in
connection with assistance under this Act when necessary to assure compliance with this Act or related regulations. Sec. 319. Advance of Non-Federal Share (42 U.S.C. 5162) (a) In general
-The President may lend or advance to an eligible applicant or a State the portion of assistance for which the State is responsible under the cost-sharing provisions of this Act in any
case in which--(1) the State is unable to assume its financial responsibility under such costsharing provisions— (A) with respect to concurrent, multiple major disasters in a jurisdiction,
or (B) after incurring extraordinary costs as a result of a particular disaster; and (2) the damages caused by such disasters or disaster are so overwhelming and severe that it is not
possible for the applicant or the State to assume immediately their financial responsibility under this Act. (b) Terms of loans and advances -(1) In general -Any loan or advance under
this section shall be repaid to the United States. (2) Interest -Loans and advances under this section shall bear interest at a rate determined by the Secretary of the Treasury, taking
into consideration the current market yields on outstanding marketable obligations of the United States with remaining periods to maturity comparable to the reimbursement period of the
loan or advance. 21
(c) Regulations -The President shall issue regulations describing the terms and conditions under which any loan or advance authorized by this section may be made. Sec. 320. Limitation
on Use of Sliding Scale (42 U.S.C. 5163) No geographic area shall be precluded from receiving assistance under this Act solely by virtue of an arithmetic formula or sliding scale based
on income or population. Sec. 321. Rules and Regulations (42 U.S.C. 5164) The President may prescribe such rules and regulations as may be necessary and proper to carry out the provisions
of this Act, and may exercise, either directly or through such Federal agency as the President may designate, any power or authority conferred to the President by this Act. Sec. 322.
Mitigation Planning (42 U.S.C. 5165) (a) Requirement of Mitigation Plan -As a condition of receipt of an increased Federal share for hazard mitigation measures under subsection (e),
a State, local, or tribal government shall develop and submit for approval to the President a mitigation plan that outlines processes for identifying the natural hazards, risks, and
vulnerabilities of the area under the jurisdiction of the government. (b) Local and Tribal Plans -Each mitigation plan developed by a local or tribal government shall -(1) describe actions
to mitigate hazards, risks, and vulnerabilities identified under the plan; and (2) establish a strategy to implement those actions. (c) State Plans -The State process of development
of a mitigation plan under this section shall -(1) identify the natural hazards, risks, and vulnerabilities of areas in the State; (2) support development of local mitigation plans;
(3) provide for technical assistance to local and tribal governments for mitigation planning; and (4) identify and prioritize mitigation actions that the State will support, as resources
become available. 22
(d) Funding -(1) In general -Federal contributions under section 5170c of this title may be used to fund the development and updating of mitigation plans under this section. (2) Maximum
federal contribution -With respect to any mitigation plan, a State, local, or tribal government may use an amount of Federal contributions under section 5170c of this title not to exceed
7 percent of the amount of such contributions available to the government as of a date determined by the government. (e) Increased Federal Share for Hazard Mitigation Measures -(1) In
general -If, at the time of the declaration of a major disaster, a State has in effect an approved mitigation plan under this section, the President may increase to 20 percent, with
respect to the major disaster, the maximum percentage specified in the last sentence of section 5170c(a) of this title. (2) Factors for consideration -In determining whether to increase
the maximum percentage under paragraph (1), the President shall consider whether the State has established -(A) eligibility criteria for property acquisition and other types of mitigation
measures; (B) requirements for cost effectiveness that are related to the eligibility criteria; (C) a system of priorities that is related to the eligibility criteria; and (D) a process
by which an assessment of the effectiveness of a mitigation action may be carried out after the mitigation action is complete. Sec. 323. Standards for Public and Private Structures (42
U.S.C. 5165a) (a) In General -As a condition of receipt of a disaster loan or grant under this Act -(1) the recipient shall carry out any repair or construction to be financed with the
loan or grant in accordance with applicable standards of safety, decency, and sanitation and in conformity with applicable codes, specifications, and standards; and (2) the President
may require safe land use and construction practices, after adequate consultation with appropriate State and local government officials. (b) Evidence of Compliance -A recipient of a
disaster loan or grant under this Act shall provide such evidence of compliance with this section as the President may require by regulation. 23
Note: Section 324 becomes effective when FEMA has promulgated a management cost rate regulation. Until then subsection 406(f) of the Stafford Act is used to establish management cost
rates. Sec. 324. Management Costs (42 U.S.C. 5165b) (a) Definition of Management Cost -In this section, the term “management cost” includes any indirect cost, any administrative expense,
and any other expense not directly chargeable to a specific project under a major disaster, emergency, or disaster preparedness or mitigation activity or measure. (b) Establishment of
Management Cost Rates -Notwithstanding any other provision of law (including any administrative rule or guidance), the President shall by regulation establish management cost rates,
for grantees and subgrantees, that shall be used to determine contributions under this Act for management costs. (c) Review -The President shall review the management cost rates established
under subsection (b) not later than 3 years after the date of establishment of the rates and periodically thereafter. Sec. 325. Public Notice, Comment, and Consultation Requirements
(42 U.S.C. 5165c) (a) Public Notice and Comment Concerning New or Modified Policies -(1) In general -The President shall provide for public notice and opportunity for comment before
adopting any new or modified policy that -(A) governs implementation of the public assistance program administered by the Federal Emergency Management Agency under this Act; and (B)
could result in a significant reduction of assistance under the program. (2) Application -Any policy adopted under paragraph (1) shall apply only to a major disaster or emergency declared
on or after the date on which the policy is adopted. (b) Consultation Concerning Interim Policies -(1) In general -Before adopting any interim policy under the public
assistance program to address specific conditions that relate to a major disaster or emergency that has been declared under this Act, the President, to the maximum extent practicable,
shall solicit the views and recommendations of grantees and subgrantees with respect to the major disaster or emergency concerning the potential interim policy, if the interim policy
is likely -24
(A) to result in a significant reduction of assistance to applicants for the assistance with respect to the major disaster or emergency; or (B) to change the terms of a written agreement
to which the Federal Government is a party concerning the declaration of the major disaster or emergency. (2) No legal right of action -Nothing in this subsection confers a legal right
of action on any party. (c) Public Access -The President shall promote public access to policies governing the implementation of the public assistance program. Sec. 326. Designation
of Small State and Rural Advocate (42 U.S.C. 5165d)* (a) In General -The President shall designate in the Federal Emergency Management Agency a Small State and Rural Advocate. (b) Responsibilities
-The Small State and Rural Advocate shall be an advocate for the fair treatment of small States and rural communities in the provision of assistance under this Act. (c) Duties -The Small
State and Rural Advocate shall (1) participate in the disaster declaration process under section 401 and the emergency declaration process under section 501, to ensure that the needs
of rural communities are being addressed; (2) assist small population States in the preparation of requests for major disasters or emergency declarations; and (3) conduct such other
activities as the Director of the Federal Emergency Management Agency considers appropriate. 25
Title IV --Major Disaster Assistance Programs Sec. 401. Procedure for Declaration (42 U.S.C. 5170) All requests for a declaration by the President that a major disaster exists shall
be made by the Governor of the affected State. Such a request shall be based on a finding that the disaster is of such severity and magnitude that effective response is beyond the capabilities
of the State and the affected local governments and that Federal assistance is necessary. As part of such request, and as a prerequisite to major disaster assistance under this Act,
the Governor shall take appropriate response action under State law and direct execution of the State's emergency plan. The Governor shall furnish information on the nature and amount
of State and local resources which have been or will be committed to alleviating the results of the disaster, and shall certify that, for the current disaster, State and local government
obligations and expenditures (of which State commitments must be a significant proportion) will comply with all applicable cost-sharing requirements of this Act. Based on the request
of a Governor under this section, the President may declare under this Act that a major disaster or emergency exists. Sec. 402. General Federal Assistance (42 U.S.C. 5170a)* In any major
disaster, the President may -(1) direct any Federal agency, with or without reimbursement, to utilize its authorities and the resources granted to it under Federal law (including personnel,
equipment, supplies, facilities, and managerial, technical, and advisory services) in support of State and local assistance response and recovery efforts, including precautionary evacuations;
(2) coordinate all disaster relief assistance (including voluntary assistance) provided by Federal agencies, private organizations, and State and local governments, including precautionary
evacuations and recovery; (3) provide technical and advisory assistance to affected State and local governments for -(A)the performance of essential community services; (B) issuance
of warnings of risks and hazards; (C) public health and safety information, including dissemination of such information; (D)provision of health and safety measures; (E) management, control,
and reduction of immediate threats to public health and safety; and (F) recovery activities, including disaster impact assessments and planning; 26
(4) assist State and local governments in the distribution of medicine, food, and other consumable supplies, and emergency assistance; and (5) provide accelerated Federal assistance
and Federal support where necessary to save lives, prevent human suffering, or mitigate severe damage, which may be provided in the absence of a specific request and in which case the
President (A)shall, to the fullest extent practicable, promptly notify and coordinate with officials in a State in which such assistance or support is provided; and (B) shall not, in
notifying and coordinating with a State under subparagraph (A), delay or impede the rapid deployment, use, and distribution of critical resources to victims of a major disaster. Sec.
403. Essential Assistance (42 U.S.C. 5170b)* (a) In general -Federal agencies may on the direction of the President, provide assistance essential to meeting immediate threats to life
and property resulting from a major disaster, as follows: (1) Federal resources, generally -Utilizing, lending, or donating to State and local governments Federal equipment, supplies,
facilities, personnel, and other resources, other than the extension of credit, for use or distribution by such governments in accordance with the purposes of this Act. (2) Medicine,
durable medical equipment, food, and other consumables -Distributing or rendering through State and local governments, the American National Red Cross, the Salvation Army, the Mennonite
Disaster Service, and other relief and disaster assistance organizations medicine, durable medical equipment, food, and other consumable supplies, and other services and assistance to
disaster victims. (3) Work and services to save lives and protect property -Performing on public or private lands or waters any work or services essential to saving lives and protecting
and preserving property or public health and safety, including -(A) debris removal; (B) search and rescue, emergency medical care, emergency mass care, emergency shelter, and provision
of food, water, medicine, durable medical equipment, and other essential needs, including movement of supplies or persons; (C) clearance of roads and construction of temporary bridges
necessary to the performance of emergency tasks and essential community services; (D) provision of temporary facilities for schools and other essential community services; (E) demolition
of unsafe structures which endanger the public; (F) warning of further risks and hazards; 27
(G) dissemination of public information and assistance regarding health and safety measures; (H) provision of technical advice to State and local governments on disaster management and
control; (I) reduction of immediate threats to life, property, and public health and safety; and (J) provision of rescue, care, shelter, and essential needs -(i) to individuals with
household pets and service animals; and (ii) to such pets and animals. (4) Contributions -Making contributions to State or local governments or owners or operators of private nonprofit
facilities for the purpose of carrying out the provisions of this subsection. (b) Federal share -The Federal share of assistance under this section shall be not less than 75 percent
of the eligible cost of such assistance. (c) Utilization of DOD resources -(1) General rule -During the immediate aftermath of an incident which may ultimately qualify for assistance
under this title or title V of this Act, the Governor of the State in which such incident occurred may request the President to direct the Secretary of Defense to utilize the resources
of the Department of Defense for the purpose of performing on public and private lands any emergency work which is made necessary by such incident and which is essential for the preservation
of life and property. If the President determines that such work is essential for the preservation of life and property, the President shall grant such request to the extent the President
determines practicable. Such emergency work may only be carried out for a period not to exceed 10 days. (2) Rules applicable to debris removal -Any removal of debris and wreckage carried
out under this subsection shall be subject to section 5173(b) of this title, relating to unconditional authorization and indemnification for debris removal. (3) Expenditures out of disaster
relief funds -The cost of any assistance provided pursuant to this subsection shall be reimbursed out of funds made available to carry out this Act. (4) Federal share -The Federal share
of assistance under this subsection shall be not less than 75 percent. (5) Guidelines -Not later than 180 days after the date of the enactment of the Disaster Relief and Emergency Assistance
Amendments of 1988 [enacted Nov. 23, 1988], the President shall issue guidelines for carrying out this subsection. Such guidelines shall consider any likely effect assistance under 28
this subsection will have on the availability of other forms of assistance under this Act. (6) Definitions -For purposes of this section (A) Department of Defense -The term “Department
of Defense” has the meaning the term “department” has under section 101 of title 10. (B) Emergency work -The term “emergency work” includes clearance and removal of debris and wreckage
and temporary restoration of essential public facilities and services. Sec. 404. Hazard Mitigation (42 U.S.C. 5170c)* (a) In General -The President may contribute up to 75 percent of
the cost of hazard mitigation measures which the President has determined are cost-effective and which substantially reduce the risk of future damage, hardship, loss, or suffering in
any area affected by a major disaster. Such measures shall be identified following the evaluation of natural hazards under section 5165 of this title and shall be subject to approval
by the President. Subject to section 5165 of this title , the total of contributions under this section section for a major disaster shall not exceed 15 percent for amounts not more
than $2,000,000,000, 10 percent for amounts of more than $2,000,000,000 and not more than $10,000,000,000, and 7.5 percent on amounts of more than $10,000,000,000 and not more than $35,333,000,000
of the estimated aggregate amount of grants to be made (less any associated administrative costs) under this Act with respect to the major disaster. (b) Property acquisition and relocation
assistance -(1) General authority -In providing hazard mitigation assistance under this section in connection with flooding, the Director of the Federal Emergency Management Agency may
provide property acquisition and relocation assistance for projects that meet the requirements of paragraph (2). (2) Terms and conditions -An acquisition or relocation project shall
be eligible to receive assistance pursuant to paragraph (1) only if -(A) the applicant for the assistance is otherwise eligible to receive assistance under the hazard mitigation grant
program program established under subsection (a); and (B) on or after December 3, 1993, the applicant for the assistance enters into an agreement with the Director that provides assurances
that -(i) any property acquired, accepted, or from which a structure will be removed pursuant to the project will be dedicated and maintained in perpetuity for a use that is compatible
with open space, recreational, or wetlands management practices; 29
(ii) no new structure will be erected on property acquired, accepted or from which a structure was removed under the acquisition or relocation program other than--(I) a public facility
that is open on all sides and functionally related to a designated open space; (II) a rest room; or (III) a structure that the Director approves in writing before the commencement of
the construction of the structure; and (iii)after receipt of the assistance, with respect to any property acquired, accepted or from which a structure was removed under the acquisition
or relocation program--(I) no subsequent application for additional disaster assistance for any purpose will be made by the recipient to any Federal entity; and (II) no assistance referred
to in subclause (I) will be provided to the applicant by any Federal source. (3) Statutory construction -Nothing in this subsection is intended to alter or otherwise affect an agreement
for an acquisition or relocation project carried out pursuant to this section that was in effect on the day before December 3, 1993. (c) Program Administration by States -(1) In general
-A State desiring to administer the hazard mitigation grant program established by this section with respect to hazard mitigation assistance in the State may submit to the President
an application for the delegation of the authority to administer the program. (2) Criteria -The President, in consultation and coordination with States and local governments, shall establish
criteria for the approval of applications submitted under paragraph (1). The criteria shall include, at a minimum -(A) the demonstrated ability of the State to manage the grant program
under this section; (B) there being in effect an approved mitigation plan under section 5165 of this title; and (C) a demonstrated commitment to mitigation activities. (3) Approval -The
President shall approve an application submitted under paragraph (1) that meets the criteria established under paragraph (2). (4) Withdrawal of approval -If, after approving an application
of a State submitted under paragraph (1), the President determines that the State is not administering the hazard mitigation grant program established by this 30
section in a manner satisfactory to the President, the President shall withdraw the approval. (5) Audits -The President shall provide for periodic audits of the hazard mitigation grant
programs administered by States under this subsection. Sec. 405. Federal Facilities (42 U.S.C. 5171) (a) Repair, reconstruction, restoration or replacement of United States facilities
-The President may authorize any Federal agency to repair, reconstruct, restore, or replace any facility owned by the United States and under the jurisdiction of such agency which is
damaged or destroyed by any major disaster if he determines that such repair, reconstruction, restoration, or replacement is of such importance and urgency that it cannot reasonably
be deferred pending the enactment of specific authorizing legislation or the making of an appropriation for such purposes, or the obtaining of congressional committee approval. (b) Availability
of funds appropriated to agency for repair, reconstruction, restoration, or replacement of agency facilities -In order to carry out the provisions of this section, such repair, reconstruction,
restoration, or replacement may be begun notwithstanding a lack or an insufficiency of funds appropriated for such purpose, where such lack or insufficiency can be remedied by the transfer,
in accordance with law, of funds appropriated to that agency for another purpose. (c) Steps for mitigation of hazards -In implementing this section, Federal agencies shall evaluate the
natural hazards to which these facilities are exposed and shall take appropriate action to mitigate such hazards, including safe land-use and construction practices, in accordance with
standards prescribed by the President. Sec. 406. Repair, Restoration, and Replacement of Damaged Facilities (42 U.S.C. 5172)* (a) Contributions -(1) In general -The President may make
contributions -(A) to a State or local government for the repair, restoration, reconstruction, or replacement of a public facility damaged or destroyed by a major disaster and for associated
expenses incurred by the government; and (B) subject to paragraph (3), to a person that owns or operates a private nonprofit facility damaged or destroyed by a major disaster for the
repair, restoration, reconstruction, or replacement of the facility and for associated expenses incurred by the person. 31
(2) Associated expenses -For the purposes of this section, associated expenses shall include -(A) the costs of mobilizing and employing the National Guard for performance of eligible
work; (B) the costs of using prison labor to perform eligible work, including wages actually paid, transportation to a worksite, and extraordinary costs of guards, food, and lodging;
and (C) base and overtime wages for the employees and extra hires of a State, local government, or person described in paragraph (1) that perform eligible work, plus fringe benefits
on such wages to the extent that such benefits were being paid before the major disaster. (3) Conditions for assistance to private nonprofit facilities -(A) In general -The President
may make contributions to a private nonprofit facility under paragraph (1)(B) only if -(i) the facility provides critical services (as defined by the President) in the event of a major
disaster; or (ii) the owner or operator of the facility -(I) has applied for a disaster loan under section section 7(b) of the Small Business Act (15 U.S.C. 636(b)); and (II) (aa) has
been determined to be ineligible for such a loan; or (bb) has obtained such a loan in the maximum amount for which the Small Business Administration determines the facility is eligible.
(B) Definition of critical services -In this paragraph, the term “critical services” includes power, water (including water provided by an irrigation organization or facility), sewer,
wastewater treatment, communications, education, and emergency medical care. (4) Notification to Congress -Before making any contribution under this section in an amount greater than
$20,000,000, the President shall notify (A) the Committee on Environment and Public Works of the Senate; (B) the Committee on Transportation and Infrastructure of the House of Representatives;
(C) the Committee on Appropriations of the Senate; and (D) the Committee on Appropriations of the House of Representatives. (b) Federal Share -(1) Minimum federal share -Except as provided
in paragraph (2), the Federal share of assistance under this section shall be not less than 75 percent of the eligible cost of repair, restoration, reconstruction, or replacement carried
out under this section. 32
Note: Paragraph (2) takes effect after FEMA has promulgated an implementing regulation. (2) Reduced federal share -The President shall promulgate regulations to reduce the Federal share
of assistance under this section to not less than 25 percent in the case of the repair, restoration, reconstruction, or replacement of any eligible public facility or private nonprofit
facility following an event associated with a major disaster -(A) that has been damaged, on more than one occasion within the preceding 10-year period, by the same type of event; and
(B) the owner of which has failed to implement appropriate mitigation measures to address the hazard that caused the damage to the facility. (c) Large In-Lieu Contributions -(1) For
public facilities -(A) In general -In any case in which a State or local government determines that the public welfare would not best be served by repairing, restoring, reconstructing,
or replacing any public facility owned or controlled by the State or local government, the State or local government may elect to receive, in lieu of a contribution under subsection
(a)(1)(A), a contribution in an amount equal to 90 percent of the Federal share of the Federal estimate of the cost of repairing, restoring, reconstructing, or replacing the facility
and of management expenses. (B) Use of funds -Funds contributed to a State or local government under this paragraph may be used -(i) to repair, restore, or expand other selected public
facilities; (ii) to construct new facilities; or (iii)to fund hazard mitigation measures that the State or local government determines to be necessary to meet a need for governmental
services and functions in the area affected by the major disaster. (C) Limitations -Funds made available to a State or local government under this paragraph may not be used for -(i)
any public facility located in a regulatory floodway (as defined in section 59.1 of title 44, Code of Federal Regulations (or a successor regulation)); or (ii) any uninsured public facility
located in a special flood hazard area identified by the Director of the Federal Emergency Management Agency under the National Flood Insurance Act of 1968 (42 U.S.C. 4001 et seq.).
33
(2) For private nonprofit facilities -(A) In general -In any case in which a person that owns or operates a private nonprofit facility determines that the public welfare would not best
be served by repairing, restoring, reconstructing, or replacing the facility, the person may elect to receive, in lieu of a contribution under subsection (a)(1)(B), a contribution in
an amount equal to 75 percent of the Federal share of the Federal estimate of the cost of repairing, restoring, reconstructing, or replacing the facility and of management expenses.
(B) Use of funds -Funds contributed to a person under this paragraph may be used -(i) to repair, restore, or expand other selected private nonprofit facilities owned or operated by the
person; (ii) to construct new private nonprofit facilities to be owned or operated by the person; or (iii)to fund hazard mitigation measures that the person determines to be necessary
to meet a need for the person's services and functions in the area affected by the major disaster. (C) Limitations -Funds made available to a person under this paragraph may not be used
for--(i) any private nonprofit facility located in a regulatory floodway (as defined in section 59.1 of title 44, Code of Federal Regulations (or a successor regulation)); or (ii) any
uninsured private nonprofit facility located in a special flood hazard area identified by the Director of the Federal Emergency Management Agency under the National Flood Insurance Act
of 1968 (42 U.S.C. 4001 et seq.). (d) Flood insurance -(1) Reduction of Federal assistance -If a public facility or private nonprofit facility located in a special flood hazard area
identified for more than 1 year by the Director pursuant to the National Flood Insurance Act of 1968 (42 U.S.C. 4001 et seq.) is damaged or destroyed, after the 180th day following November
23, 1988, by flooding in a major disaster and such facility is not covered on the date of such flooding by flood insurance, the Federal assistance which would otherwise be available
under this section with respect to repair, restoration, reconstruction, and replacement of such facility and associated expenses shall be reduced in accordance with paragraph (2). 34
(2) Amount of reduction -The amount of a reduction in Federal assistance under this section with respect to a facility shall be the lesser of -(A) the value of such facility on the date
of the flood damage or destruction, or (B) the maximum amount of insurance proceeds which would have been payable with respect to such facility if such facility had been covered by flood
insurance under the National Flood Insurance Act of 1968 on such date. (3) Exception -Paragraphs (1) and (2) shall not apply to a private nonprofit facility which is not covered by flood
insurance solely because of the local government's failure to participate in the flood insurance program established by the National Flood Insurance Act. (4) Dissemination of information
-The President shall disseminate information regarding the reduction in Federal assistance provided for by this subsection to State and local governments and the owners and operators
of private nonprofit facilities who may be affected by such a reduction. Note: The following following version of subsection (e) remains in effect until the cost estimation procedures
established under paragraph (3) of the revised version of subsection 406(e) – see next subsection – take effect. (e) Net Eligible Cost – (1) General Rule – For purposes of this section,
the cost of repairing, restoring, reconstructing, or replacing a public facility or private nonprofit facility on the basis of the design of such facility as it existed immediately prior
to the major disaster and in conformity with current applicable codes, specifications, and standards (including floodplain management and hazard mitigation criteria required by the President
or by the Coastal Barrier Resources Act (16 U.S.C. 3501 et seq.)) shall, at a minimum, be treated as the net eligible cost of such repair, restoration, reconstruction, or replacement.
(2) Special Rule – In any case in which the facility being repaired, restored, reconstructed, or replaced, under this section was under construction on the dated of the major disaster,
the cost of repairing, restoring, reconstruction, or replacing such facility shall include, for purposes of this section, only those costs which, under the contract for such construction,
are the owner’s responsibility and not the contractor’s responsibility. 35
Note: The following version of subsection 406(e)(1) and (2) becomes effective when the procedures established by paragraph (3) of this subsection take effect. Subsection 406(e)(4) is
currently in effect. ( e ) Eligible Cost -(1) Determination -(A) In general -For the purposes of this section, the President shall estimate the eligible cost of repairing, restoring,
reconstructing, or replacing a public facility or private nonprofit facility--(i) on the basis of the design of the facility as the facility existed immediately before the major disaster;
and (ii) in conformity with codes, specifications, and standards (including floodplain management and hazard mitigation criteria required by the President or under the Coastal Barrier
Resources Act (16 U.S.C. 3501 et seq.)) applicable at the time at which the disaster occurred. (B) Cost estimation procedures -(i) In general -Subject to paragraph (2), the President
shall use the cost estimation procedures established under paragraph (3) to determine the eligible cost under this subsection. (ii) Applicability -The procedures specified in this paragraph
and paragraph (2) shall apply only to projects the eligible cost of which is equal to or greater than the amount specified in section 5189 of this title. (2) Modification of eligible
cost -(A) Actual cost greater than ceiling percentage of estimated cost -In any case in which the actual cost of repairing, restoring, reconstructing, or replacing a facility under this
section is greater than the ceiling percentage established under paragraph (3) of the cost estimated under paragraph (1), the President may determine that the eligible cost includes
a portion of the actual cost of the repair, restoration, reconstruction, or replacement that exceeds the cost estimated under paragraph (1). (B) Actual cost less than estimated cost
-(i) Greater than or equal to floor percentage of estimated cost -In any case in which the actual cost of repairing, restoring, reconstructing, or replacing a facility under this section
is less than 100 percent of the cost estimated under paragraph (1), but is greater than or equal to the floor percentage established under paragraph (3) of the cost estimated under paragraph
(1), the State or local government or person receiving funds under this section shall use the excess funds 36
to carry out cost-effective activities that reduce the risk of future damage, hardship, or suffering from a major disaster. (ii) Less than floor percentage of estimated cost -In any
case in which the actual cost of repairing, restoring, reconstructing, or replacing a facility under this section is less than the floor percentage established under paragraph (3) of
the cost estimated under paragraph (1), the State or local government or person receiving assistance under this section shall reimburse the President in the amount of the difference.
(C) No effect on appeals process -Nothing in this paragraph affects any right of appeal under section 5189a of this title. (3) Expert panel -(A) Establishment -Not later than 18 months
after October 30, 2000, the President, acting through the Director of the Federal Emergency Management Agency, shall establish an expert panel, which shall include representatives from
the construction industry and State and local government. (B) Duties -The expert panel shall develop recommendations concerning (i) procedures for estimating the cost of repairing, restoring,
reconstructing, or replacing a facility consistent with industry practices; and (ii) the ceiling and floor percentages referred to in paragraph (2). (C) Regulations -Taking into account
the recommendations
of the expert panel under subparagraph (B), the President shall promulgate regulations that establish (i) cost estimation procedures described in subparagraph (B)(i); and (ii) the ceiling
and floor percentages referred to in paragraph (2). (D) Review by President -Not later than 2 years after the date of promulgation of regulations under subparagraph (C) and periodically
thereafter, the President shall review the cost estimation procedures and the ceiling and floor percentages established under this paragraph. (E) Report to Congress -Not later than 1
year after the date of promulgation of regulations under subparagraph (C), 3 years after that date, and at the end of each 2-year period thereafter, the expert panel shall submit to
Congress a report on the appropriateness of the cost estimation procedures. (4) Special rule -In any case in which the facility being repaired, restored, reconstructed, or replaced under
this section was under construction on the date of the major disaster, the cost of repairing, restoring, reconstructing, or replacing the facility shall include, for the purposes of
this section, only 37
Note: The following Subsection 406(f) will be repealed when the regulation to implement section 324 has been promulgated. (f) Associated Expenses – For purposes of this section, associated
expenses include the following – (1) Necessary costs – Necessary costs of requesting, obtaining, and administering Federal assistance based on a percentage of assistance provided as
follows: (A) For an applicant whose net eligible costs equal $100,000, 3 percent of such net eligible costs. (B) For an applicant whose net eligible cost equal $100,000 or more but less
than $1,000,000, $3,000 plus 2 percent of such net eligible costs in excess of $100,000. (C) For an applicant whose net eligible costs equal $1,000,000 or more but less than $5,000,000,
$21,000 plus 1 percent of such net eligible costs in excess or $1,000,000. (D) For an applicant whose net eligible costs equal $5,000,000 or more, $61,000 plus 1/2 percent of such eligible
costs in excess of $5,000,000. (2) Extraordinary Costs – Extraordinary costs incurred by a a State for preparation of damage survey reports, final inspection reports, project applications,
final audits, and related field inspections by State employees, including overtime pay and per diem and travel expense of such employees, but not including pay for regular time of such
employees, based on the total amount of assistance provided under section 403, 404, 406, 407, 502, and 503 in such State in connection with the major disaster as follows. (A) If such
total amount is less than $100,000, 3 percent of such total amount. (B) If such total amount is $100,000 or more but less than $1,000,000, $3,000 plus 2 percent of such total amount
in excess of $100,000. (C) If such total amount is $1,000,000 or more but less than $5,000,000, $21,000 plus 1 percent of such total amount in excess of $1,000,000. (D) If such total
amount is $5,000,000 or more, $61,000 plus 1/2 per cent of such total amount in excess of $5,000,000. (3) Costs of National Guard – The costs of mobilizing and employing the National
Guard for performance of eligible work. 38
(4) Costs of Prison Labor – The costs of using prison labor to perform eligible work, including wages actually paid, transportation to a worksite, and extraordinary costs of guards,
food, and lodging. (5) Other Labor Costs – Base and overtime wages for an applicant’s employees and extra hires performing eligible work plus fringe benefits on such wages to the extent
that such benefits were being paid before the disaster. Sec. 407. Debris Removal (42 U.S.C. 5173)* (a) Presidential Authority -The President, whenever he determines it to be in the public
interest, is authorized -(1) through the use of Federal departments, agencies, and instrumentalities, to clear debris and wreckage resulting from a major disaster from publicly and privately
owned lands and waters; and (2) to make grants to any State or local government or owner or operator of a private non-profit facility for the purpose of removing debris or wreckage resulting
from a major disaster from publicly or privately owned lands and waters. (b) Authorization by State or local government; indemnification agreement -No authority under this section shall
be exercised unless the affected State or local government shall first arrange an unconditional authorization for removal of such debris or wreckage from public and private property,
and, in the case of removal of debris or wreckage from private property, shall first agree to indemnify the Federal Government against any claim arising from such removal. (c) Rules
relating to large lots -The President shall issue rules which provide for recognition of differences existing among urban, suburban, and rural lands in implementation of this section
so as to facilitate adequate removal of debris and wreckage from large lots. (d) Federal share -The Federal share of assistance under this section shall be not less than 75 percent of
the eligible cost of debris and wreckage removal carried out under this section. (e) Expedited Payments -(1) Grant Assistance – In making a grant under subsection (a)(2), the President
shall provide not less than 50 percent of the President’s initial estimate of the Federal share of assistance as an initial payment in accordance with paragraph (2). (2) Date of Payment
– Not later than 60 days after the date of the estimate described in paragraph (1) and not later than 90 days after the date on which 39
the State or local government or owner or operator of a private nonprofit facility applies for assistance under this section, an initial payment described in paragraph (1) shall be paid.
Sec. 408. Federal Assistance to Individuals and Households (42 U.S.C. 5174)* (a) In General -(1) Provision of assistance -In accordance with this section, the President, in consultation
with the Governor of a State, may provide financial assistance, and, if necessary, direct services, to individuals and households in the State who, as a direct result of a major disaster,
have necessary expenses and serious needs in cases in which the individuals and households are unable to meet such expenses or needs through other means. (2) Relationship to other assistance
-Under paragraph (1), an individual or household shall not be denied assistance under paragraph (1), (3), or (4) of subsection (c) solely on the basis that the individual or household
has not applied for or received any loan or other financial assistance from the Small Business Administration or any other Federal agency. (b) Housing Assistance -(1) Eligibility -The
President may provide financial or other assistance under this section to individuals and households to respond to the disaster-related housing needs of individuals and households who
are displaced from their predisaster primary residences or whose predisaster primary residences are rendered uninhabitable, or with respect to individuals with disabilities, rendered
inaccessible or uninhabitable, as a result of damage caused by a major disaster. (2) Determination of appropriate types of assistance -(A) In general -The President shall determine appropriate
types of housing assistance to be provided under this section to individuals and households described in subsection (a)(1) based on considerations of cost effectiveness, convenience
to the individuals and households, and such other factors as the President may consider appropriate. (B) Multiple types of assistance -One or more types of housing assistance may be
made available under this section, based on the suitability and availability of the types of assistance, to meet the needs of individuals and households in the particular disaster situation.
40
(c) Types of Housing Assistance -(1) Temporary housing -(A) Financial assistance -(i) In general -The President may provide financial assistance to individuals or households to rent
alternate housing accommodations, existing rental units, manufactured housing, recreational vehicles, or other readily fabricated dwellings. Such assistance may include the payment of
the cost of utilities, excluding telephone service. (ii) Amount -The amount of assistance under clause (i) shall be based on the fair market rent for the accommodation provided plus
the cost of any transportation, utility hookups, security deposits, or unit installation not provided directly by the President. (B) Direct assistance -(i) In general -The President
may provide temporary housing units, acquired by purchase or lease, directly to individuals or households who, because of a lack of available housing resources, would be unable to make
use of the assistance provided under subparagraph (A). (ii) Period of assistance -The President may not provide direct assistance under clause (i) with respect to a major disaster after
the end of the 18-month period beginning on the date of the declaration of the major disaster by the President, except that the President may extend that period if the President determines
that due to extraordinary circumstances an extension would be in the public interest. (iii)Collection of rental charges -After the end of the 18-month period referred to in clause (ii),
the President may charge fair market rent for each temporary housing unit provided. (2) Repairs -(A) In general -The President may provide financial assistance for -(i) the repair of
owner-occupied private residences, utilities, and residential infrastructure (such as a private access route) damaged by a major disaster to a safe and sanitary living or functioning
condition; and (ii) eligible hazard mitigation measures that reduce the likelihood of future damage to such residences, utilities, or infrastructure. (B) Relationship to other assistance
-A recipient of assistance provided under this paragraph shall not be required to show that the assistance can be met through other means, except insurance proceeds. 41
(3) Replacement -(A) In general -The President may provide financial assistance for the replacement of owner-occupied private residences damaged by a major disaster. (B) Applicability
of flood insurance requirement -With respect to assistance provided under this paragraph, the President may not waive any provision of Federal law requiring the purchase of flood insurance
as a condition of the receipt of Federal disaster assistance. (4) Permanent or semi-permanent housing construction -The President may provide financial assistance or direct assistance
to individuals or households to construct permanent or semi-permanent housing in insular areas outside the continental United States and in other locations in cases in which (A) no alternative
housing resources are available; and (B) the types of temporary housing assistance described in paragraph (1) are unavailable, infeasible, or not cost-effective. (d) Terms and Conditions
Relating to Housing Assistance -(1) Sites -(A) In general -Any readily fabricated dwelling provided under this section shall, whenever practicable, be located on a site that -(i) is
complete with utilities; (ii) meets the physical accessibility requirements for individuals with disabilities; and (iii) is provided by the State or local government, by the owner of
the site, or by the occupant who was displaced by the major disaster. (B) Sites provided by the President -A readily fabricated dwelling may be located on a site provided by the President
if the President determines that such a site would be more economical or accessible. (2) Disposal of units -(A) Sale to occupants -(i) In general -Notwithstanding any other provision
of law, a temporary housing unit purchased under this section by the President for the purpose of housing disaster victims may be sold directly to the individual or household who is
occupying the unit if the individual or household lacks permanent housing. (ii) Sale price -A sale of a temporary housing unit under clause (i) shall be at a price that is fair and equitable.
42
(iii)Deposit of proceeds -Notwithstanding any other provision of law, the proceeds of a sale under clause (i) shall be deposited in the appropriate Disaster Relief Fund account. (iv)Hazard
and flood insurance -A sale of a temporary housing unit under clause (i) shall be made on the condition that the individual or household purchasing the housing unit agrees to obtain
and maintain hazard and flood insurance on the housing unit. (v) Use of GSA services -The President may use the services of the General Services Administration to accomplish a sale under
clause (i). (B) Other methods of disposal -If not disposed of under subparagraph (A), a temporary housing unit purchased under this section by the President for the purpose of housing
disaster victims -(i) may be sold to any person; or (ii) may be sold, transferred, donated, or otherwise made available directly to a State or other governmental entity or to a voluntary
organization for the sole purpose of providing temporary housing to disaster victims in major major disasters and emergencies if, as a condition of the sale, transfer, or donation, the
State, other governmental agency, or voluntary organization agrees -(a) to comply with the nondiscrimination provisions of section 5151 of this title; and (b) to obtain and maintain
hazard and flood insurance on the housing unit. (e) Financial Assistance To Address Other Needs -(1) Medical, dental, and funeral expenses -The President, in consultation with the Governor
of a State, may provide financial assistance under this section to an individual or household in the State who is adversely affected by a major disaster to meet disaster-related medical,
dental, and funeral expenses. (2) Personal property, transportation, and other expenses -The President, in consultation with the Governor of a State, may provide financial assistance
under this section to an individual or household described in paragraph (1) to address personal property, transportation, and other necessary expenses or serious needs resulting from
the major disaster. 43
(f) State Role -(1) Financial assistance to address other needs -(A) Grant to state -Subject to subsection (g), a Governor may request a grant from the President to provide financial
assistance to individuals and households in the State under subsection (e). (B) Administrative costs -A State that receives a grant under subparagraph (A) may expend not more than 5
percent of the amount of the grant for the administrative costs of providing financial assistance to individuals and households in the State under subsection (e). (2) Access to records
-In providing assistance to individuals and households under this section, the President shall provide for the substantial and ongoing involvement of the States in which the individuals
and households are located, including by providing to the States access to the electronic records of individuals and households receiving assistance under this section in order for the
States to make available any additional State and local assistance to the individuals and households. households. (g) Cost Sharing -(1) Federal share -Except as provided in paragraph
(2), the Federal share of the costs eligible to be paid using assistance provided under this section shall be 100 percent. (2) Financial assistance to address other needs -In the case
of financial assistance provided under subsection (e) -(A) the Federal share shall be 75 percent; and (B) the non-Federal share shall be paid from funds made available by the State.
(h) Maximum Amount of Assistance -(1) In general -No individual or household shall receive financial assistance greater than $25,000 under this section with respect to a single major
disaster. (2) Adjustment of limit -The limit established under paragraph (1) shall be adjusted annually to reflect changes in the Consumer Price Index for All Urban Consumers published
by the Department of Labor. (i) Verification Measures -In carrying out this section, the President shall develop a system, including an electronic database, that shall allow the President,
or the designee of of the President, to 44
(1) verify the identity and address of recipients of assistance under this section to provide reasonable assurance that payments are made only to an individual or household that is eligible
for such assistance; (2) minimize the risk of making duplicative payments or payments for fraudulent claims under this section; (3) collect any duplicative payment on a claim under this
section, or reduce the amount of subsequent payments to offset the amount of any such duplicate payment; (4) provide instructions to recipients of assistance under this section regarding
the proper use of any such assistance, regardless of how such assistance is distributed; and (5) conduct an expedited and simplified review and appeal process for an individual or household
whose application for assistance under this section is denied. (j) Rules and Regulations -The President shall prescribe rules and regulations to carry out this section, including criteria,
standards, and procedures for determining eligibility for assistance. Sec. 410. Unemployment Assistance (42 U.S.C. 5177) (a) Benefit assistance -The President is authorized to provide
to any individual unemployed as a result of a major disaster such benefit assistance as he deems appropriate while such individual is unemployed for the weeks of such unemployment with
respect to which the individual is not entitled to any other unemployment compensation (as that term is defined in section 85(b) of the Internal Revenue Code of 1986) or a waiting period
credit. Such assistance as the President shall provide shall be available to an individual as long as the individual's unemployment caused by the major disaster continues or until the
individual is reemployed in a suitable position, but no longer than 26 weeks after the major disaster is declared. Such assistance for a week of unemployment shall not exceed the maximum
weekly amount authorized under the unemployment compensation law of the State in which the disaster occurred. The President is directed to provide such assistance through agreements
with States which, in his judgment, have an adequate system for administering such assistance through existing State agencies. (b) Reemployment assistance (1) State assistance -A State
shall provide, without reimbursement from any funds provided under this Act, reemployment assistance services under any other law administered by the State to individuals receiving benefits
under this section. 45
(2) Federal assistance -The President may provide reemployment assistance services under other laws to individuals who are unemployed as a result of a major disaster and who reside in
a State which does not provide such services. Sec. 412. Food Coupons and Distribution (42 U.S.C. 5179) (a) Persons eligible; terms and conditions -Whenever the President determines that,
as a result of a major disaster, low-income households are unable to purchase adequate amounts of nutritious food, he is authorized, under such terms and conditions as he may prescribe,
to distribute through the Secretary of Agriculture or other appropriate agencies coupon allotments to such households pursuant to the provisions of the Food Stamp Act of 1964 (P.L. 91-671;
84 Stat. 2048), 7 U.S.C. 2011 et seq., and to make surplus commodities available pursuant to the provisions of this Act. (b) Duration of assistance; factors considered -The President,
through the Secretary of Agriculture or other appropriate agencies, is authorized to continue to make such coupon allotments and surplus commodities available to such households for
so long as he determines necessary, taking into consideration such factors as he deems appropriate, including the consequences of the major disaster on the earning power of the households,
to which assistance is made available under this section. (c) Food Stamp Act provisions unaffected -Nothing in this section shall be construed as amending or otherwise changing the provisions
of the Food Stamp Act of 1964, 7 U.S.C. 2011 et seq., except as they relate to the availability of food stamps in an area affected by a major disaster. Sec. 413. Food Commodities (42
U.S.C. 5180) (a) Emergency mass feeding -The President is authorized and directed to assure that adequate stocks of food will be ready and conveniently available for emergency mass feeding
or distribution in any area of the United States which suffers a major disaster or emergency. (b) Funds for purchase of food commodities -The Secretary of Agriculture shall utilize utilize
funds appropriated under section 612c of title 7, to purchase food commodities necessary to provide adequate supplies for use in any area of the United States in the event of a major
disaster or emergency in such area. Sec. 414. Relocation Assistance (42 U.S.C. 5181) Notwithstanding any other provision of law, no person otherwise eligible for any kind of replacement
housing payment under the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, P.L. 91-646, 42 U.S.C. 4601 et seq., shall be denied such 46
eligibility as a result of his being unable, because of a major disaster as determined by the President, to meet the occupancy requirements set by such Act. Sec. 415. Legal Services
(42 U.S.C. 5182) Whenever the President determines that low-income individuals are unable to secure legal services adequate to meet their needs as a consequence of a major disaster,
consistent with the goals of the programs authorized by this Act, the President shall assure that such programs are conducted with the advice and assistance of appropriate Federal agencies
and State and local bar associations. Sec. 416. Crisis Counseling Assistance and Training (42 U.S.C. 5183) The President is authorized to provide professional counseling services, including
financial assistance to State or local agencies or private mental health organizations to provide such services or training of disaster workers, to victims of major disasters in order
to relieve mental health problems caused or aggravated by such major disaster or its aftermath. aftermath. Sec. 417. Community Disaster Loans (42 U.S.C. 5184)* (a) In General -The President
is authorized to make loans to any local government which may suffer a substantial loss of tax and other revenues as a result of a major disaster, and has demonstrated a need for financial
assistance in order to perform its governmental functions. (b) Amount -The amount of any such loan shall be based on need, shall not exceed (1) 25 percent of the annual operating budget
of that local government for the fiscal year in which the major disaster occurs, and shall not exceed $5,000,000; or (2) if the loss of tax and other revenues of the local government
as a result of the major disaster is at least 75 percent of the annual operating budget of that local government for the fiscal year in which the major disaster occurs, 50 percent of
the annual operating budget of that local government for the fiscal year in which the major disaster occurs, and shall not exceed $5,000,000. (c) Repayment -(1) Cancellation -Repayment
of of all or any part of such loan to the extent that revenues of the local government during the three full fiscal year period following the major disaster are insufficient to meet
the operating budget of the local government, including additional disaster-related expenses of a municipal operation character shall be cancelled. 47
(2) Condition on continuing eligibility -A local government shall not be eligible for further assistance under this section during any period in which the local government is in arrears
with respect to a required repayment of a loan under this section. (d) Effect on Other Assistance -Any loans made under this section shall not reduce or otherwise affect any grants or
other assistance under this Act. Sec. 418. Emergency Communications (42 U.S.C. 5185) The President is authorized during, or in anticipation of an emergency or major disaster to establish
temporary communications systems and to make such communications available to State and local government officials and other persons as he deems appropriate. Sec. 419. Emergency Public
Transportation (42 U.S.C. 5186) The President is authorized to provide temporary public transportation service in an area affected by a major disaster to meet emergency needs and to
provide transportation to governmental offices, supply centers, stores, post offices, schools, major employment centers, and such other places as may be necessary in order to enable
the community to resume its normal pattern of life as soon as possible. Sec. 420. Fire Management Assistance (42 U.S.C. 5187) (a) In General -The President is authorized to provide assistance,
including grants, equipment, supplies, and personnel, to any State or local government for the mitigation, management, and control of any fire on public or private forest land or grassland
that threatens such destruction as would constitute a major disaster. (b) Coordination with State and Tribal Departments of Forestry -In providing assistance under this section, the
President shall coordinate with State and tribal departments of forestry. (c) Essential Assistance -In providing assistance under this section, the President may use the authority provided
under section 5170b of this title. (d) Rules and Regulations -The President shall prescribe such rules and regulations as are necessary to carry out this section. Sec. 421. Timber Sale
Contracts (42 U.S.C. 5188) (a) Cost-sharing arrangement -Where an existing timber sale contract between the Secretary of Agriculture or the Secretary of the Interior and a timber purchaser
does not provide relief from major physical change not due to negligence of the purchaser prior to approval of construction of any section of specified road or of any other specified
development facility and, as a result of a major disaster, a major 48
physical change results in additional construction work in connection with such road or facility by such purchaser with an estimated cost, as determined by the appropriate Secretary,
(1) of more than $ 1,000 for sales under one million board feet, (2) of more than $1 per thousand board feet for sales of one to three million board feet, or (3) of more than $3,000
for sales over three million board feet, such increased construction cost shall be borne by the United States. (b) Cancellation of authority -If the appropriate Secretary determines
that damages are so great that restoration, reconstruction, or construction is not practical under the cost-sharing arrangement authorized by subsection (a) of this section, he may allow
cancellation of a contract entered into by his Department notwithstanding contrary provisions therein. (c) Public notice of sale -The Secretary of Agriculture is authorized to reduce
to seven days the minimum period of advance public notice required by section 476 of title 16, in connection with the sale of timber from national forests, whenever the Secretary determines
that (1) the sale of such timber will assist in the construction of any area of a State damaged by a major disaster, (2) the sale of such timber will assist in sustaining the economy
of such area, or (3) the sale of such timber is necessary to salvage the value of timber damaged in such major disaster or to protect undamaged timber. (d) State grants for removal of
damaged timber; reimbursement of expenses limited to salvage value of removed timber -The President, when he determines it to be in the public interest, is authorized to make grants
to any State or local government for the purpose of removing from privately owned lands timber damaged as a result of a major disaster, and such State or local government is authorized
upon application, to make payments out of such grants to any person for reimbursement of expenses actually incurred by such person in the removal of damaged timber, not to exceed the
amount that such expenses exceed the salvage value of such timber. Sec. 422. Simplified Procedures (42 U.S.C. 5189) If the Federal estimate of the cost of -(1) repairing, restoring,
reconstructing, or replacing under section 5172 of this title any damaged or destroyed public facility or private nonprofit facility, (2) emergency assistance under section 5170b or
5192 of this title, or (3) debris removed under section 5173 of this title, is less than $35,000, the President (on application of the State or local government or the owner or operator
of the private nonprofit facility) may make the contribution to such State
or local government or owner or operator under section 5170b, 5172, 5173, or 5192 of this title, as the case may be, on the basis of such Federal estimate. Such $35,000 amount shall
be adjusted annually to reflect changes in the Consumer Price Index for All Urban Consumers published by the Department of Labor. 49
Sec. 423. Appeals of Assistance Decisions (42 U.S.C. 5189a) (a) Right of appeal -Any decision regarding eligibility for, from, or amount of assistance under this title may be appealed
within 60 days after the date on which the applicant for such assistance is notified of the award or denial of award of such assistance. (b) Period for decision -A decision regarding
an appeal under subsection (a) shall be rendered within 90 days after the date on which the Federal official designated to administer such appeals receives notice of such appeal. (c)
Rules -The President shall issue rules which provide for the fair and impartial consideration of appeals under this section. Sec. 424. Date of Eligibility; Expenses Incurred Before Date
of Disaster (42 U.S.C. 5189b) Eligibility for Federal assistance under this title shall begin on the date of the occurrence of the event which results in a declaration by the President
that a major disaster exists; except that reasonable expenses which are incurred in anticipation of and immediately preceding such event may be eligible for Federal assistance under
this Act. Sec. 425. Transportation Assistance to Individuals and Households (42 U.S.C. 5189c)* The President may provide transportation assistance to relocate individuals displaced from
their predisaster primary residences as a result of an incident declared under this Act or otherwise transported from their predisaster primary residences under section 403(a)(3) or
502, to and from alternative locations for short or long-term accommodation or to return an individual or household to their predisaster primary residence or alternative location, as
determined necessary by the President. Sec. 426. Case Management Services (42 U.S.C. 5189d)* The President may provide case management services, including financial assistance, to State
or local government agencies or qualified private organizations to provide such services, to victims of major disasters to identify and address unmet needs. Sec. 427. Essential Service
Providers (42 U.S.C. C. 5189e)* (a) Definition -In this section, the term ‘essential service provider’ means an entity that (1) provides -(A) telecommunications service; 50
(B) electrical power; (C) natural gas; (D) water and sewer services; or (E) any other essential service, as determined by the President; (2) is -(A) a municipal entity; (B) a nonprofit
entity; or (C) a private, for profit entity; and (3) is contributing to efforts to respond to an emergency or major disaster. (b) Authorization for accessibility -Unless exceptional
circumstances apply, in an emergency or major disaster, the head of a Federal agency, to the greatest extent practicable, shall not -(1) deny or impede access to the disaster site to
an essential service provider whose access is necessary to restore and repair an essential service; or (2) impede the restoration or repair of the services described in subsection (a)(1).
(c) Implementation -In implementing this section, the head of a Federal agency shall follow all applicable Federal laws, regulation, and policies. Title V --Emergency Assistance Programs
Sec. 501. Procedure for Declaration (42 U.S.C. 5191) (a) Request and declaration -All requests for a declaration by the President that an emergency exists shall be made by the Governor
of the affected State. Such a request shall be based on a finding that the situation is of such severity and magnitude that effective response is beyond the capabilities of the State
and the affected local governments and that Federal assistance is necessary. As a part of such request, and as a prerequisite to emergency assistance under this Act, the Governor shall
take appropriate action under State law and direct execution of the State's emergency plan. The Governor shall furnish information describing the State and local efforts and resources
which have been or will be used to alleviate the emergency, and will define the type and extent of Federal aid required. Based upon such Governor's request, the President may declare
that an emergency exists. (b) Certain emergencies involving Federal primary responsibility -The President may exercise any authority vested in him by section 502 or section 503 with
respect to an emergency when he determines that an emergency exists for which the primary responsibility for response rests with the United States because the emergency 51
involves a subject area for which, under the Constitution or laws of the United States, the United States exercises exclusive or preeminent responsibility and authority. In determining
whether or not such an emergency exists, the President shall consult the Governor of any affected State, if practicable. The President's determination may be made without regard to subsection
(a). Sec. 502. Federal emergency assistance (42 U.S.C. 5192)* (a) Specified -In any emergency, the President may -(1) direct any Federal agency, with or without reimbursement, to utilize
its authorities and the resources granted to it under Federal law (including personnel, equipment, supplies, facilities, and managerial, technical and advisory services) in support of
State and local emergency assistance efforts to save lives, protect property and public health and safety, and lessen or avert the threat of a catastrophe, including precautionary evacuations;
(2) coordinate all disaster relief assistance (including voluntary assistance) provided by Federal agencies, private organizations, and State and local governments; (3) provide technical
and advisory assistance to affected State and local governments for -(A) the performance of essential community services; (B) issuance of warnings of risks or hazards; (C) public health
and safety information, including dissemination of such information; (D) provision of health and safety measures; and (E) management, control, and reduction of immediate threats to public
health and safety; (4) provide emergency assistance through Federal agencies; (5) remove debris in accordance with the terms and conditions of section 407; (6) provide assistance in
accordance with section 408; (7) assist State and local governments in the distribution of medicine, food, and other consumable supplies, and emergency assistance; and (8) provide accelerated
Federal assistance and Federal support where necessary to save lives, prevent human suffering, or mitigate severe damage, which may be provided in the absence of a specific request and
in which case the President -52
(A) shall, to the fullest extent practicable, promptly notify and coordinate with a State in which such assistance or support is provided; and (B) shall not, in notifying and coordinating
with a State under subparagraph (A), delay or impede the rapid deployment, use, and distribution of critical resources to victims of an emergency. (b) General -Whenever the Federal assistance
provided under subsection (a) with respect to an emergency is inadequate, the President may also provide assistance with respect to efforts to save lives, protect property and public
health and safety, and lessen or avert the threat of a catastrophe, including precautionary evacuations. (c) Guidelines -The President shall promulgate and maintain guidelines to assist
Governors in requesting the declaration of an emergency in advance of a natural or man-made disaster (including for the purpose of seeking assistance with special needs and other evacuation
efforts) under this section by defining the types of assistance available to affected States and the circumstances under which such requests are likely to be approved. Sec. 503. Amount
of Assistance (42 U.S.C. 5193) (a) Federal share -The Federal share for assistance provided under this title shall be equal to not less than 75 percent of the eligible costs. (b) Limit
on amount of assistance– (1) In general -Except as provided in paragraph (2), total assistance provided under this title for a single emergency shall not exceed $5,000,000. (2) Additional
assistance -The limitation described in paragraph (1) may be exceeded when the President determines that -(A) continued emergency assistance is immediately required; (B) there is a continuing
and immediate risk to lives, property, public health or safety; and (C) necessary assistance will not otherwise be provided on a timely basis. (3) Report -Whenever the limitation described
in paragraph (1) is exceeded, the President shall report to the Congress on the nature and extent of emergency assistance requirements and shall propose additional legislation if necessary.
53
Title VI --Emergency Preparedness Sec. 601. Declaration of policy (42 U.S.C. 5195) The purpose of this title is to provide a system of emergency preparedness for the protection of life
and property in the United States from hazards and to vest responsibility for emergency preparedness jointly in the Federal Government and the States and their political subdivisions.
The Congress recognizes that the organizational structure established jointly by the Federal Government and the States and their political subdivisions for emergency preparedness purposes
can be effectively utilized to provide relief and assistance to people in areas of the United States struck by a hazard. The Federal Government shall provide necessary direction, coordination,
and guidance, and shall provide necessary assistance, as authorized in this title so that a comprehensive emergency preparedness system exists for all hazards. Sec. 602. Definitions
(42 U.S.C. 5195a) (a) Definitions -For purposes of this title only: (1) Hazard -The term “hazard” means an emergency or disaster resulting from– (A) a natural disaster; or (B) an accidental
or man-caused event. (2) Natural disaster -The term “natural disaster” means any hurricane, tornado, storm, flood, high water, wind-driven water, tidal wave, tsunami, earthquake, volcanic
eruption, landslide, mudslide, snowstorm, drought, fire, or other catastrophe in any part of the United States which causes, or which may cause, substantial damage or injury to civilian
property or persons. (3) Emergency preparedness -The term “emergency preparedness” means all those activities and measures designed or undertaken to prepare for or minimize the effects
of a hazard upon the civilian population, to deal with the immediate emergency conditions which would be created by the hazard, and to effectuate emergency repairs to, or the emergency
restoration of, vital utilities and facilities destroyed or damaged by the hazard. Such term includes the following: (A) Measures to be undertaken in preparation for anticipated hazards
(including the establishment of appropriate organizations, operational plans, and supporting agreements, the recruitment and training of personnel, the conduct of research, the procurement
and stockpiling of necessary materials and supplies, the provision of suitable warning systems, the construction or preparation of shelters, 54
shelter areas, and control centers, and, when appropriate, the nonmilitary evacuation of the civilian population). (B) Measures to be undertaken during a hazard (including the enforcement
of passive defense regulations prescribed by duly established military or civil authorities, the evacuation of personnel to shelter areas, the control of traffic and panic, and the control
and use of lighting and civil communications). (C) Measures to be undertaken following a hazard (including activities for fire fighting, rescue, emergency medical, health and sanitation
services, monitoring for specific dangers of special weapons, unexploded bomb reconnaissance, essential debris clearance, emergency welfare measures, and immediately essential emergency
repair or restoration of damaged vital facilities). (4) Organizational equipment -The term “organizational equipment” means equipment determined by the Director to be necessary to an
emergency preparedness organization, as distinguished from personal equipment, and of such such a type or nature as to require it to be financed in whole or in part by the Federal Government.
Such term does not include those items which the local community normally uses in combating local disasters, except when required in unusual quantities dictated by the requirements of
the emergency preparedness plans. (5) Materials -The term “materials” includes raw materials, supplies, medicines, equipment, component parts and technical information and processes
necessary for emergency preparedness. (6) Facilities -The term “facilities”, except as otherwise provided in this title, includes buildings, shelters, utilities, and land. (7) Director
-The term “Director” means the Director of the Federal Emergency Management Agency. (8) Neighboring countries -The term “neighboring countries” includes Canada and Mexico. (9) United
States and States -The terms “United States “ and “States” includes the several States, the District of Columbia , and territories and possessions of the United States . (10) State -The
term “State” includes interstate emergency preparedness authorities established under section 5196(h) of this title. (b) Cross Reference -The terms “national defense” and “defense,”
as used in the Defense Production Act of 1950 (50 U.S.C. App. 2061 et seq.), includes [include] emergency preparedness activities conducted pursuant to this title. 55
Sec. 603. Administration of Title (42 U.S.C. 5195b) This title shall be carried out by the Director of the Federal Emergency Management Agency. SUBTITLE A – POWERS AND DUTIES Sec. 611.
Detailed Functions or Administration (42 U.S.C. 5196)* (a) In General -In order to carry out the policy described in section 5195 of this title, the Director shall have the authorities
provided in this section. (b) Federal Emergency Response Plans and Programs -The Director may prepare Federal response plans and programs for the emergency preparedness of the United
States and sponsor and direct such plans and programs. To prepare such plans and programs and coordinate such plans and programs with State efforts, the Director may request such reports
on State plans and operations for emergency preparedness as may be necessary to keep the President, Congress, and the States advised of the status of emergency preparedness in the United
States. (c) Delegation of emergency preparedness responsibilities -With the approval of the President, the Director may delegate to other departments and agencies of the Federal Government
appropriate emergency preparedness responsibilities and review and coordinate the emergency preparedness activities of the departments and agencies with each other and with the activities
of the States and neighboring countries. (d) Communications and warnings -The Director may make appropriate provision for necessary emergency preparedness communications and for dissemination
of warnings to the civilian population of a hazard. (e) Emergency preparedness measures -The Director may study and develop emergency preparedness measures designed to afford adequate
protection of life and property, including -(1) research and studies as to the best methods of treating the effects of hazards; (2) developing shelter designs and materials for protective
covering or construction; (3) developing equipment or facilities and effecting the standardization thereof to meet emergency preparedness requirements; and (4) plans that take into account
the needs of individuals with pets and service animals prior to, during, and following a major disaster or emergency. 56
(f) Training programs -(1) The Director may -(A) conduct or arrange, by contract or otherwise, for training programs for the instruction of emergency preparedness officials and other
persons in the organization, operation, and techniques of emergency preparedness; (B) conduct or operate schools or including the payment of travel expenses, in accordance with subchapter
I of chapter 57 of title 5, and the Standardized Government Travel Regulations, and per diem allowances, in lieu of subsistence for trainees in attendance or the furnishing of subsistence
and quarters for trainees and instructors on terms prescribed by the Director; and (C) provide instructors and training aids as necessary. (2) The terms prescribed by the Director for
the payment of travel expenses and per diem allowances authorized by this subsection shall include a provision that such payment shall not exceed one-half of the total cost of such expenses.
(3) The Director may lease real property required for the purpose of carrying out this subsection, but may not acquire fee title to property unless specifically authorized by law. (g)
Public dissemination of emergency preparedness information -The Director may publicly disseminate appropriate emergency preparedness information by all appropriate means. (h) Emergency
preparedness compacts -(1) The Director shall establish a program supporting the development of emergency preparedness compacts for acts of terrorism, disasters, and emergencies throughout
the Nation, by -(A) identifying and cataloging existing emergency preparedness compacts for acts of terrorism, disasters, and emergencies at the State and local levels of government;
(B) disseminating to State and local governments examples of best practices in the development of emergency preparedness compacts and models of existing emergency preparedness compacts,
including agreements involving interstate jurisdictions; and (C) completing an inventory of Federal response capabilities for acts of terrorism, disasters, and emergencies, making such
such inventory available to appropriate Federal, State, and local government officials, and ensuring that such inventory is as current and accurate as practicable. 57
(2) The Director may -(A) assist and encourage the States to negotiate and enter into interstate emergency preparedness compacts; (B) review the terms and conditions of such proposed
compacts in order to assist, to the extent feasible, in obtaining uniformity between such compacts and consistency with Federal emergency response plans and programs; (C) assist and
coordinate the activities under such compacts; and (D) aid and assist in encouraging reciprocal emergency preparedness legislation by the States which will permit the furnishing of mutual
aid for emergency preparedness purposes in the event of a hazard which cannot be adequately met or controlled by a State or political subdivision thereof threatened with or experiencing
a hazard. (3) A copy of each interstate emergency preparedness compact shall be transmitted promptly to the Senate and the House of Representatives. The consent of Congress is deemed
to be granted to each such compact upon the expiration of the 60-day period beginning on the date on on which the compact is transmitted to Congress. (4) Nothing in this subsection shall
be construed as preventing Congress from disapproving, or withdrawing at any time its consent to, any interstate emergency preparedness compact. (i) Materials and facilities -(1) The
Director may procure by condemnation or otherwise, construct, lease, transport, store, maintain, renovate or distribute materials and facilities for emergency preparedness, with the
right to take immediate possession thereof. (2) Facilities acquired by purchase, donation, or other means of transfer may be occupied, used, and improved for the purposes of this title
before the approval of title by the Attorney General as required by section 255 of title 40 . (3) The Director may lease real property required for the purpose of carrying out the provisions
of this subsection, but shall not acquire fee title to property unless specifically authorized by law. (4) The Director may procure and maintain under this subsection radiological, chemical,
bacteriological, and biological agent monitoring and decontamination devices and distribute such devices by loan or grant to the States for emergency preparedness purposes, under such
terms and conditions as the Director shall prescribe. 58
(j) Financial contributions -(1) The Director may make financial contributions, on the basis of programs or projects approved by the Director, to the States for emergency preparedness
purposes, including the procurement, construction, leasing, or renovating of materials and facilities. Such contributions shall be made on such terms or conditions as the Director shall
prescribe, including the method of purchase, the quantity, quality, or specifications of the materials or facilities, and such other factors or care or treatment to assure the uniformity,
availability, and good condition of such materials or facilities. (2) The Director may make financial contributions, on the basis of programs or projects approved by the Director, to
the States and local authorities for animal emergency preparedness purposes, including the procurement, construction, leasing, or renovating of emergency shelter facilities and materials
that will accommodate people with pets and service animals. (3) No contribution may be made under this subsection for the procurement of land or for the purchase of personal equipment
for State or local emergency preparedness workers. (4) The amounts authorized to be contributed by the Director to each State for organizational equipment shall be equally matched by
such State from any source it determines is consistent with its laws. (5) Financial contributions to the States for shelters and other protective facilities shall be determined by taking
the amount of funds appropriated or available to the Director for such facilities in each fiscal year and apportioning such funds among the States in the ratio which the urban population
of the critical target areas (as determined by the Director) in each State, at the time of the determination, bears to the total urban population of the critical target areas of all
of the States. (6) The amounts authorized to be contributed by the Director to each State for such shelters and protective facilities shall be equally matched by such State from any
source it determines is consistent with its laws and, if not matched within a reasonable time, the Director may reallocate such amounts to other States under the formula described in
paragraph (4). The value of any land contributed by any State or political subdivision thereof shall be excluded from the computation of the State share under this subsection. (7) The
amounts paid to any State under this subsection shall be expended solely in carrying out the purposes set forth herein and in accordance with State emergency preparedness programs or
projects approved by the Director. The Director shall make no contribution toward the cost of any program or project for the procurement, construction, or leasing of any 59
facility which (A) is intended for use, in whole or in part, for any purpose other than emergency preparedness, and (B) is of such kind that upon completion it will, in the judgment
of the Director, be capable of producing sufficient revenue to provide reasonable assurance of the retirement or repayment of such cost; except that (subject to the preceding provisions
of this subsection) the Director may make a contribution to any State toward that portion of the cost of the construction, reconstruction, or enlargement of any facility which the Director
determines to be directly attributable to the incorporation in such facility of any feature of construction or design not necessary for the principal intended purpose thereof but which
is, in the judgment of the Director necessary for the use of such facility for emergency preparedness purposes. (8) The Director shall submit to Congress a report, at least annually,
regarding all contributions made pursuant to this subsection. (9) All laborers and mechanics employed by contractors or subcontractors in the performance of construction work financed
with the assistance of any contribution of Federal funds made by the Director under this subsection shall be paid wages at rates not less than those prevailing on similar construction
in the locality as determined by the Secretary of Labor in accordance with the Act of March 3, 1931 (commonly known as the Davis-Bacon Act, 40 U.S.C. 276a -276a-5), and every such employee
shall receive compensation at a rate not less than one and 1/2 times the basic rate of pay of the employee for all hours worked in any workweek in excess of eight hours in any workday
or 40 hours in the workweek, as the case may be. The Director shall make no contribution of Federal funds without first obtaining adequate assurance that these labor standards will be
maintained upon the construction work. The Secretary of Labor shall have, with respect to the labor standards specified in this subsection, the authority and functions set forth in Reorganization
Reorganization Plan Numbered 14 of 1950 (5 U.S.C. App.) and section 276c of title 40. (k) Sale or disposal of certain materials and facilities -The Director may arrange for the sale
or disposal of materials and facilities found by the Director to be unnecessary or unsuitable for emergency preparedness purposes in the same manner as provided for excess property under
the Federal Property and Administrative Services Act of 1949 ( 40 U.S.C. 471 et seq.). Any funds received as proceeds from the sale or other disposition of such materials and facilities
shall be deposited into the Treasury as miscellaneous receipts. 60
Sec. 612. Mutual Aid Pacts Between States and Neighboring Countries (42 U.S.C. 5196a) The Director shall give all practicable assistance to States in arranging, through the Department
of State, mutual emergency preparedness aid between the States and neighboring countries. Sec. 613. Contributions for Personnel and Administrative Expenses (42 U.S.C. 5196b)* (a) General
authority -To further assist in carrying out the purposes of this title, the Director may make financial contributions to the States (including interstate emergency preparedness authorities
established pursuant to section 5196(h) of this title) for necessary and essential State and local emergency preparedness personnel and administrative expenses, on the basis of approved
plans (which shall be consistent with the Federal emergency response plans for emergency preparedness) for the emergency preparedness of the States. The financial contributions to the
States under this section may not exceed one-half of the total cost of such necessary and essential State and local emergency preparedness personnel and administrative expenses. (b)
Plan requirements -A plan submitted under this section shall -(1) provide, pursuant to State law, that the plan shall be in effect in all political subdivisions of the State and be mandatory
on them and be administered or supervised by a single State agency; (2) provide that the State shall share the financial assistance with that provided by the Federal Government under
this section from any source determined by it to be consistent with State law; (3) provide for the development of State and local emergency preparedness operational plans, including
a catastrophic incident annex, pursuant to standards approved by the Director; (4) provide for the employment of a full-time emergency preparedness director, or deputy director, by the
State; (5) provide that the State shall make such reports in such form and content as the Director may require; (6) make available to duly authorized representatives of the Director
and the Comptroller General, books, records, and papers necessary to conduct audits for the purposes of this section; and (7) include a plan for providing information to the public in
a coordinated manner. 61
(c) Catastrophic Incident Annex -(1) Consistency -A catastrophic incident annex submitted under subsection (b)(3) shall be -(A) modeled after the catastrophic incident annex of the National
Response Plan; and (B) consistent with the national preparedness goal established under section 643 of the Post-Katrina Emergency Management Reform Act of 2006, the National Incident
Management System, the National Response Plan, and other related plans and strategies. (2) Consultation -In developing a catastrophic incident annex submitted under subsection (b)(3),
a State shall consult with and seek appropriate comments from local governments, emergency response providers, locally governed multijurisdictional councils of government, and regional
planning
commissions. (d) Terms and conditions -The Director shall establish such other terms and conditions as the Director considers necessary and proper to carry out this section. (e) Application
of other provisions -In carrying out this section, the provisions of sections 5196(h) and 5197(h) of this title shall apply. (f) Allocation of funds -For each fiscal year concerned,
the Director shall allocate to each State, in accordance with regulations and the total sum appropriated under this title, amounts to be made available to the States for the purposes
of this section. Regulations governing allocations to the States under this subsection shall give due regard to (1) the criticality of the areas which may be affected by hazards with
respect to the development of the total emergency preparedness readiness of the United States, (2) the relative state of development of emergency preparedness readiness of the State,
(3) population, and (4) such other factors as the Director shall prescribe. The Director may reallocate the excess of any allocation not used by a State in a plan submitted under this
section. Amounts paid to any State or political subdivision under this section shall be expended solely for the purposes set forth in this section. (g) Standards for State and Local
Emergency Preparedness Operational Plans -In approving standards for State and local emergency preparedness operational plans pursuant to subsection (b)(3), the Director shall ensure
that such plans take into account the needs of individuals with household pets and service animals prior to, during, and following a major disaster or emergency. (h) Submission of plan
-If a State fails to submit a plan for approval as required by this section within 60 days after the Director notifies the States of the allocations under this section, the Director
may reallocate such funds, or portions thereof, among the other States in such amounts as, in the judgment of the Director, will 62
best assure the adequate development of the emergency preparedness capability of the United States. (i) Annual reports -The Director shall report annually to the Congress all contributions
made pursuant to this section. Sec. 614. Requirement for State Matching Funds for Construction of Emergency Operating Centers (42 U.S.C. 5196c) Notwithstanding any other provision of
this title, funds appropriated to carry out this title may not be used for the purpose of constructing emergency operating centers (or similar facilities) in any State unless such State
matches in an equal amount the amount made available to such State under this title for such purpose. Sec. 615. Use of Funds to Prepare for and Respond to Hazards (42 U.S.C. 5196d) Funds
made available to the States under this title may be used by the States for the purposes of preparing for hazards and providing emergency assistance in response to hazards. Regulations
prescribed to carry out this section shall authorize the use of emergency preparedness personnel, materials, and facilities supported in whole or in part through contributions under
this title for emergency preparedness activities and measures related to hazards. Sec. 616. Disaster Related Information Services (42 U.S.C. 5196f)* (a) In General -Consistent with section
308(a), the Director of the Federal Emergency Management Agency shall -(1) identify, in coordination with State and local governments, population groups with limited English proficiency
and take into account such groups in planning for an emergency or major disaster; (2) ensure that information made available to individuals affected by a major disaster or emergency
is made available in formats that can be understood by -(A) population groups identified under paragraph (1); and (B) individuals with disabilities or other special needs; and (3) develop
and maintain an informational clearinghouse of model language assistance programs and best practices for State and local governments in providing services related to a major disaster
or emergency. (b) Group Size -For purposes of subsection (a), the Director of the Federal Emergency Management Agency shall define the size of a population group. 63
SUBTITLE B – GENERAL PROVISIONS Sec. 621. Administrative Authority (42 U.S.C. 5197) (a) In General -For the purpose of carrying out the powers and duties assigned to the Director under
this title, the Director may exercise the administrative authorities provided under this section. (b) Advisory personnel -The Director may employ not more than 100 part-time or temporary
advisory personnel (including not to exceed 25 subjects of the United Kingdom or citizens of Canada) as the Director considers to be necessary in carrying out the provisions of this
title. (1) Persons holding other offices or positions under the United States for which they receive compensation, while serving as advisory personnel, shall receive no additional compensation
for such service. Other part-time or temporary advisory personnel so employed may serve without compensation or may receive compensation at a rate not to exceed $180 for each day of
service, plus authorized subsistence and travel, as determined by the Director. (c) Services of other agency personnel and volunteers -The Director may -(1) use the services of Federal
agencies and, with the consent of any State or local government, accept and use the services of State and local agencies; (2) establish and use such regional and other offices as may
be necessary; and (3) use such voluntary and uncompensated services by individuals or organizations as may from time to time be needed. (d) Gifts -Notwithstanding any other provision
of law, the Director may accept gifts of supplies, equipment, and facilities and may use or distribute such gifts for emergency preparedness purposes in accordance with the provisions
of this title. (e) Reimbursement -The Director may reimburse any Federal agency for any of its expenditures or for compensation of its personnel and use or consumption of its materials
and facilities under this title to the extent funds are available. (f) Printing -The Director may purchase such printing, binding, and blank-book work from public, commercial, or private
printing establishments or binderies as the Director considers necessary upon orders placed by the Public Printer or upon waivers issued in accordance with section 504 of title 44. (g)
Rules and regulations -The Director may prescribe such rules and regulations as may be necessary and proper to carry out any of the provisions of this title and perform any of the powers
and duties provided by this title. The Director may perform any of the powers and duties provided by this title through or with the aid 64
of such officials of the Federal Emergency Management Agency as the Director may designate. (h) Failure to expend contributions correctly -When, after reasonable notice and opportunity
for hearing to the State or other person involved, the Director finds that there is a failure to expend funds in accordance with the regulations, terms, and conditions established under
this subchapter for approved emergency preparedness plans, programs, or projects, the Director may notify such State or person that further payments will not be made to the State or
person from appropriations under this subchapter (or from funds otherwise available for the purposes of this subchapter for any approved plan, program, or project with respect to which
there is such failure to comply) until the Director is satisfied that there will no longer be any such failure. (1) When, after reasonable notice and opportunity for hearing to the State
or other person involved, the Director finds that there is a failure to expend funds in accordance with the regulations, terms, and conditions established under this title for approved
emergency preparedness plans, programs, or projects, the Director may notify such State or person that further payments will not be made to the State or person from appropriations under
this title (or from funds otherwise available for the purposes of this title for any approved plan, program, or project with respect to which there is such failure to comply) until the
Director is satisfied that there will no longer be any such failure. (2) Until so satisfied, the Director shall either withhold the payment of any financial contribution to such State
or person or limit payments to those programs or projects with respect to which there is substantial compliance with the regulations, terms, and conditions governing plans, programs,
or projects hereunder. (3) As used in this subsection, the term “person” means the political subdivision of any State or combination or group thereof or any person, corporation, association,
or other entity of any nature whatsoever, including instrumentalities of States and political subdivisions. Sec. 622. Security Regulations (42 U.S.C. 5197a) (a) Establishment -The Director
shall establish such security requirements and safeguards, including restrictions with respect to access to information and property as the Director considers necessary. (b) Limitation
on Employee access to information -No employee of the Federal Emergency Management Agency shall be permitted to have access to information or property with respect to which access restrictions
have been established under this section, until it shall have been determined that no information is contained in the files of the Federal Bureau of Investigation or any other investigative
agency of 65
the Government indicating that such employee is of questionable loyalty or reliability for security purposes, or if any such information is so disclosed, until the Federal Bureau of
Investigation shall have conducted a full field investigation concerning such person and a report thereon shall have been evaluated in writing by the Director. (c) National Security
Positions -No employee of the Federal Emergency Management Agency shall occupy any position determined by the Director to be of critical importance from the standpoint of national security
until a full field investigation concerning such employee shall have been conducted by the Director of the Office of Personnel Management and a report thereon shall have been evaluated
in writing by the Director of the Federal Emergency Management Agency. In the event such full field investigation by the Director of the Office of Personnel Management develops any data
reflecting that such applicant for a position of critical importance is of questionable loyalty or or reliability for security purposes, or if the Director of the Federal Emergency Management
Agency for any other reason considers it to be advisable, such investigation shall be discontinued and a report thereon shall be referred to the Director of the Federal Emergency Management
Agency for evaluation in writing. Thereafter, the Director of the Federal Emergency Management Agency may refer the matter to the Federal Bureau of Investigation for the conduct of a
full field investigation by such Bureau. The result of such latter investigation by such Bureau shall be furnished to the Director of the Federal Emergency Management Agency for action.
(d) Employee Oaths -Each Federal employee of the Federal Emergency Management Agency acting under the authority of this title, except the subjects of the United Kingdom and citizens
of Canada specified in section 5197(b) of this title, shall execute the loyalty oath or appointment affidavits prescribed by the Director of the Office of Personnel Management. Each
person person other than a Federal employee who is appointed to serve in a State or local organization for emergency preparedness shall before entering upon duties, take an oath in writing
before a person authorized to administer oaths, which oath shall be substantially as follows: (e) “I______, do solemnly swear (or affirm) that I will support and defend the Constitution
of the United States against all enemies, foreign and domestic; that I will bear true faith and allegiance to the same; that I take this obligation freely, without any mental reservation
or purpose of evasion; and that I will well and faithfully discharge the duties upon which I am about to enter. “And I do further swear (or affirm) that I do not advocate, nor am I a
member or an affiliate of any organization, group, or combination of persons that advocates the overthrow of the Government of the United States by force or violence; and that during
such time as I am a member of ________ (name of emergency preparedness organization), I will not advocate nor become a member or an affiliate of any organization, group, or combination
of persons that advocates the overthrow of the Government of the United States by force or violence.” 66
Sec. 623. Use of Existing Facilities (42 U.S.C. 5197b) In performing duties under this title, the Director -(1) shall cooperate with the various departments and agencies of the Federal
Government; (2) shall use, to the maximum extent, the existing facilities and resources of the Federal Government and, with their consent, the facilities and resources of the States
and political subdivisions thereof, and of other organizations and agencies; and (3) shall refrain from engaging in any form of activity which would duplicate or parallel activity of
any other Federal department or agency unless the Director, with the written approval of the President, shall determine that such duplication is necessary to accomplish the purposes
of this title. Sec. 624. Annual Report to Congress (42 U.S.C. 5197c) The Director shall annually submit a written report to the President and Congress covering expenditures, contributions,
work, and accomplishments of the Federal Emergency Management Agency pursuant to this title, accompanied by such recommendations as the Director considers appropriate. Sec. 625. Applicability
of Subchapter (42 U.S.C. 5197d) The provisions of this title shall be applicable to the United States, its States, Territories and possessions, and the District of Columbia, and their
political subdivisions. Sec. 626. Authorization of Appropriation and Transfers of Funds (42 U.S.C. 5197e) (a) Authorization of appropriations -There are authorized to be appropriated
such sums as may be necessary to carry out the provisions of this title. (b) Transfer Authority -Funds made available for the purposes of this title may be allocated or transferred for
any of the purposes of this title, with the approval of the Director of the Office of Management and Budget, to any agency or government corporation designated to assist in carrying
out this title. Each such allocation or 67
Sec. 627. Relation to Atomic Energy Act of 1954 (42 U.S.C. 5197f) Nothing in this title shall be construed to alter or modify the provisions of the Atomic Energy Act of 1954 (42 U.S.C.
2011 et seq.). Sec. 628. Federal Bureau of Investigation (42 U.S.C. 5197g) Nothing in this title shall be construed to authorize investigations of espionage, sabotage, or subversive
acts by any persons other than personnel of the Federal Bureau of Investigation. Title VII --Miscellaneous Sec. 701. Rules and Regulations (42 U.S.C. 5201) (a) Rules and regulations
(1) The President may prescribe such rules and regulations as may be necessary and proper to carry out any of the provisions of this Act, and he may exercise any power or authority conferred
on him by any section of this Act either directly or through such Federal agency or agencies as he may designate. (2) Deadline for payment of assistance -Rules and regulations authorized
by paragraph (1) shall provide that payment of any assistance under this Act to a State shall be completed within 60 days after the date of approval of such assistance. (b) In furtherance
of the purposes of this Act, the President or his delegate may accept and use bequests, gifts, or donations of service, money, or property, real, personal, or mixed, tangible, or intangible.
All sums received under this subsection shall be deposited in a separate fund on the books of the Treasury and shall be available for expenditure upon the certification of the President
or his delegate. At the request of the President or his delegate, the Secretary of the Treasury may invest and reinvest excess monies in the fund. Such investments shall be in public
debt securities with maturities suitable for the needs of the fund and shall bear interest at rates determined by the Secretary of the Treasury, taking into consideration current market
yields on outstanding marketable obligations of the United States of comparable maturities. The interest on such investments shall be credited to, and form a part of, the fund. Sec.
705. Disaster Grant Closeout Procedures (42 U.S.C. 5205) (a) Statute of Limitations -68
(1) In general -Except as provided in paragraph (2), no administrative action to recover any payment made to a State or local government for disaster or emergency assistance under this
Act shall be initiated in any forum after the date that is 3 years after the date of transmission of the final expenditure report for the disaster or emergency. (2) Fraud exception -The
limitation under paragraph (1) shall apply unless there is evidence of civil or criminal fraud. (b) Rebuttal of Presumption of Record Maintenance -(1) In general -In any dispute arising
under this section after the date that is 3 years after the date of transmission of the final expenditure report for the disaster or emergency, there shall be a presumption that accounting
records were maintained that adequately identify the source and application of funds provided for financially assisted activities. (2) Affirmative evidence -The presumption described
in paragraph (1) may be rebutted only on production of affirmative evidence that the State or or local government did not maintain documentation described in that paragraph. (3) Inability
to produce documentation -The inability of the Federal, State, or local government to produce source documentation supporting expenditure reports later than 3 years after the date of
transmission of the final expenditure report shall not constitute evidence to rebut the presumption described in paragraph (1). (4) Right of access -The period during which the Federal,
State, or local government has the right to access source documentation shall not be limited to the required 3-year retention period referred to in paragraph (3), but shall last as long
as the records are maintained. (c) Binding Nature of Grant Requirements -A State or local government shall not be liable for reimbursement or any other penalty for any payment made under
this Act if -(1) the payment was authorized by an approved agreement specifying the costs; (2) the costs were reasonable; and (3) the purpose of the grant was accomplished. Sec. 706.
Firearms Policies (42 U.S.C. 5207)* (a) Prohibition on Confiscation of Firearms -No officer or employee of the United States (including any member of the uniformed services), or person
operating pursuant to or under color of Federal law, or receiving Federal funds, or under control of any Federal official, or providing services to such an officer, 69
(1) temporarily or permanently seize, or authorize seizure of, any firearm the possession of which is not prohibited under Federal, State, or local law, other than for forfeiture in
compliance with Federal law or as evidence in a criminal investigation; (2) require registration of any firearm for which registration is not required by Federal, State, or local law;
(3) prohibit possession of any firearm, or promulgate any rule, regulation, or order prohibiting possession of any firearm, in any place or by any person where such possession is not
otherwise prohibited by Federal, State, or local law; or (4) prohibit the carrying of firearms under Federal, State, or local law, solely because such person is operating under the direction,
control, or supervision of a Federal agency in support of relief from the major disaster or emergency. (b) Limitation -Nothing in this section shall be construed to prohibit any person
in subsection (a) from requiring the temporary surrender of a firearm as a condition for entry into any mode of transportation used for rescue or evacuation during a major disaster or
emergency, provided that such temporarily surrendered firearm is returned at the completion of such rescue or evacuation. (c) Private Rights of Action -(1) In General -Any individual
aggrieved by a violation of this section may seek relief in an action at law, suit in equity, or other proper proceeding for redress against any person who subjects such individual,
or causes such individual to be subjected, to the deprivation of any of the rights, privileges, or immunities secured by this section. (2) Remedies -In addition to any existing remedy
in law or equity, under any law, an individual aggrieved by the seizure or confiscation of a firearm in violation of this section may bring an action for return of such firearm in the
United States district court in the district in which that individual resides or in which such firearm may be found. (3) Attorney Fees -In any action or proceeding to enforce this section,
the court shall award the prevailing party, other than the United States, a reasonable attorney’s fee as part of the costs. 70
MISCELLANEOUS STATUTORY PROVISIONS THAT RELATE TO THE STAFFORD ACT Excess Disaster Assistance Payments as Budgetary Emergency Requirements (42 U.S.C. 5203) Hereafter, beginning in fiscal
year 1993, and in each year thereafter, notwithstanding any other provision of law, all amounts appropriated for disaster assistance payments under the Robert T. Stafford Disaster Relief
and Emergency Assistance Act (42 U.S.C. 5121 et seq.) that are in excess of either the historical annual average obligation of $320,000,000, or the amount submitted in the President's
initial budget request, whichever is lower, shall be considered as “emergency requirements” pursuant to section 901(b)(2)(D) of title 2, and such amounts shall hereafter be so designated.
Insular Areas Disaster Survival and Recovery; Definitions (42 U.S.C. 5204) As used in sections 5204 to 5204c of this title -(1) the term “insular area” means any of the following: American
Samoa, the Federated States of Micronesia, Guam, the Marshall Islands, the Northern Mariana Islands, and the Virgin Islands; (2) the term “disaster” means a declaration of a major disaster
by the President after September 1, 1989, pursuant to section 401 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170); and (3) the term “Secretary”
means the Secretary of the Interior. Note: See the note preceding 48 U.S.C. § 1681 terminating the Trust Territory of the Pacific Islands which effectively removes the Federated States
of Micronesia and the Marshall Islands from the definition of “insular area”. Authorization of Appropriations for Insular Areas (Disaster Recovery) (42 U.S.C. 5204a) There are hereby
authorized to be appropriated to the Secretary such sums as may be necessary to -(1) reconstruct essential public facilities damaged by disasters in the insular areas that occurred prior
to February 24, 1992; and 71
(2) enhance the survivability of essential public facilities in the event of disasters in the insular areas, except that with respect to the disaster declared by the President in the
case of Hurricane Hugo, September 1989, amounts for any fiscal year shall not exceed 25 percent of the estimated aggregate amount of grants to be made under sections 5170b and 5172 of
this title for such disaster. Such sums shall remain available until expended. Technical Assistance for Insular Areas (Disaster Recovery) (42 U.S.C. 5204b) (a) Upon the declaration by
the President of a disaster in an insular area, the President, acting through the Director of the Federal Emergency Management Agency, shall assess, in cooperation with the Secretary
and chief executive of such insular area, the capability of the insular government to respond to the disaster, including the capability to assess damage; coordinate activities with Federal
agencies, particularly the Federal Emergency Management Agency; develop recovery plans, including recommendations for enhancing the survivability of essential infrastructure; negotiate
and manage reconstruction contracts; and prevent the misuse of funds. If the President finds that the insular government lacks any of these or other capabilities essential to the recovery
effort, then the President shall provide technical assistance to the insular area which the President deems necessary for the recovery effort. (b) One year following the declaration
by the President of a disaster in an insular area, the Secretary, in consultation with the Director of the Federal Emergency Management Agency, shall submit to the Senate Committee on
Energy and Natural Resources and the House Committee on Natural Resources a report on the status of the recovery effort, including an audit of Federal funds expended in the recovery
effort and recommendations on how to improve public health and safety, survivability of infrastructure, recovery efforts, and effective use of funds in the event of future disasters.
Note: The following provision is superseded by Section 404 of the Stafford Act. Hazard Mitigation for Insular Areas (Limitation on Amount of Contributions, Local Match) (42 U.S.C. 5204c)
The total of contributions under the last sentence of section 5170c of this title for the insular areas shall not exceed 10 percent of the estimated aggregate amounts of grants to be
made under sections 5170c, 5172, 5173, 5174 and 5178 of this title for any disaster: Provided, That the President shall require a 50 percent local match for assistance in excess of 10
percent of the estimated aggregate amount of grants to be made under section 5172 of this title for any disaster. 72
Buy American (Requirements) (42 U.S.C. 5206) (a) Compliance With Buy American Act -No funds authorized to be appropriated under this Act [Disaster Mitigation Act of 2000, Pub. L. No.106-390]
or any amendment made by this Act [Disaster Mitigation Act of 2000, Pub. L. No.106-390] may be expended by an entity unless the entity, in expending the funds, complies with the Buy
American Act (41 U.S.C. 10a et seq.). (b) Debarment of Persons Convicted of Fraudulent Use of “Made in America” Labels -(1) In general -If the Director of the Federal Emergency Management
Agency determines that a person has been convicted of intentionally affixing a label bearing a “Made in America” inscription to any product sold in or shipped to the United States that
is not made in America, the Director shall determine, not later than 90 days after determining that the person has been so convicted, whether the person should be debarred from contracting
under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.). (2) Definition of debar -In this subsection, the term “debar” has the meaning given
the term in section 2393(c) of title 10, United States Code. 73
U.S. Troop Readiness, Veterans’ Care, Katrina Recovery, and Iraq Accountability Appropriations Act, 2007, Pub. L. No. 110-28, 121 Stat. 112 (2007), Signed on May 25, 2007. Sec. 4501.
(a) IN GENERAL – Notwithstanding any other provision of law, including any agreement, the Federal share of assistance, including any direct Federal assistance, provided for the States
of Louisiana, Mississippi, Florida, Alabama, and Texas in connection with Hurricanes Katrina, Wilma, Dennis, and Rita under sections 403, 406, 407, and 408 of the Robert T. Stafford
Disaster Relief and Emergency Assistance Act (42 U.S.C. 5170b, 5172, 5173, and 5174) shall be 100 percent of the eligible costs under such sections. (b) APPLICABILITY – (1) IN GENERAL
– The Federal share provided by subsection (a) shall apply to disaster assistance applied for before the date of enactment of this Act. (2) LIMITATION – In the case of disaster assistance
provided under sections 403, 406, and 407 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act, the Federal share provided by subsection (a) shall be limited to assistance
provided for projects for which a “request for public assistance form” has been submitted. Sec. 4502. (a) COMMUNITY DISASTER LOAN ACT – (1) IN GENERAL – Section 2(a) of the Community
Disaster Loan Act of 2005 (Public Law 109-88) is amended by striking “Provided further, That notwithstanding section 417(c)(1) of the Stafford Act, such loans may not be canceled:”.
(2) EFFECTIVE DATE – The amendment made by paragraph (1) shall be effective on the date of enactment of the Community Disaster Loan
Act of 2005 (Public Law 109-88). (b) EMERGENCY SUPPLEMENTAL APPROPRIATIONS ACT – (1) IN GENERAL – Chapter 4 of title II of the Emergency Supplemental Appropriations Act for Defense,
the Global War on Terror, and Hurricane Recovery, 2006 (Public Law 109-234) is amended under Federal Emergency Management Agency, “Disaster Assistance Direct Loan Program Account” by
striking “Provided further, That notwithstanding section 417(c)(1) of such Act, such loans may not be canceled:”. (2) EFFECTIVE DATE – The amendment made by paragraph (1) shall be effective
on the date of enactment of the Emergency Supplemental Appropriations Act for Defense, Global War on Terror, and Hurricane Recovery, 2006 (Public Law 109-234). 74
Sec. 4503. (a) IN GENERAL – Section 2401 of the Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Hurricane Recovery, 2006 (Public Law 109-234) is
amended by striking “12 months” and inserting “24 months”. Note: Section 2401 is set forth below. (b) EFFECTIVE DATE – The amendment made by this section shall be effective on the date
of enactment of the Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Hurricane Recovery, 2006 (Public Law 109-234). Department of Homeland Security
Appropriations Act, 2007, Pub. L. No. 109-295, 120 Stat. 1355 (2006), Signed on October 4, 2006. [Includes Post-Katrina Emergency Management Reform Act (PKEMRA)] Sec. 508. None of the
funds in this Act may be used to make a grant allocation, discretionary grant award, discretionary contract award, or to issue a letter of intent totaling in excess of $1,000,000, or
to announce publicly the intention to make such an award, unless the Secretary of Homeland Security notifies the Committees on Appropriations of the Senate and the House of Representatives
at least three full business days in advance: Provided, That no notification shall involve funds that are not available for obligation: Provided further, That the Office of Grants and
Training shall brief the Committees on Appropriations of the Senate and the House of Representatives five full business days in advance of announcing publicly the intention of making
an award of formula-based grants; law enforcement terrorism prevention grants; or highthreat, high-density urban areas grants. Sec. 536. The Department of Homeland Security shall, in
approving standards for State and local emergency preparedness operational plans under section 613(b)(3) of the Robert T. Stafford Disaster and Emergency Assistance Act (42 U.S.C. 5196b(b)(3)),
account for the needs of individuals with household pets and service animals before, during, and following a major disaster or emergency: Provided, That Federal agencies may provide
assistance as described in section 403(a) of the Robert T. Stafford Disaster and Emergency Assistance Act (42 U.S.C. 5170b(a)) to carry out plans described in the previous proviso. 75
TITLE VI – NATIONAL EMERGENCY MANAGEMENT Sec. 601. Short Title (6 U.S.C. 701 note) This title may be cited as the ‘Post-Katrina Emergency Management Reform Act of 2006’. Sec. 612. (6
U.S.C. 313 note and 6 U.S.C. 311 note) (c) References-Any reference to the Director of the Federal Emergency Management Agency, in any law, rule, regulation, certificate, directive,
instruction, or other official paper shall be considered to refer and apply to the Administrator of the Federal Emergency Management Agency. (f) Interim Actions-(1) IN GENERAL-During
the period beginning on the date of enactment of this Act and ending on March 31, 2007, the Secretary, the Under Secretary for Preparedness, and the Director of the Federal Emergency
Management Agency shall take such actions as are necessary to provide for the orderly implementation of any amendment under this subtitle that takes effect on March 31, 2007. (2) REFERENCES-Any
reference to the Administrator of the Federal Emergency Management Agency in this title or an amendment by this title shall be considered to refer and apply to the Director of the Federal
Emergency Management Agency until March 31, 2007. Sec. 640a. Disclosure of Certain Information to Law Enforcement Agencies (6 U.S.C. 727) In the event of circumstances requiring an evacuation,
sheltering, or mass relocation, the Administrator may disclose information in any individual assistance database of the Agency in accordance with section 552a(b) of title 5, United States
Code (commonly referred to as the “Privacy Act”), to any law enforcement agency of the Federal Government or a State, local, or tribal government in order to identify illegal conduct
or address public safety or security issues, including compliance with sex offender notification laws. Sec. 653. Federal Preparedness (6 U.S.C. 753) (c) Mission Assignments – To expedite
the provision of assistance under the National Response Plan, the President shall ensure that the Administrator, in coordination with Federal agencies with responsibilities under the
National Response Plan, develops prescripted mission assignments, including logistics, communications, mass care, health services, and public safety. 76
Subtitle E – Stafford Act Amendments Sec. 682. National Disaster Recovery Strategy (6 U.S.C. 771) (a) In General – The Administrator, in coordination with the Secretary of Housing and
Urban Development, the Administrator of the Environmental Protection Agency, the Secretary of Agriculture, the Secretary of Commerce, the Secretary of the Treasury, the Secretary of
Transportation, the Administrator of the Small Business Administration, the Assistant Secretary for Indian Affairs of the Department of the Interior, and the heads of other appropriate
Federal agencies, State, local, and tribal government officials (including through the National Advisory Council), and representatives of appropriate nongovernmental organizations shall
develop, coordinate, and maintain a National Disaster Recovery Strategy to serve as a guide to recovery efforts after major disasters and emergencies. (b) Contents – The National Disaster
Recovery Strategy shall – (1) outline the most efficient and cost-effective Federal programs that that will meet the recovery needs of States, local and tribal governments, and individuals
and households affected by a major disaster; (2) clearly define the role, programs, authorities, and responsibilities of each Federal agency that may be of assistance in providing assistance
in the recovery from a major disaster; (3) promote the use of the most appropriate and cost-effective building materials (based on the hazards present in an area) in any area affected
by a major disaster, with the goal of encouraging the construction of disasterresistant buildings; and (4) describe in detail the programs that may be offered by the agencies described
in paragraph (2), including – (A) discussing funding issues; (B) detailing how responsibilities under the National Disaster Recovery Strategy will be shared; and (C) addressing other
matters concerning the cooperative effort to provide recovery assistance. (c) Report – (1) IN GENERAL – Not later than 270 days after the date of enactment of this Act, the Administrator
shall submit to the appropriate committees of Congress a report describing in detail the National Disaster Recovery Strategy and any additional authorities necessary to implement any
portion of the National Disaster Recovery Strategy. (2) UPDATE – The Administrator shall submit to the appropriate committees of Congress a report updating the report submitted under
paragraph (1) – (A) on the same date that any change is made to the National Disaster Recovery Strategy; and 77
(B) on a periodic basis after the submission of the report under paragraph (1), but not less than once every 5 years after the date of the submission of the report under paragraph (1).
Sec. 683. National Disaster Housing Strategy (6 U.S.C. 772) (a) In General – The Administrator, in coordination with representatives of the Federal agencies, governments, and organizations
listed in subsection (b)(2) of this section, the National Advisory Council, the National Council on Disability, and other entities at the Administrator’s discretion, shall develop, coordinate,
and maintain a National Disaster Housing Strategy. (b) Contents – The National Disaster Housing Strategy shall – (1) outline the most efficient and cost effective Federal programs that
will best meet the short-term and long-term housing needs of individuals and households affected by a major disaster; (2) clearly define the role, programs, authorities, and responsibilities
of each entity in providing housing assistance in the event of a major disaster, including – (A) the Agency; (B) the Department of Housing and Urban Development; (C) the Department of
Agriculture; (D) the Department of Veterans Affairs; (E) the Department of Health and Human Services; (F) the Bureau of Indian Affairs; (G) any other Federal agency that may provide
housing assistance in the event of a major disaster; (H) the American Red Cross; and (I) State, local, and tribal governments; (3) describe in detail the programs that may be offered
by the entities described in paragraph (2), including – (A) outlining any funding issues; (B) detailing how responsibilities under the National Disaster Housing Strategy will be shared;
and (C) addressing other matters concerning the cooperative effort to provide housing assistance during a major disaster; (4) consider methods through which housing assistance can be
provided to individuals and households where employment and other resources for living are available; (5) describe programs directed to meet the needs of special needs and lowincome
populations and ensure that a sufficient number of housing units are provided for individuals with disabilities; (6) describe plans for operation of clusters of housing provided to individuals
and households, including access to public services, site management, security, and site density; 78
(7) describe plans for promoting the repair or rehabilitation of existing rental housing, including through lease agreements or other means, in order to improve the provision of housing
to individuals and households under section 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5174); and (8) describe any additional authorities necessary
to carry out any portion of the strategy. (c) Guidance – The Administrator should develop and make publicly available guidance on – (1) types of housing assistance available under the
Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121 et seq.) to individuals and households affected by an emergency or major disaster; (2) eligibility for
such assistance (including, where appropriate, the continuation of such assistance); and (3) application procedures for such assistance. (d) Report – (1) IN GENERAL – Not later than
270 days after the date of enactment of this Act, the Administrator shall submit to the appropriate committees of Congress a report describing in detail the National Disaster Housing
Strategy, including programs directed to meeting the needs of special needs populations. (2) UPDATED REPORT – The Administrator shall submit to the appropriate committees of Congress
a report updating the report submitted under paragraph (1) – (A) on the same date that any change is made to the National Disaster Housing Strategy; and (B) on a periodic basis after
the submission of the report under paragraph (1), but not less than once every 5 years after the date of the submission of the report under paragraph (1). Sec. 689. Individuals with
Disabilities (6 U.S.C. 773) (a) Guidelines – Not later than 90 days after the date of enactment of this Act, and in coordination with the National Advisory Council, the National Council
on Disability, the Interagency Coordinating Council on Preparedness and Individuals With Disabilities established under Executive Order No. 13347 (6 U.S.C. 312 note), and the Disability
Coordinator (established under section 513 of the Homeland Security Act of 2002, as added by this Act), the Administrator shall develop guidelines to accommodate individuals with disabilities,
which shall include guidelines for – (1) the accessibility of, and communications and programs in, shelters, recovery centers, and other facilities; and (2) devices used in connection
with disaster operations, including first aid stations, mass feeding areas, portable payphone stations, portable toilets, and temporary housing. 79
Sec. 689b. Reunification (6 U.S.C. 774) (a) Definitions – In this section: (1) Child Locator Center – The term “Child Locator Center” means the National Emergency Child Locator Center
established under subsection (b). (2) Declared Event – The term “declared event” means a major disaster or emergency. (3) Displaced Adult – The term “displaced adult” means an individual
21 years of age or older who is displaced from the habitual residence of that individual as a result of a declared event. (4) Displaced Child – The term “displaced child” means an individual
under 21 years of age who is displaced from the habitual residence of that individual as a result of a declared event. (b) National Emergency Child Locator Center – (1) In general –
Not later than 180 days after the date of enactment of this Act, the Administrator, in coordination with the Attorney General of the United States, shall establish within the National
Center for Missing and Exploited Children the National Emergency Child Locator Center. In establishing the National Emergency Child Locator Center, the Administrator shall establish
procedures to make all relevant information available to the National Emergency Child Locator Center in a timely manner to facilitate the expeditious identification and reunification
of children with their families. (2) Purposes – The purposes of the Child Locator Center are to (A)enable individuals to provide to the Child Locator Center the name of and other identifying
information about a displaced child or a displaced adult who may have information about the location of a displaced child; (B) enable individuals to receive information about other sources
of information about displaced children and displaced adults; and (C) assist law enforcement in locating displaced children. (3) Responsibilities and Duties – The responsibilities and
duties of the Child Locator Center are to – (A)establish a toll-free telephone number to receive reports of displaced children and information about displaced adults that may assist
in locating displaced children; (B) create a website to provide information about displaced children; (C) deploy its staff to the location of a declared event to gather information about
displaced children; (D)assist in the reunification of displaced children with their families; (E) provide information to the public about additional resources for disaster assistance;
80
(F) work in partnership with Federal, State, and local law enforcement agencies; (G)provide technical assistance in locating displaced children; (H)share information on displaced children
and displaced adults with governmental agencies and nongovernmental organizations providing disaster assistance; (I) use its resources to gather information about displaced children;
(J) refer reports of displaced adults to (i)an entity designated by the Attorney General to provide technical assistance in locating displaced adults; and (ii)the National Emergency
Family Registry and Locator System as defined under section 689c(a); (K) enter into cooperative agreements with Federal and State agencies and other organizations such as the American
Red Cross as necessary to implement the mission of the Child Locator Center; and (L) develop an emergency response plan to prepare for the activation of the Child Locator Center. (c)
Conforming Amendments – Section 403(1) of the Missing Children’s Assistance Act (42 U.S.C. 5772(1)) is is amended – (1) in subparagraph (A), by striking “or” at the end; (2) in subparagraph
(B), by adding “or” after the semicolon; and (3) by inserting after subparagraph (B) the following: “(C) the individual is an individual under 21 years of age who is displaced from the
habitual residence of that individual as a result of an emergency or major disaster (as those terms are defined in section 102 of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5122)).”. (d) Report – Not later than 270 days after the date of enactment of this Act, the Administrator shall submit to the Committee on Homeland Security
and Governmental Affairs and the Committee on the Judiciary of the Senate and the Committee on Transportation and Infrastructure and the Committee on the Judiciary of the House of Representatives
a report describing in detail the status of the Child Locator Center, including funding issues and any difficulties or issues in establishing the Center or completing the cooperative
agreements described in subsection (b)(3)(K). Sec. 689c. National Emergency Family Registry and Locator System (6 U.S.C. 775) (a) Definitions – In this section – (1) the term “displaced
individual” means an individual displaced by an emergency or major disaster; and (2) the term “National Emergency Family Registry and Locator System” means the National Emergency Family
Registry and Locator System established under subsection (b). 81
(b) Establishment – Not later than 180 days after the date of enactment of this Act, the Administrator shall establish a National Emergency Family Registry and Locator System to help
reunify families separated after an emergency or major disaster. (c) Operation of System – The National Emergency Family Registry and Locator System shall – (1) allow a displaced adult
(including medical patients) to voluntarily register (and allow an adult that is the parent or guardian of a displaced child to register such child), by submitting personal information
to be entered into a database (such as the name, current location of residence, and any other relevant information that could be used by others seeking to locate that individual); (2)
ensure that information submitted under paragraph (1) is accessible to those individuals named by a displaced individual and to those law enforcement officials; (3) be accessible through
the Internet and through a toll-free number, to receive reports of displaced individuals; and (4) include a means of referring displaced children to the National Emergency Child Locator
Center established under section 689b. (d) Publication of Information – Not later than 210 days after the date of enactment of this Act, the Administrator shall establish a mechanism
to inform the public about the National Emergency Family Registry and Locator System and its potential usefulness for assisting to reunite displaced individuals with their families.
(e) Coordination – Not later than 90 days after the date of enactment of this Act, the Administrator shall enter a memorandum of understanding with the Department of Justice, the National
Center for Missing and Exploited Children, the Department of Health and Human Services, and the American Red Cross and other relevant private organizations that will enhance the sharing
of information to facilitate reuniting displaced individuals (including medical patients) with families. (f) Report – Not later than 270 days after the date of enactment of this Act,
the Administrator shall submit to the appropriate committees of Congress a report describing in detail the status of the National Emergency Family Registry and Locator System, including
any difficulties or issues in establishing the System, including funding issues. Sec. 689i. Individuals and Households Pilot Program (6 U.S.C. 776) (a) Pilot Program – (1) In general
– The President, acting through the Administrator, in coordination with State, local, and tribal governments, shall establish and conduct a pilot program. The pilot program shall be
designed to make better use of existing rental housing, located in areas covered by a major disaster declaration, in 82
order to provide timely and cost-effective temporary housing assistance to individuals and households eligible for assistance under section 408 of the Robert T. Stafford Disaster Relief
and Emergency Assistance Act (42 U.S.C. 5174) where alternative housing options are less available or cost-effective. (2) Administration – (A) In General – For the purposes of the pilot
program under this section, the Administrator may – (i) enter into lease agreements with owners of multi-family rental property located in areas covered by a major disaster declaration
to house individuals and households eligible for assistance under section 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5174); (ii) make improvements
to properties under such lease agreements; (iii) use the pilot program where the program is cost effective in that the cost to the Government for the lease agreements is in proportion
to the savings to the Government by not providing alternative housing; and (iv) limit repairs to those required to ensure that the housing units shall meet Federal housing quality standards.
(B) Improvements to leased properties – Under the terms of any lease agreement for a property described under subparagraph (A)(ii), the value of the contribution of the Agency to such
improvements – (i) shall be deducted from the value of the lease agreement; and (ii) may not exceed the value of the lease agreement. (3) Consultation – In administering the pilot program
under this section, the Administrator may consult with State, local, and tribal governments. (4) Report – (A) In General – Not later than March 31, 2009, the Administrator shall submit
to the appropriate committees of Congress a report regarding the effectiveness of the pilot program. (B) Contents – The Administrator shall include in the report – (i)an assessment of
the effectiveness of the pilot program under this section, including an assessment of cost-savings to the Federal Government and any benefits to individuals and households eligible for
assistance under section 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5174) under the pilot program; (ii)findings and conclusions of the Administrator
with respect to the pilot program; (iii) an assessment of additional authorities needed to aid the Agency in its mission of providing disaster housing assistance to individuals and households
eligible for assistance under section 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5174), either under the pilot program under this section or
other potential housing programs; and 83
(iv)any recommendations of the Administrator for additional authority to continue or make permanent the pilot program. (b) Pilot Program Project Approval – The Administrator shall not
approve a project under the pilot program after December 31, 2008. Sec. 689j. Public Assistance Pilot Program (6 U.S.C. 777) (a) Pilot Program – (1) In General – The President, acting
through the Administrator, and in coordination with State and local governments, shall establish and conduct a pilot program to – (A) reduce the costs of the Federal Government of providing
assistance to States and local governments under sections 403(a)(3)(A), 406, and 407 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 1570b(a)(3), 5172,
5172); (B) increase flexibility in the administration of sections 403(a)(3)(A), 406, and 407 of that Act; and (C) expedite the provision of assistance to States and local governments
provided under sections 403(a)(3)(A), 406, and 407 of that Act. (2) Participation – Only States States and local governments that elect to participate in the pilot program may participate
in the pilot program for a particular project. (3) Innovative Administration – (A) In General – For purposes of the pilot program, the Administrator shall establish new procedures to
administer assistance provided under the sections referred to in paragraph (1). (B) New Procedures – The new procedures established under subparagraph (A) may include 1 or more of the
following: (i)Notwithstanding section 406(c)(1)(A) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 1571(c)(1)(A)), providing an option for a State or
local government to elect to receive an in-lieu contribution in an amount equal to 90 percent of the Federal share of the Federal estimate of the cost of repair, restoration, reconstruction,
or replacement of a public facility owned or controlled by the State or local government and of management expenses. (ii)Making grants on the basis of estimates agreed to by the local
government (or where no local government is involved, by the State government) and the Administrator to provide financial incentives and disincentives for the local government (or where
no local government is involved, for the State government) for the timely or cost effective completion of projects under section 403(a)(3)(A), 406, and 407 of that Act. (iii)Increasing
the Federal share for removal of debris and wreckage for States and local governments that have a debris management plan approved by the Administrator and have pre-qualified 1 or more
debris 84
and wreckage removal contractors before the date of declaration of the major disaster. (iv)Using a sliding scale for the Federal share for removal of debris and wreckage based on the
time it takes to complete debris and wreckage removal. (v) Using a financial incentive to recycle debris. (vi) Reimbursing base wages for employees and extra hires of a State or local
government involved in or administering debris and wreckage removal. (4) Waiver – The Administrator may waive such regulations or rules applicable to the provisions of assistance under
the sections referred to in paragraph (1) as the Administrator determines are necessary to carry out the pilot program under this section. (b) Report – (1) In General – Not later than
March 31, 2009, the Administrator shall submit to the appropriate committees of Congress a report regarding the effectiveness of the pilot program under this section. (2) Contents –
The report submitted under paragraph (1) shall include – (A) An assessment by the Administrator of any administrative or financial benefits of the pilot program; (B) An assessment by
the Administrator of the effect, including any savings in time and cost, of the pilot program; (C) Any identified legal or other obstacles to increasing the amount of debris recycled
after a major disaster; (D)Any other findings and conclusions of the Administrator with respect to the pilot program; and (E) Any recommendations of the Administrator for additional
authority to continue or make permanent the pilot program. (c) Deadline for Initiation of Implementation – The Administrator shall initiate implementation of the pilot program under
this section not later than 90 days after the date of enactment of the Act. (d) Pilot Program Project Duration – The Administrator may not approve a project under the pilot program under
this section after December 31, 2008. Sec. 689k. Disposal of Unused Temporary Housing Units (a) In General – Notwithstanding section 408(d)(2)(B) of the Robert T. Stafford Disaster Relief
and Emergency Assistance Act (42 U.S.C. 5174(d)(2)(B)), if the Administrator authorizes the disposal of an unused temporary housing unit that is owned by the Agency on the date of enactment
of this Act and is not used to house individuals or households under section 408 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5174) after that date,
such unit shall be 85
disposed of under subchapter III of chapter 5 of subtitle I of title 40, United States Code. (b) Tribal Governments – Housing units described in subsection (a) shall be disposed of in
coordination with the Department of the Interior or other appropriate agencies in order to transfer such units to tribal governments if appropriate. Subtitle F – Prevention of Fraud,
Waste, and Abuse Sec. 691. Advance Contracting (6 U.S.C. 791) (a) Initial Report – (1) IN GENERAL – Not later than 180 days after the date of enactment of this Act, the Administrator
shall submit a report under paragraph (2) identifying – (A) recurring disaster response requirements, including specific goods and services, for which the Agency is capable of contracting
for in advance of a natural disaster or act of terrorism or other man-made disaster in a cost effective manner; (B) recurring disaster response requirements, including specific goods
and services, for which the Agency can not contract in advance of a natural disaster or act of terrorism or other man-made disaster in a cost effective manner; and (C) a contracting
strategy that maximizes the use of advance contracts to the extent practical and cost-effective. (2) SUBMISSION –The report under paragraph (1) shall be submitted to the appropriate
committees of Congress. (b) Entering Into Contracts – (1) IN GENERAL – Not later than 1 year after the date of enactment of this Act, the Administrator shall enter into 1 or more contracts
for each type of goods or services identified under subsection (a)(1)(A), and in accordance with the contracting strategy identified in subsection (a)(1)(C). Any contract for goods or
services identified in subsection (a)(1)(A) previously awarded may be maintained in fulfilling this requirement. (2) CONSIDERED FACTORS – Before entering into any contract under this
subsection, the Administrator shall consider section 307 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5150), as amended by this Act. (3) PRENEGOTIATED
FEDERAL CONTRACTS FOR GOODS AND SERVICES – The Administrator, in coordination with State and local governments and other Federal agencies, shall establish a process to ensure that Federal
prenegotiated contracts for goods and services are coordinated with State and local governments, as appropriate. (4) PRENEGOTIATED STATE AND LOCAL CONTRACTS FOR GOODS AND SERVICES –
The Administrator shall encourage State and local 86
governments to establish prenegotiated contracts with vendors for goods and services in advance of natural disasters and acts of terrorism or other man-made disasters. (c) Maintenance
of Contracts – After the date described under subsection (b), the Administrator shall have the responsibility to maintain contracts for appropriate levels of goods and services in accordance
with subsection (a)(1)(C). (d) Report on Contracts Not Using Competitive Procedures – At the end of each fiscal quarter, beginning with the first fiscal quarter occurring at least 90
days after the date of enactment of this Act, the Administrator shall submit a report on each disaster assistance contract entered into by the Agency by other than competitive procedures
to the appropriate committees of Congress. Sec. 692. Limitations on Tiering of Subcontractors (6 U.S.C. 792) (a) Regulations – The Secretary shall promulgate regulations applicable to
contracts described in subsection (c) to minimize the excessive use by contractors of subcontractors or tiers of subcontractors to perform the principal work of the contract. (b) Specific
Requirement – At a minimum, the regulations promulgated under subsection (a) shall preclude a contractor from using subcontracts for more than 65 percent of the cost of the contract
or the cost of any individual task or delivery order (not including overhead and profit), unless the Secretary determines that such requirement is not feasible or practicable. (c) Covered
Contracts – This section applies to any cost-reimbursement type contract or task or delivery order in an amount greater than the simplified acquisition threshold (as defined by section
4 of the Office of Federal Procurement Policy Act (41 U.S.C. 403)) entered into by the Department to facilitate response to or recovery from a natural disaster or act of terrorism or
other man-made disaster. Sec. 693. Oversight and Accountability of Federal Disaster Expenditures (6 U.S.C. 793) (a) Authority of Administrator to Designate Funds for Oversight Activities
– The Administrator may designate up to 1 percent of the total amount provided to a Federal agency for a mission assignment as oversight funds to be used by the recipient agency for
performing oversight of activities carried out under the Agency reimbursable mission assignment process. Such funds shall remain available until expended. (b) Use of Funds – (1) TYPES
OF OVERSIGHT ACTIVITIES – Oversight funds may be used for the following types of oversight activities related to Agency mission assignments: 87
(A) Monitoring, tracking, and auditing expenditures of funds. (B) Ensuring that sufficient management and internal control mechanisms are available so that Agency funds are spent appropriately
and in accordance with all applicable laws and regulations. (C) Reviewing selected contracts and other activities. (D) Investigating allegations of fraud involving Agency funds. (E)
Conducting and participating in fraud prevention activities with other Federal, State, and local government personnel and contractors. (2) PLANS AND REPORTS – Oversight funds may be
used to issue the plans required under subsection (e) and the reports required under subsection (f). (c) Restriction on Use of Funds – Oversight funds may not be used to finance existing
agency oversight responsibilities related to direct agency appropriations used for disaster response, relief, and recovery activities. (d) Methods of Oversight Activities – (1) IN GENERAL
– Oversight activities may be carried out by an agency under this section either directly or by contract. Such activities may include evaluations and financial and performance audits.
(2) COORDINATION OF OVERSIGHT ACTIVITIES – To the extent practicable, evaluations and audits under this section shall be performed by the inspector general of the agency. (e) Development
of Oversight Plans – (1) IN GENERAL – If an agency receives oversight funds for a fiscal year, the head of the agency shall prepare a plan describing the oversight activities for disaster
response, relief, and recovery anticipated to be undertaken during the subsequent fiscal year. (2) SELECTION OF OVERSIGHT ACTIVITIES – In preparing the plan, the head of the agency shall
select oversight activities based upon a risk assessment of those areas that present the greatest risk of fraud, waste, and abuse. (3) SCHEDULE – The plan shall include a schedule for
conducting oversight activities, including anticipated dates of completion. (f) Federal Disaster Assistance Accountability Reports – A Federal agency receiving oversight funds under
this section shall submit annually to the Administrator and the appropriate committees of Congress a consolidated report regarding the use of such funds, including information summarizing
oversight activities and the results achieved. (g) Definition – In this section, the term ‘oversight funds’ means funds referred to in subsection (a) that are designated for use in performing
oversight activities. 88
Sec. 695. Limitation on Length of Certain Noncompetitive Contracts (6 U.S.C. 794) (a) Regulations – The Secretary shall promulgate regulations applicable to contracts described in subsection
(c) to restrict the contract period of any such contract entered into using procedures other than competitive procedures pursuant to the exception provided in paragraph (2) of section
303(c) of the Federal Property and Administrative Services Act of 1949 (41 U.S.C. 253(c)) to the minimum contract period necessary – (1) to meet the urgent and compelling requirements
of the work to be performed under the contract; and (2) to enter into another contract for the required goods or services through the use of competitive procedures. (b) Specific Contract
Period – The regulations promulgated under subsection (a) shall require the contract period to not to exceed 150 days, unless the Secretary determines that exceptional circumstances
apply. (c) Covered Contracts – This section applies to any contract in an amount greater than the simplified acquisition threshold (as defined by section 4 of the Office of Federal Procurement
Policy Act (41 U.S.C. 403)) entered into by the Department to facilitate response to or recovery from a natural disaster, act of terrorism, or other man-made disaster. Sec. 696. Fraud,
Waste, and Abuse Controls (6 U.S.C. 795) (a) In General – The Administrator shall ensure that – (1) all programs within the Agency administering Federal disaster relief assistance develop
and maintain proper internal management controls to prevent and detect fraud, waste, and abuse; (2) application databases used by the Agency to collect information on eligible recipients
must record disbursements; (3) such tracking is designed to highlight and identify ineligible applications; and (4) the databases used to collect information from applications for such
assistance must be integrated with disbursement and payment records. (b) Audits and Reviews Required – The Administrator shall ensure that any database or similar application processing
system for Federal disaster relief assistance programs administered by the Agency undergoes a review by the Inspector General of the Agency to determine the existence and implementation
of such internal controls required under this section and the amendments made by this section. 89
Sec. 697. Registry of Disaster Response Contractors (6 U.S.C. 796) (a) Definitions – In this section – (1) the term ‘registry’ means the registry created under subsection (b); and (2)
the terms ‘small business concern’, ‘small business concern owned and controlled by socially and economically disadvantaged individuals’, ‘small business concern owned and controlled
by women’, and ‘small business concern owned and controlled by service-disabled veterans’ have the meanings given those terms under the Small Business Act (15 U.S.C. 631 et seq.). (b)
Registry – (1) IN GENERAL – The Administrator shall establish and maintain a registry of contractors who are willing to perform debris removal, distribution of supplies, reconstruction,
and other disaster or emergency relief activities. (2) CONTENTS – The registry shall include, for each business concern – (A) the name of the business concern; (B) the location of the
business concern; (C) the area served by the business concern; (D) the type of good or service provided by the business concern; (E) the bonding level of the business concern ; (F) whether
the business concern is – (i) a small business concern; (ii) a small business concern owned and controlled by socially and economically disadvantaged individuals; (iii) a small business
concern owned and controlled by women; or (iv) a small business concern owned and controlled by servicedisabled veterans. (3) SOURCE OF INFORMATION – (A) SUBMISSION – Information maintained
in the registry shall be submitted on a voluntary basis and be kept current by the submitting business concerns. (B) ATTESTATION – Each business concern submitting information to the
registry shall submit – (i) an attestation that the information is true; and (ii) documentation supporting such attestation. (C) VERIFICATION – The Administrator shall verify that the
documentation submitted by each business concern supports the information submitted by that business concern. (4) AVAILABILITY OF REGISTRY – The registry shall be made generally available
on the Internet site of the Agency. (5) CONSULTATION OF REGISTRY – As part of the acquisition planning for contracting for debris removal, distribution of supplies in a disaster, reconstruction,
and other disaster or emergency relief activities, a Federal agency shall consult the registry. 90
Sec. 698 Fraud Prevention Training Program (6 U.S.C. 797) The Administrator shall develop and implement a program to provide training on the prevention of waste, fraud, and abuse of
Federal disaster relief assistance relating to the response to or recovery from natural disasters and acts of terrorism or other manmade disasters and ways to identify such potential
waste, fraud, and abuse. Emergency Supplemental Appropriations Act for Defense, the Global War on Terror, and Hurricane Recovery, 2006, Pub. L. No. 109-234, 120 Stat. 418 (2006), Signed
on June 15, 2006. Sec. 2401. The Federal Emergency Management Agency may provide funds to a State or local government or, as necessary, assume an existing agreement from such unit of
government, to pay for utility costs resulting from the provision of temporary housing units to evacuees from Hurricane Katrina and other hurricanes of the 2005 season if the State or
local government has previously arranged to pay for such utilities on behalf of the evacuees for the term of any leases, not to exceed 12 months, contracted by or prior to February 7,
2006: Provided, That the Federal share of the costs eligible to be paid shall be 100 percent. Note: Section 2401 has been extended from a period of 12 months to a period of 24 months
by section 4503 of the U.S. Troop Readiness, Veterans’ Care, Katrina Recovery, and Iraq Accountability Appropriations Act, 2007 (signed on May 25, 2007), set forth above. Sec. 2403.
Notwithstanding any other provision of law, the Secretary of Homeland Security shall consider eligible under the Federal Emergency Management Agency Individual Assistance Program the
costs sufficient for alternative housing pilot programs in the areas hardest hit by Hurricane Katrina and other hurricanes of the 2005 season. 91
92
THE HOMELAND SECURITY ACT OF 2002 6 U.S.C. 311-321j (As amended by the Department of Homeland Security Appropriations Act, 2007, Pub. L. No. 109-295) TITLE V (National Emergency Management)
Sec. 501. Definitions (6 U.S.C. 311) In this title— (1) the term 'Administrator' means the Administrator of the Agency; (2) the term 'Agency' means the Federal Emergency Management Agency;
(3) the term 'catastrophic incident' means any natural disaster, act of terrorism, or other man-made disaster that results in extraordinary levels of casualties or damage or disruption
severely affecting the population (including mass evacuations), infrastructure, environment, economy, national morale, or government functions in an area; (4) the term 'Federal coordinating
officer' means a Federal coordinating officer as described in section 302 of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5143); (5) the term 'interoperable'
has the meaning given the term `interoperable communications' under section 7303(g)(1) of the Intelligence Reform and Terrorism Prevention Act of 2004 (6 U.S.C. 194(g)(1)); (6) the term
'National Incident Management System' means a system to enable effective, efficient, and collaborative incident management; (7) the term 'National Response Plan' means the National Response
Plan or any successor plan prepared under section 502(a)(6); (8) the term 'Regional Administrator' means a Regional Administrator appointed under section 507; (9) the term 'Regional
Office' means a Regional Office established under section 507; 93
(10) the term 'surge capacity' means the ability to rapidly and substantially increase the provision of search and rescue capabilities, food, water, medicine, shelter and housing, medical
care, evacuation capacity, staffing (including disaster assistance employees), and other resources necessary to save lives and protect property during a catastrophic incident; and (11)
the term 'tribal government' means the government of any entity described in section 2(10)(B). Sec. 502. Definition (6 U.S.C. 312) In this subchapter, the term “Nuclear Incident Response
Team” means a resource that includes— (1) those entities of the Department of Energy that perform nuclear or radiological emergency support functions (including accident response, search
response, advisory, and technical operations functions), radiation exposure functions at the medical assistance facility known as the Radiation Emergency Assistance Center/Training Site
(REAC/TS), radiological assistance functions, and related functions; and (2) those entities of the Environmental Protection Agency that perform such support functions (including radiological
emergency response functions) and related functions. Sec. 503. Federal Emergency Management Agency (6 U.S.C. 313) (a) In General— There is in the Department the Federal Emergency Management
Agency, headed by an Administrator. (b) Mission— (1) PRIMARY MISSION— The primary mission of the Agency is to reduce the loss of life and property and protect the Nation from all hazards,
including natural disasters, acts of terrorism, and other man-made disasters, by leading and supporting the Nation in a risk-based, comprehensive emergency management system of preparedness,
protection, response, recovery, and mitigation. (2) SPECIFIC ACTIVITIES— In support of the primary mission of the Agency, the Administrator shall— (A) lead the Nation's efforts to prepare
for, protect against, respond to, recover from, and mitigate against the risk of natural disasters, acts of terrorism, and other man-made disasters, including catastrophic incidents;
(B) partner with State, local, and tribal governments and emergency response providers, with other Federal agencies, with the private sector, and with nongovernmental organizations to
build a national system of emergency 94
management that can effectively and efficiently utilize the full measure of the Nation's resources to respond to natural disasters, acts of terrorism, and other man-made disasters, including
catastrophic incidents; (C) develop a Federal response capability that, when necessary and appropriate, can act effectively and rapidly to deliver assistance essential to saving lives
or protecting or preserving property or public health and safety in a natural disaster, act of terrorism, or other man-made disaster; (D) integrate the Agency's emergency preparedness,
protection, response, recovery, and mitigation responsibilities to confront effectively the challenges of a natural disaster, act of terrorism, or other man-made disaster; (E) develop
and maintain robust Regional Offices that will work with State, local, and tribal governments, emergency response providers, and other appropriate entities to identify and address regional
priorities; (F) under the leadership of the Secretary, coordinate with the Commandant of the Coast Guard, the Director of Customs and Border Protection, the Director of Immigration and
Customs Enforcement, the National Operations Center, and other agencies and offices in the Department to take full advantage of the substantial range of resources in the Department;
(G) provide funding, training, exercises, technical assistance, planning, and other assistance to build tribal, local, State, regional, and national capabilities (including communications
capabilities), necessary to respond to a natural disaster, act of terrorism, or other man-made disaster; and (H) develop and coordinate the implementation of a risk-based, all-hazards
strategy for preparedness that builds those common capabilities necessary to respond to natural disasters, acts of terrorism, and other man-made disasters while also building the unique
capabilities necessary to respond to specific types of incidents that pose the greatest risk to our Nation. (c) Administrator— (1) IN GENERAL— The Administrator shall be appointed by
the President, by and with the advice and consent of the Senate. (2) QUALIFICATIONS— The Administrator shall be appointed from among individuals who have— (A) a demonstrated ability
in and knowledge of emergency management and homeland security; and (B) not less than 5 years of executive leadership and management experience in the public or private sector. (3) REPORTING—
The Administrator shall report to the Secretary, without being required to report through any other official of the Department. 95
(4) PRINCIPAL ADVISOR ON EMERGENCY MANAGEMENT— (A) IN GENERAL— The Administrator is the principal advisor to the President, the Homeland Security Council, and the Secretary for all matters
relating to emergency management in the United States. (B) ADVICE AND RECOMMENDATIONS— (i) IN GENERAL— In presenting advice with respect to any matter to the President, the Homeland
Security Council, or the Secretary, the Administrator shall, as the Administrator considers appropriate, inform the President, the Homeland Security Council, or the Secretary, as the
case may be, of the range of emergency preparedness, protection, response, recovery, and mitigation options with respect to that matter. (ii) ADVICE ON REQUEST— The Administrator, as
the principal advisor on emergency management, shall provide advice to the President, the Homeland Security Council, or the Secretary on a particular matter when the President, the Homeland
Security Council, or the Secretary requests such advice. (iii) RECOMMENDATIONS TO CONGRESS— After informing the Secretary, the Administrator may make such recommendations to Congress
relating to emergency management as the Administrator considers appropriate. (5) CABINET STATUS— (A) IN GENERAL— The President may designate the Administrator to serve as a member of
the Cabinet in the event of natural disasters, acts of terrorism, or other man-made disasters. (B) RETENTION OF AUTHORITY— Nothing in this paragraph shall be construed as affecting the
authority of the Secretary under this Act. Sec. 504. Authority and Responsibilities (6 U.S.C. 314) (a) In General — The Administrator shall provide Federal leadership necessary to prepare
for, protect against, respond to, recover from, or mitigate against a natural disaster, act of terrorism, or other man-made disaster, including— (1) helping to ensure the effectiveness
of emergency response providers to terrorist attacks, major disasters, and other emergencies; (2) with respect to the Nuclear Incident Response Team (regardless of whether it is operating
as an organizational unit of the Department pursuant to this subchapter)— (A) establishing standards and certifying when those standards have been met; (B) conducting joint and other
exercises and training and evaluating performance; and (C) providing funds to the Department of Energy and the Environmental Protection Agency, as appropriate, for homeland security
planning, exercises and training, and equipment; 96
(3) providing the Federal Government’s response to terrorist attacks and major disasters, including— (A) managing such response; (B) directing the Domestic Emergency Support Team, the
National Disaster Medical System, and (when operating as an organizational unit of the Department pursuant to this subchapter) the Nuclear Incident Response Team; (C) overseeing the
Metropolitan Medical Response System; and (D) coordinating other Federal response resources, including requiring deployment of the Strategic National Stockpile, in the event of a terrorist
attack or major disaster; (4) aiding the recovery from terrorist attacks and major disasters; (5) building a comprehensive national incident management system with Federal, State, and
local government personnel, agencies, and authorities, to respond to such attacks and disasters; (6) consolidating existing Federal Government emergency response plans into a single,
coordinated national response plan; (7) helping ensure the acquisition of operable and interoperable interoperable communications capabilities by Federal, State, local, and tribal governments
and emergency response providers; (8) assisting the President in carrying out the functions under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5121
et seq.) and carrying out all functions and authorities given to the Administrator under that Act; (9) carrying out the mission of the Agency to reduce the loss of life and property
and protect the Nation from all hazards by leading and supporting the Nation in a risk-based, comprehensive emergency management system of— (A) mitigation, by taking sustained actions
to reduce or eliminate long-term risks to people and property from hazards and their effects; (B) preparedness, by planning, training, and building the emergency management profession
to prepare effectively for, mitigate against, respond to, and recover from any hazard; (C) response, by conducting emergency operations to save lives and property through positioning
emergency equipment, personnel, and supplies, through evacuating potential victims, through providing food, water, shelter, and medical care to those in need, and through restoring critical
public services; and (D) recovery, by rebuilding communities so individuals, businesses, and governments can function on their own, return to normal life, and protect against future
hazards; 97
(10) increasing efficiencies, by coordinating efforts relating to preparedness, protection, response, recovery, and mitigation; (11) helping to ensure the effectiveness of emergency
response providers in responding to a natural disaster, act of terrorism, or other man-made disaster; (12) supervising grant programs administered by the Agency; (13) administering and
ensuring the implementation of the National Response Plan, including coordinating and ensuring the readiness of each emergency support function under the National Response Plan; (14)
coordinating with the National Advisory Council established under section 508; (15) preparing and implementing the plans and programs of the Federal Government for— (A) continuity of
operations; (B) continuity of government; and (C) continuity of plans; (16) minimizing, to the extent practicable, overlapping planning and reporting requirements applicable to State,
local, and tribal governments and the private sector; (17) maintaining and operating within the Agency the National Response Coordination Center or its successor; (18) developing a national
emergency management system that is capable of preparing for, protecting against, responding to, recovering from, and mitigating against catastrophic incidents; (19) assisting the President
in carrying out the functions under the national preparedness goal and the national preparedness system and carrying out all functions and authorities of the Administrator under the
national preparedness System; (20) carrying out all authorities of the Federal Emergency Management Agency and the Directorate of Preparedness of the Department as transferred under
section 505; and (21) otherwise carrying out the mission of the Agency as described in section 503(b). (b) All-Hazards Approach— In carrying out the responsibilities under this section,
the Administrator shall coordinate the implementation of a risk-based, all-hazards strategy that 98
builds those common capabilities necessary to prepare for, protect against, respond to, recover from, or mitigate against natural disasters, acts of terrorism, and other man-made disasters,
while also building the unique capabilities necessary to prepare for, protect against, respond to, recover from, or mitigate against the risks of specific types of incidents that pose
the greatest risk to the Nation. Sec. 505. Functions Transferred (6 U.S.C. 315) (a) In General— Except as provided in subsection (b), there are transferred to the Agency the following:
(1) All functions of the Federal Emergency Management Agency, including existing responsibilities for emergency alert systems and continuity of operations and continuity of government
plans and programs as constituted on June 1, 2006, including all of its personnel, assets, components, authorities, grant programs, and liabilities, and including the functions of the
Under Secretary for Federal Emergency Management relating thereto. (2) The Directorate of Preparedness, as constituted on June 1, 2006, including all of its functions, personnel, assets,
components, authorities, grant programs, and liabilities, and including the functions of the Under Secretary for Preparedness relating thereto. (b) Exceptions— The following within the
Preparedness Directorate shall not be transferred: (1) The Office of Infrastructure Protection. (2) The National Communications System. (3) The National Cybersecurity Division. (4) The
Office of the Chief Medical Officer. (5) The functions, personnel, assets, components, authorities, and liabilities of each component described under paragraphs (1) through (4). Sec.
506. Preserving the Federal Emergency Management Agency (6 U.S.C. 316) (a) Distinct Entity— The Agency shall be maintained as a distinct entity within the Department. (b) Reorganization—
Section 872 shall not apply to the Agency, including any function or organizational unit of the Agency. 99
(c) Prohibition on Changes to Missions— (1) IN GENERAL— The Secretary may not substantially or significantly reduce the authorities, responsibilities, or functions of the Agency or the
capability of the Agency to perform those missions, authorities, responsibilities, except as otherwise specifically provided in an Act enacted after the date of enactment of the Post-Katrina
Emergency Management Reform Act of 2006. (2) CERTAIN TRANSFERS PROHIBITED— No asset, function, or mission of the Agency may be diverted to the principal and continuing use of any other
organization, unit, or entity of the Department, except for details or assignments that do not reduce the capability of the Agency to perform its missions. (d) Reprogramming and Transfer
of Funds— In reprogramming or transferring funds, the Secretary shall comply with any applicable provisions of any Act making appropriations for the Department for fiscal year 2007,
or any succeeding fiscal year, relating to the reprogramming or transfer of funds. Sec. 507. 507. Regional Offices (6 U.S.C. 317) (a) In General— There are in the Agency 10 regional
offices, as identified by the Administrator. (b) Management of Regional Offices— (1) REGIONAL ADMINISTRATOR— Each Regional Office shall be headed by a Regional Administrator who shall
be appointed by the Administrator, after consulting with State, local, and tribal government officials in the region. Each Regional Administrator shall report directly to the Administrator
and be in the Senior Executive Service. (2) QUALIFICATIONS— (A) IN GENERAL— Each Regional Administrator shall be appointed from among individuals who have a demonstrated ability in and
knowledge of emergency management and homeland security. (B) CONSIDERATIONS— In selecting a Regional Administrator for a Regional Office, the Administrator shall consider the familiarity
of an individual with the geographical area and demographic characteristics of the population served by such Regional Office. (c) Responsibilities— (1) IN GENERAL— The Regional Administrator
shall work in partnership with State, local, and tribal governments, emergency managers, emergency response providers, medical providers, the private sector, nongovernmental organizations,
100
multijurisdictional councils of governments, and regional planning commissions and organizations in the geographical area served by the Regional Office to carry out the responsibilities
of a Regional Administrator under this section. (2) RESPONSIBILITIES— The responsibilities of a Regional Administrator include— (A) ensuring effective, coordinated, and integrated regional
preparedness, protection, response, recovery, and mitigation activities and programs for natural disasters, acts of terrorism, and other man-made disasters (including planning, training,
exercises, and professional development); (B) assisting in the development of regional capabilities needed for a national catastrophic response system; (C) coordinating the establishment
of effective regional operable and interoperable emergency communications capabilities; (D) staffing and overseeing 1 or more strike teams within the region under subsection (f), to
serve as the focal point of the Federal Government's initial response efforts for natural disasters, acts of terrorism, and other man-made disasters within that region, and otherwise
building Federal response capabilities to respond to natural disasters, acts of terrorism, and other man-made disasters within that region; (E) designating an individual responsible
for the development of strategic and operational regional plans in support of the National Response Plan; (F) fostering the development of mutual aid and other cooperative agreements;
(G) identifying critical gaps in regional capabilities to respond to populations with special needs; (H) maintaining and operating a Regional Response Coordination Center or its successor;
and (I) performing such other duties relating to such responsibilities as the Administrator may require. (3) TRAINING AND EXERCISE REQUIREMENTS— (A) TRAINING— The Administrator shall
require each Regional Administrator to undergo specific training periodically to complement the qualifications of the Regional Administrator. Such training, as appropriate, shall include
training with respect to the National Incident Management System, the National Response Plan, and such other subjects as determined by the Administrator. (B) EXERCISES— The Administrator
shall require each Regional Administrator to participate as appropriate in regional and national exercises. (d) Area Offices— (1) IN GENERAL— There is an Area Office for the Pacific
and an Area Office for the Caribbean, as components in the appropriate Regional Offices. (2) ALASKA— The Administrator shall establish an Area Office in Alaska, as a component in the
appropriate Regional Office. 101
(e) Regional Advisory Council— (1) ESTABLISHMENT— Each Regional Administrator shall establish a Regional Advisory Council. (2) NOMINATIONS— A State, local, or tribal government located
within the geographic area served by the Regional Office may nominate officials, including Adjutants General and emergency managers, to serve as members of the Regional Advisory Council
for that region. (3) RESPONSIBILITIES— Each Regional Advisory Council shall— (A) advise the Regional Administrator on emergency management issues specific to that region; (B) identify
any geographic, demographic, or other characteristics peculiar to any State, local, or tribal government within the region that might make preparedness, protection, response, recovery,
or mitigation more complicated or difficult; and (C) advise the Regional Administrator of any weaknesses or deficiencies in preparedness, protection, response, recovery, and mitigation
for any State, local, and tribal government within the region of which the Regional Advisory Council is aware. (f) Regional Office Strike Teams— (1) IN GENERAL— In coordination with
other relevant Federal agencies, each Regional Administrator shall oversee multi-agency strike teams authorized under section 303 of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5144) that shall consist of (A) a designated Federal coordinating officer; (B) personnel trained in incident management; (C) public affairs, response and recovery,
and communications support personnel; (D) a defense coordinating officer; (E) liaisons to other Federal agencies; (F) such other personnel as the Administrator or Regional Administrator
determines appropriate; and (G) individuals from the agencies with primary responsibility for each of the emergency support functions in the National Response Plan. (2) OTHER DUTIES—
The duties of an individual assigned to a Regional Office strike team from another relevant agency when such individual is not functioning as a member of the strike team shall be consistent
with the emergency preparedness activities of the agency that employs such individual. (3) LOCATION OF MEMBERS— The members of each Regional Office strike team, including representatives
from agencies other than the Department, shall be based primarily within the region that corresponds to that strike team. 102
(4) COORDINATION— Each Regional Office strike team shall coordinate the training and exercises of that strike team with the State, local, and tribal governments and private sector and
nongovernmental entities which the strike team shall support when a natural disaster, act of terrorism, or other man-made disaster occurs. (5) PREPAREDNESS— Each Regional Office strike
team shall be trained as a unit on a regular basis and equipped and staffed to be well prepared to respond to natural disasters, acts of terrorism, and other man-made disasters, including
catastrophic incidents. (6) AUTHORITIES— If the Administrator determines that statutory authority is inadequate for the preparedness and deployment of individuals in strike teams under
this subsection, the Administrator shall report to Congress regarding the additional statutory authorities that the Administrator determines are necessary. Sec. 508. National Advisory
Council (6 U.S.C. 318) (a) Establishment— Not later than 60 days after the date of enactment of the Post-Katrina Emergency Management Reform Act of 2006, the Secretary shall establish
an advisory body under section 871(a) to ensure effective and ongoing coordination of Federal preparedness, protection, response, recovery, and mitigation for natural disasters, acts
of terrorism, and other man-made disasters, to be known as the National Advisory Council. (b) Responsibilities— The National Advisory Council shall advise the Administrator on all aspects
of emergency management. The National Advisory Council shall incorporate State, local, and tribal government and private sector input in the development and revision of the national
preparedness goal, the national preparedness system, the National Incident Management System, the National Response Plan, and other related plans and strategies. (c) Membership— (1)
IN GENERAL— The members of the National Advisory Council shall be appointed by the Administrator, and shall, to the extent practicable, represent a geographic (including urban and rural)
and substantive cross section of officials, emergency managers, and emergency response providers from State, local, and tribal governments, the private sector, and nongovernmental organizations,
including as appropriate (A) members selected from the emergency management field and emergency response providers, including fire service, law enforcement, hazardous materials response,
emergency medical services, and emergency management personnel, or organizations representing such individuals; (B) health scientists, emergency and inpatient medical providers, and
public health professionals; 103
(C) experts from Federal, State, local, and tribal governments, and the private sector, representing standards-setting and accrediting organizations, including representatives from the
voluntary consensus codes and standards development community, particularly those with expertise in the emergency preparedness and response field; (D) State, local, and tribal government
officials with expertise in preparedness, protection, response, recovery, and mitigation, including Adjutants General; (E) elected State, local, and tribal government executives; (F)
experts in public and private sector infrastructure protection, cybersecurity, and communications; (G) representatives of individuals with disabilities and other populations with special
needs; and (H) such other individuals as the Administrator determines to be appropriate. (2) COORDINATION WITH THE DEPARTMENTS OF HEALTH AND HUMAN SERVICES AND TRANSPORTATION— In the
selection of members of the National Advisory Council who are health or emergency medical services professionals, the Administrator shall work with the Secretary of Health and Human
Services and the Secretary of Transportation. (3) EX OFFICIO MEMBERS— The Administrator shall designate 1 or more officers of the Federal Government to serve as ex officio members of
the National Advisory Council. (4) TERMS OF OFFICE— (A) IN GENERAL— Except as provided in subparagraph (B), the term of office of each member of the National Advisory Council shall be
3 years. (B) INITIAL APPOINTMENTS— Of the members initially appointed to the National Advisory Council (i) one-third shall be appointed for a term of 1 year; and (ii) one-third shall
be appointed for a term of 2 years. (d) Applicability of Federal Advisory Committee Act— (1) IN GENERAL— Notwithstanding section 871(a) and subject to paragraph (2), the Federal Advisory
Committee Act (5 U.S.C. App.), including subsections (a), (b), and (d) of section 10 of such Act, and section 552b(c) of title 5, United States Code, shall apply to the National Advisory
Council. (2) TERMINATION— Section 14(a)(2) of the Federal Advisory Committee Act (5 U.S.C. App.) shall not apply to the National Advisory Council. Sec. 509. National Integration Center
(6 U.S.C. 319) (a) In General— There is established in the Agency a National Integration Center. 104
(b) Responsibilities— (1) IN GENERAL— The Administrator, through the National Integration Center, and in consultation with other Federal departments and agencies and the National Advisory
Council, shall ensure ongoing management and maintenance of the National Incident Management System, the National Response Plan, and any successor to such system or plan. (2) SPECIFIC
RESPONSIBILITIES— The National Integration Center shall periodically review, and revise as appropriate, the National Incident Management System and the National Response Plan, including—
(A) establishing, in consultation with the Director of the Corporation for National and Community Service, a process to better use volunteers and donations; (B) improving the use of
Federal, State, local, and tribal resources and ensuring the effective use of emergency response providers at emergency scenes; and (C) revising the Catastrophic Incident Annex, finalizing
and releasing the Catastrophic Incident Supplement to the National Response Plan, and ensuring that both effectively address response requirements in the event of a catastrophic incident.
(c) Incident Management— (1) IN GENERAL— (A) NATIONAL RESPONSE PLAN— The Secretary, acting through the Administrator, shall ensure that the National Response Plan provides for a clear
chain of command to lead and coordinate the Federal response to any natural disaster, act of terrorism, or other man-made disaster. (B) ADMINISTRATOR— The chain of the command specified
in the National Response Plan shall (i) provide for a role for the Administrator consistent with the role of the Administrator as the principal emergency management advisor to the President,
the Homeland Security Council, and the Secretary under section 503(c)(4) and the responsibility of the Administrator under the Post-Katrina Emergency Management Reform Act of 2006, and
the amendments made by that Act, relating to natural disasters, acts of terrorism, and other man-made disasters; and (ii) provide for a role for the Federal Coordinating Officer consistent
with the responsibilities under section 302(b) of the Robert T. Stafford Disaster Relief and Emergency Assistance Act (42 U.S.C. 5143(b)). (2) PRINCIPAL FEDERAL OFFICIAL— The Principal
Federal Official (or the successor thereto) shall not— (A) direct or replace the incident command structure established at the incident; or (B) have directive authority over the Senior
Federal Law Enforcement Official, Federal Coordinating Officer, or other Federal and State officials. 105
Sec. 510. Credentialing and Typing (6 U.S.C. 320) The Administrator shall enter into a memorandum of understanding with the administrators of the Emergency Management Assistance Compact,
State, local, and tribal governments, and organizations that represent emergency response providers, to collaborate on developing standards for deployment capabilities, including credentialing
of personnel and typing of resources likely needed to respond to natural disasters, acts of terrorism, and other man-made disasters. Sec. 511. The National Infrastructure Simulation
and Analysis Center (6 U.S.C. 321) (a) Definition— In this section, the term 'National Infrastructure Simulation and Analysis Center' means the National Infrastructure Simulation and
Analysis Center established under section 1016(d) of the USA PATRIOT Act (42 U.S.C. 5195c(d)). (b) Authority— (1) IN GENERAL— There is in the Department the National Infrastructure Simulation
and Analysis Center which shall serve as a source of national expertise to address critical infrastructure protection and continuity through support for activities related to (A) counterterrorism,
threat assessment, and risk mitigation; and (B) a natural disaster, act of terrorism, or other man-made disaster. (2) INFRASTRUCTURE MODELING— (A) PARTICULAR SUPPORT— The support provided
under paragraph (1) shall include modeling, simulation, and analysis of the systems and assets comprising critical infrastructure, in order to enhance preparedness, protection, response,
recovery, and mitigation activities. (B) RELATIONSHIP WITH OTHER AGENCIES— Each Federal agency and department with critical infrastructure responsibilities under Homeland Security Presidential
Directive 7, or any successor to such directive, shall establish a formal relationship, including an agreement regarding information sharing, between the elements of such agency or department
and the National Infrastructure Simulation and Analysis Center, through the Department. (C) PURPOSE— (i) IN GENERAL— The purpose of the relationship under subparagraph (B) shall be to
permit each Federal agency and department described in subparagraph (B) to take full advantage of the capabilities of the National Infrastructure Simulation and Analysis Center (particularly
vulnerability and consequence analysis), consistent with its work load capacity and priorities, for real-time response to reported and projected natural disasters, acts of terrorism,
and other man-made disasters. 106
(ii) RECIPIENT OF CERTAIN SUPPORT— Modeling, simulation, and analysis provided under this subsection shall be provided to relevant Federal agencies and departments, including Federal
agencies and departments with critical infrastructure responsibilities under Homeland Security Presidential Directive 7, or any successor to such directive. Sec. 512. Evacuation Plans
and Exercises (6 U.S.C. 321a) (a) In General— Notwithstanding any other provision of law, and subject to subsection (d), grants made to States or local or tribal governments by the Department
through the State Homeland Security Grant Program or the Urban Area Security Initiative may be used to— (1) establish programs for the development and maintenance of mass evacuation
plans under subsection (b) in the event of a natural disaster, act of terrorism, or other man-made disaster; (2) prepare for the execution of such plans, including the development of
evacuation routes and the purchase and stockpiling of necessary supplies and shelters; and (3) conduct exercises of such plans. (b) Plan Development— In developing the mass evacuation
plans authorized under subsection (a), each State, local, or tribal government shall, to the maximum extent practicable— (1) establish incident command and decision making processes;
(2) ensure that State, local, and tribal government plans, including evacuation routes, are coordinated and integrated; (3) identify primary and alternative evacuation routes and methods
to increase evacuation capabilities along such routes such as conversion of two-way traffic to one-way evacuation routes; (4) identify evacuation transportation modes and capabilities,
including the use of mass and public transit capabilities, and coordinating and integrating evacuation plans for all populations including for those individuals located in hospitals,
nursing homes, and other institutional living facilities; (5) develop procedures for informing the public of evacuation plans before and during an evacuation, including individuals--(A)
with disabilities or other special needs; (B) with limited English proficiency; or (C) who might otherwise have difficulty in obtaining such information; and 107
(6) identify shelter locations and capabilities. (c) Assistance— (1) IN GENERAL— The Administrator may establish any guidelines, standards, or requirements determined appropriate to
administer this section and to ensure effective mass evacuation planning for State, local, and tribal areas. (2) REQUESTED ASSISTANCE— The Administrator shall make assistance available
upon request of a State, local, or tribal government to assist hospitals, nursing homes, and other institutions that house individuals with special needs to establish, maintain, and
exercise mass evacuation plans that are coordinated and integrated into the plans developed by that State, local, or tribal government under this section. (d) Multipurpose Funds— Nothing
in this section may be construed to preclude a State, local, or tribal government from using grant funds in a manner that enhances preparedness for a natural or man-made disaster unrelated
to an act of terrorism, if such use assists such government in building capabilities for terrorism preparedness. Sec. 513. Disability Coordinator (6 U.S.C. 321b) (a) In General— After
consultation with organizations representing individuals with disabilities, the National Council on Disabilities, and the Interagency Coordinating Council on Preparedness and Individuals
with Disabilities, established under Executive Order No. 13347 (6 U.S.C. 312 note), the Administrator shall appoint a Disability Coordinator. The Disability Coordinator shall report
directly to the Administrator, in order to ensure that the needs of individuals with disabilities are being properly addressed in emergency preparedness and disaster relief. (b) Responsibilities
The Disability Coordinator shall be responsible for— (1) providing guidance and coordination on matters related to individuals with disabilities in emergency planning requirements and
relief efforts in the event of a natural disaster, act of terrorism, or other man-made disaster; (2) interacting with the staff of the Agency, the National Council on Disabilities, the
Interagency Coordinating Council on Preparedness and Individuals with Disabilities established under Executive Order No. 13347 (6 U.S.C. 312 note), other agencies of the Federal Government,
and State, local, and tribal government authorities regarding the needs of individuals with disabilities in emergency planning requirements and relief efforts in the event of a natural
disaster, act of terrorism, or other man-made disaster; (3) consulting with organizations that represent the interests and rights of individuals with disabilities about the needs of
individuals with disabilities in 108
emergency planning requirements and relief efforts in the event of a natural disaster, act of terrorism, or other man-made disaster; (4) ensuring the coordination and dissemination of
best practices and model evacuation plans for individuals with disabilities; (5) ensuring the development of training materials and a curriculum for training of emergency response providers,
State, local, and tribal government officials, and others on the needs of individuals with disabilities; (6) promoting the accessibility of telephone hotlines and websites regarding
emergency preparedness, evacuations, and disaster relief; (7) working to ensure that video programming distributors, including broadcasters, cable operators, and satellite television
services, make emergency information accessible to individuals with hearing and vision disabilities; (8) ensuring the availability of accessible transportation options for individuals
with disabilities in the event of an evacuation; (9) providing guidance and implementing policies to ensure that the rights and wishes of individuals with disabilities regarding post-evacuation
residency and relocation are respected; (10) ensuring that meeting the needs of individuals with disabilities are included in the components of the national preparedness system established
under section 644 of the Post-Katrina Emergency Management Reform Act of 2006; and (11) any other duties as assigned by the Administrator. Sec. 514. Department and Agency Officials (6
U.S.C. 321c) (a) Deputy Administrators— The President may appoint, by and with the advice and consent of the Senate, not more than 4 Deputy Administrators to assist the Administrator
in carrying out this title. (b) Cybersecurity and Communications— There is in the Department an Assistant Secretary for Cybersecurity and Communications. (c) United States Fire Administration—
The Administrator of the United States Fire Administration shall have a rank equivalent to an assistant secretary of the Department. 109
Sec. 515. National Operations Center (6 U.S.C. 321d) (a) Definition— In this section, the term `situational awareness' means information gathered from a variety of sources that, when
communicated to emergency managers and decision makers, can form the basis for incident management decision making. (b) Establishment— The National Operations Center is the principal
operations center for the Department and shall— (1) provide situational awareness and a common operating picture for the entire Federal Government, and for State, local, and tribal governments
as appropriate, in the event of a natural disaster, act of terrorism, or other man-made disaster; and (2) ensure that critical terrorism and disaster-related information reaches government
decision-makers. Sec. 516. Chief Medical Officer (6 U.S.C. 321e) (a) In General— There is in the Department a Chief Medical Officer, who shall be appointed by the President, by and with
the advice and consent of the Senate. (b) Qualifications— The individual appointed as Chief Medical Officer shall possess a demonstrated ability in and knowledge of medicine and public
health. (c) Responsibilities— The Chief Medical Officer shall have the primary responsibility within the Department for medical issues related to natural disasters, acts of terrorism,
and other man-made disasters, including— (1) serving as the principal advisor to the Secretary and the Administrator on medical and public health issues; (2) coordinating the biodefense
activities of the Department; (3) ensuring internal and external coordination of all medical preparedness and response activities of the Department, including training, exercises, and
equipment support; (4) serving as the Department's primary point of contact with the Department of Agriculture, the Department of Defense, the Department of Health and Human Services,
the Department of Transportation, the Department of Veterans Affairs, and other Federal departments or agencies, on medical and public health issues; (5) serving as the Department's
primary point of contact for State, local, and tribal governments, the medical community, and others within and outside the Department, with respect to medical and public health matters;
110
(6) discharging, in coordination with the Under Secretary for Science and Technology, the responsibilities of the Department related to Project Bioshield; and (7) performing such other
duties relating to such responsibilities as the Secretary may require. Sec. 517. Nuclear incident response (6 U.S.C. 321f) (a) In general At the direction of the Secretary (in connection
with an actual or threatened terrorist attack, major disaster, or other emergency in the United States), the Nuclear Incident Response Team shall operate as an organizational unit of
the Department. While so operating, the Nuclear Incident Response Team shall be subject to the direction, authority, and control of the Secretary. (b) Rule of construction Nothing in
this subchapter shall be construed to limit the ordinary responsibility of the Secretary of Energy and the Administrator of the Environmental Protection Agency for organizing, training,
equipping, and utilizing their respective entities in the Nuclear Incident Response Team, or (subject to the provisions of this subchapter) from exercising direction, authority, and
control over them when they are not operating as a unit of the Department. Sec. 518. Conduct of certain public health-related activities (6 U.S.C. 321g) (a) In general With respect to
all public health-related activities to improve State, local, and hospital preparedness and response to chemical, biological, radiological, and nuclear and other emerging terrorist threats
carried out by the Department of Health and Human Services (including the Public Health Service), the Secretary of Health and Human Services shall set priorities and preparedness goals
and further develop a coordinated strategy for such activities in collaboration with the Secretary. (b) Evaluation of progress In carrying out subsection (a) of this section, the Secretary
of Health and Human Services shall collaborate with the Secretary in developing specific benchmarks and outcome measurements for evaluating progress toward achieving the priorities and
goals described in such subsection. Sec. 519. Use of national private sector networks in emergency response (6 U.S.C. 321h) To the maximum extent practicable, the Secretary shall use
national private sector networks and infrastructure for emergency response to chemical, biological, radiological, nuclear, or explosive disasters, and other major disasters. 111
Sec. 520. Use of commercially available technology, goods, and services (6 U.S.C. 321i) It is the sense of Congress that— (1) the Secretary should, to the maximum extent possible, use
off-the-shelf commercially developed technologies to ensure that the Department’s information technology systems allow the Department to collect, manage, share, analyze, and disseminate
information securely over multiple channels of communication; and (2) in order to further the policy of the United States to avoid competing commercially with the private sector, the
Secretary should rely on commercial sources to supply the goods and services needed by the Department. Sec.
521. Procurement of security countermeasures for Strategic National Stockpile (6 U.S.C. 321j) (a) Authorization of appropriations For the procurement of security countermeasures under
section 247d–6b (c) of title 42 (referred to in this section as the “security countermeasures program”), there is authorized to be appropriated up to $5,593,000,000 for the fiscal years
2004 through 2013. Of the amounts appropriated under the preceding sentence, not to exceed $3,418,000,000 may be obligated during the fiscal years 2004 through 2008, of which not to
exceed $890,000,000 may be obligated during fiscal year 2004. (b) Special reserve fund For purposes of the security countermeasures program, the term “special reserve fund” means the
“Biodefense Countermeasures” appropriations account or any other appropriation made under subsection (a) of this section. (c) Availability Amounts appropriated under subsection (a) of
this section become available for a procurement under the security countermeasures program only upon the approval by the President of such availability for the procurement in accordance
with paragraph (6)(B) of such program. (d) Related authorizations of appropriations (1) Threat assessment capabilities For the purpose of carrying out the responsibilities of the Secretary
for terror threat assessment under the security countermeasures program, there are authorized to be appropriated such sums as may be necessary for each of the fiscal years 2004 through
2006, for the hiring of professional personnel within the Directorate for Information Analysis and Infrastructure Protection, who shall be analysts responsible for chemical, biological,
radiological, and nuclear threat assessment 112
113 (including but not limited to analysis of chemical, biological, radiological, and nuclear agents, the means by which such agents could be weaponized or used in a terrorist attack,
and the capabilities, plans, and intentions of terrorists and other nonstate actors who may have or acquire such agents). All such analysts shall meet the applicable standards and qualifications
for the performance of intelligence activities promulgated by the Director of Central Intelligence pursuant to section 403–4 of title 50. (2) Intelligence sharing infrastructure For
the purpose of carrying out the acquisition and deployment of secure facilities (including information technology and physical infrastructure, whether mobile and temporary, or permanent)
sufficient to permit the Secretary to receive, not later than 180 days after July 21, 2004, all classified information and products to which the Under Secretary for Information Analysis
and Infrastructure Protection is entitled under part A of subchapter II of this chapter, chapter, there are authorized to be appropriated such sums as may be necessary for each of the
fiscal years 2004 through 2006.