HomeMy WebLinkAboutCCP 11-19-2001
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SuJt'~n Items,
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. J;> 2002ilrK.tget DiscUSsion
o 'Department Budgets, Fiv~ Year Capital hn~t
Plan (tIP) '. '. .
o Pl.trehasC ofS'piingbrook Financial Software. awl ;.,
0, ' Jc$\t POwers AgreerJtent (JPA), CitY of Rosevi1le "
O::fl\:~logy) , ..f'~~ '
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)0> CitY Hall M~tenance
)> Draft'r~logy Policy . ".""
J;> Rmew of~yOperations Plan (EOP) .
J;> Maiu~and ()perati0Dll Superintendant Position
, .0 ..~Chart .,
J;> 2002Commi~ Aqignt)lent Process
. J;> AMM and:LMC Legislative Policy PriCtjties
,)> City Hall Ulcation '
')> C~t Services Evaluation
)> Codification Process
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Administration .Department
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,ConueII ~
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Adjourn
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The lIbQve'timIIS '..........~' .......... ofissoe discusiioD."
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Tentative November MeetiDl! Schednle , ..
Meeting dates, times and locations are subject to change. Tel!tative DecelJber MeetiDl!Scltedule
Please contact City Hall for the most current schedule Meeting dates, times lIIld locat:j!)ll.$ are subject to change.
, Please .contact City Hall for the most cunent schedule
Nov. 6 School Board Elections AllDay
Dec. 5 PlanningCommission 7:3'0 P.M,
Nov, 7 Planning Commission 7:30 PM.
Dec. 10 Cou~ Meeting 7:30 P.M.
Nov. 12 Holiday
Dec. 17 Coundl Worbesslon ' , 4:45 P.M.
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Nov. 13 Council Meeting 7:30P.M.
(Tuesday) Dec. 18 Parks & Recreation ,{:oo P.M,
Committee
Nov. IS Operations & Finance 7:00 P.M.
Committee Dec. 20 Operations & Finance 7:00P.M.
Committee
Nov. 19 Council Worksesslon 4:45 P.M.
Dec. 24 Holiday
Nov. 22 Holiday Dec. 25 Holiday
Nov. 23 Holiday
Dec. 26 Communications 7:00
Nov. 26 Council Meeting 7:30 P.M. Commj:ttee
Nov. 27 Parks & Recreation 7:00 P.M. Dec. 26 Council Meeting 7:30 P.M;'
Committee . (Wetlnesihty)
Nov, 28 Communications 7:00 A.M. Dec. 31 Holiday'
Committee
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HP Laser Jet
3200
(Ai)@
:lTY OF ARDEN HILLS
6516345137
NOV-16-2001 4:20PM
i n v e n t
Fax Call Report
Job Date Time Type Identification Duration Pages Result
720 11/16/2001 4:08:21PM Send 9,6123701378 1:03 2 OK
721 11/16/2001 4: 09: 30PM Send 9,7634219511 1: 10 2 OK
722 11/16/2001 4:10:46PM Send 9,6516286833 1: 02 2 OK
723 11116/2001 4: 11 :54PM Send 9,7637060891 1:07 2 OK
724 11/16/2001 4:13:06PM Send 9,6516333846 1:56 2 OK
725 11/16/2001 4: 15: 08PM Send 9,6512282191 1: 10 2 OK
726 11/16/2001 4:16:23PM Send 9,6512279371 0:44 2 OK
727 11/16/2001 4:17:12PM Send 9,6514821262 0:43 2 OK
728 11116/2001 4:18:00PM Send 9,6512669301 0:58 2 OK
729 11/16/2001 4:19:03PM Send 9,6516461220 1: 06 2 OK
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~~ILLS
MEMORANDUM
DATE:
November 16,2001
TO:
Joe Lynch, City Administrator
@0
FROM:
Terrance Post, City Accountant
SUBJECT:
Financial Software Replacement
Backl!round
Prior to 1993, the City of Arden Hills purchased financial accounling data processing services
from a service bureau al an approximate cost of$18,000 per year. In late 1992, the City
purchased Banyan Dala Systems (BDS) financial software for fund accounting, payroll and utility
billing at a cost of $1 0, 130. The BDS software is MS-DOS based, and was adequate entry level
software,
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Issues
,The BDS Software is the sole surviving DOS software at City Hall, Its use also requires the use
of a dedicated dot matrix printer. Finally, the software supplier (Banyan) appears to have adopted
a revenue "harvest" strategy and has not been forthcoming with a true Windows product from a
software development perspective, In light of this support issue, two neighboring cities of about
Arden Hills' size (Vadnais Heights and Little Canada) have dropped Banyan in the last two years,
Discussion
In terms of converting financial software, an ideal lime is the beginning of a new financial
reporting year or in Ihe City's case, January I, 2002, A financial software package that the
aforementioned cities of Vadnais Heights and Little Canada wenl with is the Springbrook
financial software product. The City of Roseville is also using this product. The City of Arden
Hills can purchase the software at a cost of $13,000, With the City of Roseville also using the
product, and the City of Arden Hills utilizing the Roseville network, there would also be the
advantage of Roseville being, defacto, an application server in terms of upgrades and server
redundancy,
Financinl!
Although Ihe conversion from the DOS-based BDS software has long been conlemplated, it was
always dependent upon moving into a new facility with appropriale nelwork support. With the
new City Hall construction schedule somewhat problemalic when the 200 I budgel was prepared,
this capital item was not included,
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Recommendation
Slaff asks the Arden Hills City Council to consider this 2001 unbudgeled $13,000 capital
purchase request and provide direction 10 slaffiflhe item should be included on the Consent
Calendar at the regular meeting of November 26, 2001. The timing of this action could allow the
processing of 2002 transactions on the new software beginning in January,
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/]'\~ILLS
CITY OF ARDEN HILLS
MEMORANDUM
DATE:
November 15, 2001
TO:
Mayor and City Council
Joe Lynch, City Administrator
Aaron Parrish, City Planner ;1
Proposed Joint Powers Agreement
FROM:
SUBJECT:
Backllround
With the move to City Hall, the City also made a significant investment in new technology including:
. A new network utilizing the Windows 2000 Operating System
. Network jacks, cabling, and router making network, e-mail, and internet resources available
throughout most of the building
. 10 new computer workstations and monitors
. Internet, e-mail, and calander scheduling made available to all employees, Employees can also
access their calander and work e-mail via 'Webmail."
. Fax from desk capability
. A digital scanner for electronic document imaging
. Upgrade to Microsoft Office XP Software (Office, Excel, Access, PowerPoint) for most computers
In the past, the City has had a loosely constructed agreement with the City of Roseville for computer and
network support services (for three computers that were connected to the internet), However, the City's
primary network and related technological resources were not covered under the agreement or
sufficiently maintained. In order to maximize productivity and the City's investment in technology, staff
has been evaluating options to formalize our relationship with the City of Roseville based on existing
needs, As such, enclosed is a draft JPA for your review and comment.
Based on our discussions with the City of Roseville and an internal evaluation of needs, the proposed
JPA contemplates the services highlighted below for an annual fee of $20,000.
. Ongoing network support, maintenance, security, and upgrade
. Systems integration/installation of new software (new financial software etc. , ,)
. Hardware maintenance and configuration
. Ongoing software updates (antivirus etc , . ,)
. Desktop and workstation technical support for issues not resolvable in-house
. Continued hosting and maintenance of city e-mail and web server
. Monitoring and evaluation of communications infrastructure
. Hardware and software purchasing evaluation
. Software and hardware training
Proposed Joint Powers Agreement Memo
November 15, 2001
Page 2 of2
The $20,000 per year for information technology is much less than would be required to hire someone to .
perform the necessary services in house, but more than the City has traditionally spent. It is anticipated
that quarterly reporting requirements would be a component of the jPA as well,
Aside from pursuing a jPA with the City of Roseville, another option would be to evaluate the use of a
private vendor. However, there are several considerations that need to evaluated if we elected to
contract with a private vendor, First, the pricing would have to be evaluated. While not specifically
articulated in the jPA, the services to provided by Roseville roughly translates into 500 hours of service
at $40 per hour, However, it should be noted that we are purchasing a bundle of services as opposed to
a specific number of hours. On a quarterly or yeariy basis the actual number of hours may be more or
less depending on needs, In looking at a few private vendors, the price ranged from $35 to $125 per
hour, The $35 dollar per hour company was essentially a home based business, while the $125 per hour
firm had multi-faceted capabilities,
Second, Roseville has the ability to address all of our information technology needs, and to a certain
extent we are already integrated with their system, More specifically, the two organizations are already
integrated in the following areas:
. Arden Hills currenly utilizes Roseville's web and e-mail servers to provide e-mail capability to the City
and to host the City's website, For reference, the 1-35W Corridor Coalition was recently quoted $600
per month ($7,200 per year) to host a secure website, The aforementioned figure does not include
the hosting of an e-mail server,
. With the anticipated switch from our current financial software package to the Springbrook Financial
software, there will be additional integration issues with Roseville, This is due to the fact that a large
portion of data will reside in Roseville and be accessed by Arden Hills via the I-Net (Institutional
Network).
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. Roseville allows Arden Hills to take advantage of their Win Server (fax server) giving Arden Hills
employees the ability to fax from there computer in a similar fashion to sending an e-mail. Roseville
also currently supports employees ability to access e-mail from home through 'Webmail."
In essence, Roseville provides "One Stop Shopping" for most of Arden Hills information
systems/technology needs. Finally, as is the case with any jPA or contractual agreement, it is necessary
to also take into consideration the timeliness and quality of service provided, Given the services provided
to date, staff is confident that Roseville can deliver in both areas.
Please feel free to contact me if you should have any questions, Thank you for your time and
consideration.
Reauested Action
Provide comments regarding the proposed joint powers agreement. Authorize staff to finalize agreement
with Roseville staff to be brought forth for final consideration by the Council at a later date.
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JOINT POWERS AGREEMENT
FOR THE CITY OF ARDEN HILLS'S TEMPORARY
UTILIZATION OF A CITY OF ROSEVILLE EMPLOYEE
THIS AGREEMENT, entered into by and between the CITY OF ROSEVILLE, a
Minnesota municipal corporation, and the CITY OF ARDEN HILLS, a Minnesota municipal
corporation, is effective upon the execution ofthis Agreement by the named officers of both
cities.
RECITALS
WHEREAS, Arden Hills is in need of computer and other technical support services
and is without staff to provide the needed services;
WHEREAS, Roseville has management information system and other technical
employees that are able to provide the services required by Arden Hills and;
WHEREAS, Minnesota Statute 471.59 authorizes political subdivisions of the State to
enter into Joint Powers Agreements for the joint exercise of powers common to each.
NOW, THEREFORE, it is mutually stipulated and agreed to as follows:
1. SERVICES.
A.
The City of Rose vi lie shall provide qualified management information
systems employees ("Employees") to perform computer and related
technical services required by the City of Arden Hills. These services
include the following:
. Ongoing network maintenance, security, and upgrades.
· System integration/installation of new software,
. Hardware maintenance and configuration.
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. Desktop technical support for issues not resolvable in-house, .
. Hosting of web site and city e-mail.
. Monitoring and evaluation of communications infrastructure.
. Hardware and software purchasing evaluation/testing.
. Hardware and software training.
B.
The City of Roseville shall be solely responsible for compensating the
assigned Employee(s) engaged in providing computer and technical
services under this Agreement, including any overtime wages incurred, as
well as any insurance or employee benefits provided under the policies or
agreements of the City of Roseville.
B. The City of Arden Hills will provide the necessary office, equipment, and
supplies for the assigned Employee(s) to provide the services required hereunder and will bear .
all costs attendant thereto.
C. The City of Arden Hills shall coordinate scheduling of work to be performed by
the assigned Employee(s) with and shall receive prior approval of all scheduled hours to be
performed under this Agreement from the Roseville City Manager or his designee.
2. PAYMENT. The City of Arden Hills will compensate the City of Roseville for
services rendered in the amount of Twenty Thousand and No/IOO Dollars ($20,000.00) for
services rendered. The City of Arden Hills shall make monthly payments, upon presentation by
the City of Roseville of a monthly billing equal to one-twelfth (l/I2'h) of the annual amount
herein stated, There may be annual inflationary adjustments to the base payment.
3. INDEMNIFICATION. The City of Roseville agrees to assume sole liability for
any negligent or intentional acts ofthe assigned Employee(s) while performing the assigned .
2
. duties within the jurisdiction of either city, Each city agrees to indemnify, defend. and hold
harmless the other from any claims, causes of action, damages, loss, cost or expenses including
reasonable attorney's fces resulting from or related to the actions of each city, its officers, agents
or employees in the execution of the duties outlined in this Agreement, except as qualified by the
previous sentence,
4. TERMINATION, SEPARABILITY.
A. This Agreement may be terminated by eithcr party upon thirty (30) days' noticc
provided to the respective City Manager of Roseville or the Clcrk\Administrator of Arden Hills.
B. Upon termination, any and all records or property of the respective cities will be
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returned to the appropriate city.
C. This Agrcement is governed by the laws ofthc State of Minnesota.
D. In the event that any provision of this Agreement is held invalid, the other
provisions remain in full force and effect.
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IN WITNESS WHEREOF, the Cities of Rose vi lie and Arden Hills have caused this Agreement .
to be duly executed effective on the day and year last entered below,
Dated:
CITY OF ROSEVILLE
By:
John Kysylycyn
Its Mayor
By:
Neal Beets
Its City Manager
Dated:
CITY OF ARDEN HILLS
By:
Dennis Probst
Its Mayor
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By:
Joe Lynch
Its Administrator
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~~ILLS
MEMORANDUM
TO: Mayor and City Council
FROM: Joe Lynch, City Administrator
SUBJECT: City Hall Maintenance
DATE: November 15, 2001
BACKGROUND
As previously reported, staff went through a request for quotes process for the maintenance of
City Hall. We received six proposals, Three of the proposals were rejected because they did not
respond to our request and the cost was more than double the other responses.
The proposal received from Coverall provides the type of service staff believes is necessary for
maintenance of our new building at the lowest cost of all proposals received. As well, Coverall
did make adjustments to their coverage, based on discussions and changes desired on our part.
Coverall is a franchise business and as such we are dealing directly with the owner wben we
have service requests, performance issues, or changes needed in frequency or type.
The cost for five-day a week service is $1,163 per month, All supplies except consumab1es (trash
can liners and toiletries) are supplied by Coverall. The cancellation policy is 30-day notice,
RECOMMENDATION
Staff recommends that Council direct the City Administrator to sign a contract with Coverall
Inc., for the maintenance of City Hall at a cost of $1,163 per month and begin service as soon as
Coverall can arrange to schedule a work crew.
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UNITED STATES
At/onto
Baltimore
Birmingham
Boston
Bridgeporl
Charloffe
Chicago
Cincinnati
Cleveiand
COlumbus
Dot/os
Dayton
Daytona Beach
Denver
Detro"
Ft. Lauderdale
Ft. Myers
Gainesville
I Grand Rapids
Greater Los Angeles
Greensboro
Greenville
Harrisburg
Hartford
Honolulu
Houston
Indianapolis
Jacksonville
Kansas City
Los Vegas
Lexington
Long Island
Louisville
Madison
Memphis
Menasha
Miami
MilwQukee
Minneapolis
Modesto
No. New Jersey
Norlolk
Ocala
Orange County
Orlando
Palm Beach
Philadelphia
Pltlsburgh
Porlland
Providence
I/alelgh/Durham
Richmond
Sacramento
San Antonio
San Bernardino
Son Diego
Son Francisco
Sonta Barbaro
Seattle
51. Louis
Tampa
Toledo
Washington D.C.
West Virginia
Worcester
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INTEl/NATIONAL
Asia
Australia
Canada
South America
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Coverall of the Twin Cities
8009 34th Avenue South ~ Suite 865 ~ Bloomington, MN 55425
952/814-1010 ~ St, Cloud 320/240,0330 ~ Fox 952/814-1009 ~ WWW.coverall.com
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October 8, 2001
City of Arden Hills
Altn: Tom Moore
1245 Highway 96
Arden Hills, MN 55112
Dear Tom:
Thank you for allowing us the opportunity to present you with our maintenance service proposal,
customized for your specific requirements.
Coverall started as a small operation in 1985, We have since grown to national stature with over
forty regional offices providing professional cleaning services to more than 20,000 clients.
We have achieved our record growth by solving the problems that cripple conventional janitorial
servICes:
./ Security - Our owners are on site to prevent any security problems.
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./ Turnover - Because our Franchisees are owners they stay with their building longer than
conventional contractors.
./ Cleaning Quality - Much of the cleaning, special services and "extras" are done by the
owners themselves, so the quality is better.
./ Supervision - The owners are small business people who intensively supervise the
limited number of accounts they manage.
At Coverall you are number one. Customer satisfaction is the reason for our success and forms
the foundation of our company's philosophy.
Please spend a few minutes reviewing the enclosed material for a clear understanding of our
company, its unique concept, and how you can have the best quality cleaning service at the most
reasonable price.
Sincerely,
J~
Nelson TraCey~
Marketing consultanJ
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he Problem: Lack oJproJessionalism in Commercial Cleaning
Recurring problems in this Industry Include:
1, I nconsistent service and untrained workers
2. No supervision to ensure quality,
3, No contact person for service requests,
4, Lack of management concern for customer satisfaction
5, Account cancellations due to poor quality of labor,
he Solution: The COVERALL Concept
COVERALL has created a concept where highly trained personnel, quality
cleaning methods and dependable work schedules come together to form a
successful commercial cleaning program that works,
The COVERALL Resources
COVERALL has invested in a comprehensive training program and an extensive
support system, We have developed quality control systems, customer relation
services and billing and collection services, We have provided volume purchasing
power, discounted insurance coverage and a state,of-the,art equipment package,
Commercial Cleaning Professionals
Our franchise owners recognized the need for our resources, and they invested in
their own commercial cleaning franchises, They wanted to learn the latest cleaning
techniques, proper equipment usage and elfective customer relations Skills,
These self, motivated individuals are true cleaning professionals,
The Growing Move to COVERALL Commercial Cleaning
More than 5,000 industrious men and women have become COVERALL franchise
owners, Together, they provide the highest quality commercial cleaning services to
our over 30,000 customer accounts,
Small and large office buildings, industrial complexes, medical facilities. banks,
department stores and corporate headquarters are among the many accounts we
serve, Their size ranges from just 1,000 to over one million square feet. Yet, they all
possess one common requirement that COVERALL consistently provides - the
best quality cleaning service at the most reasonable price.
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Important facts about COVERALL seroices
. Insurance
COVERALL franchise owners are insured with a $2,000,000 liability coverage
as well as a $100,000 janitorial bond.
. Training
COVERALL requires all franchise owners to use the same cleaning methods
that have lead to our growth and success,
To accomplish the consistency, franchise owners complete an intensive train-
ing program during which they master the latest cleaning techniques using
state-of-the-art products and equipment.
. Quality Control
Our Quality Assurance Department will perform periodic daytime inspections of
your workplace, This practice helps maintain COVERALL'S high standards
and encourages feedback from our customers,
. Cleaning Schedules
All cleaning operations are generally performed after business hours and on
weekends, However, we can also accommodate your daytime cleaning needs,
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All initial or special cleanings are arranged to meet your scheduling require-
ments,
. Communications
Phone Support: We work when you work - so we'll be available when you
need us, Our COVERALL regional offices can assist you with any cleaning
matters during regular business hours,
Paging System: Our franchise owners are accessible 24 hours a day via their
beepers, This tool assures rapid response both in emergency situations or
simply to make a special request.
Log Books: You can also communicate questions or comments to your fran-
chise owner via our log book. The owner checks the log book daily, and signs
it after each cleaning,
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COVERALL'S cleaning contract agreement
The undersigned hereby accepts the proposal of COVERALL OF THE TWIN CITIES, INC.
to supply janitorial services for our premises described as follows:
City of Arden Hills
1245 Highway 96
Arden Hills, MN 55112
with the following terms:
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I, COVERALL'S service charge will be $1,163.00 per MONTH. Service will be provided
in accordance with COVERALL'S work schedule attached hereto and an integral part of
this agreement. (Price listed above does not include applicable local sales tax.)
2. COVERALL will perform all janitorial services specified in the attached work schedule
in a good and workman like manner consistent with industry standards. At no time and in no
event shall COVERALL be responsible for the clean-up or disposal of hazardous materials
belonging to Customer or its clients. In the event of non-performance by COVERALL, the
customer shall first give verbal notification, followed by written notification to
COVERALL.
*
3. All equipment and cleaning supplies will be furnished by COVERALL, with the
exception ofliners and toiletries, which can be provided at wholesale prices.
*
4. The price quoted above is good until June I, 2003 unless customer changes scope of job.
(Price increases will be bas cd on the CPI.)
*
5. This contract may be cancelled with a thirty (30) day notice. In the event the customer
cancels without a thirty (30) day prior notice, COVERALL shall be entitled to the service
charge for the days service is rendered.
*
6. In the event of default on payment, customer agrees to pay such additional sum as the
Court may adjudge reasonable as attorney's fees, all Court costs, and late fees of I Y, % per
month.
* 7. Customer agrees not to hire any COVERALL or franchisee personnel for 18 months after
end of contract.
This agreement entered into and accepted on this
day of
,200_ by:
CUSTOMER
Signed by
Signed
COVERALL F THE TWiNCiTIEs, INC.
On behalf 0 f
Service to commence
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Sample Customers
- Kraus Anderson
- Ceridian Corp.
- Nabisco
(2 Facilities)
-TCF
(4 Facilities)
- Edina Realty
(7 Facilities)
- Park Dental
(2 Facilities)
- State Farm Insurance Claims Office
(4 Facilities)
- Union Plaza
- Spruce Tree
- Weight Watchers
(4 Facilities)
- Advantek
- Health Partners
(2 Facilities)
-AAA
(2 Facilities)
- Road Runner Transportation
- MacDermid Color Span
- Cities of:
RDbbinsdale
Cottage Grove
New Brighton
Maple Grove
Rosemount
Hopkins
Brooklyn Park
Moundsview
Inver Grove Heights
- Fingerhut
- ABF Freight Systems, Inc.
(2 Facilities)
- Cherokee State Bank
(6 Facilities)
-McKechnie Plastics
These are some of our over 525 accounts.
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/]'\~ILLS
CITY OF ARDEN HILLS
MEMORANDUM
DATE:
November 14, 2001
TO:
Mayor and City Council
Joe Lynch, City Administrator
FROM:
Aaron Parrish, City Planner
SUBJECT:
Draft Technology Policy
BackQround
In conjunction with the move to City Hall, the City upgraded its technological capabilities in several areas.
This includes new computers for most employees, a new network, and internet and e-mail access for all
employees. As part of this upgrade, a draft technology policy has been developed to govern the use of
internet, e-mail, and related systems for users of City technology. While the policy in large part pertains
to City employees, it is aiso applicable to all users of City technology. The draft policy has been attached
for your review. While the policy is rather long to ensure that all areas of potential liability are addressed,
the following highlights the overall purpose and key points of the policy:
. The policy is intended to guide City employees, volunteers, and contractors in the performance of
their duties,
. The policy provides notice to technology users that all data, including any that is stored or printed
as a document, is subject to audit and review, There is no expectation of personal privacy in the
use of the internet and e-mail systems when using the computers or services provided by the City
of Arden Hills,
. The policy serves to delineate acceptable use of the internet and e-mail systems and other
technological resources provided by the City of Arden Hills. The policy also aims to ensure that
the use of various technological resources is consistent with established City policies and the
individual user's job responsibilities,
. On a limited basis, the policy also seeks to reinforce internal practices, address network security,
and provide guidelines for training,
The policy was sent to the Website Task Force and the City Attorney for their review, No suggestions
from the Task Force have been received to date. At this point, the policy is in effect on an interim basis
until formal approval is given by the Council. Additionally, in the future it is anticipated that an overall
technology master plan will be developed for the City covering a broader range of issues. Please feel
free to contact me if you should have any questions, Thank you for your time and consideration,
Requested Action
Provide comments regarding the draft technology policy prior to formal consideration,
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EN HILLS
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Adopted , 2001
e
City of Arden Hills Draft Technology Policy
e Section Headin~
I. Purposes
II. Statement of Policy
III. Use of Internet
IV. Use of E-mail
V. Security and Virus Protection
VI. Other Technology Issues
VII. Enforcement
VIII. Consent Agreement
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City of Arden Hills Draft Technology Policy
SECTION I. Purposes
The purposes of the City Arden Hill's
computer and other electronic systems,
including but not limited to, electronic mail
(e-mail) and the internet, are to provide an
efficient and effective means of internal
and external communications and to
improve work product. This policy
addresses access to and disclosure of
information from such electronic systems.
Among other things, this policy is intended
to guide City employees, volunteers, and
contractors in the performance of their
duties.
This policy serves as notice to the
employees, volunteers, and contractors of
the City of Arden Hills that all data,
including any that is stored or printed as a
document, is subject to audit and review.
There is no expectation of personal
privacy in the use of the internet and e-
mail systems when using the computers
or services provided by the City of Arden
Hills.
Finally, this policy serves to delineate
acceptable use of the internet and e-mail
systems by City employees, volunteers,
and contractors (collectively also referred
to as "users" or "employees") while using
government owned/leased equipment,
facilities, internet addresses, domain
names, and/or e-mail services registered
to or provided by the City of Arden Hills. It
seeks to ensure that the use of the
internet and e-mail systems by City
employees, volunteers, and contractors
while conducting work for the City and/or
while using City provided systems is
consistent with the City of Arden Hills'
policies, all applicable laws, and the
individual user's job responsibilities.
SECTION II. Statement of Policy
e
The City of Arden Hills promotes internet
and e-mail use that enable employees,
volunteers, and contractors to perform
City missions and encourages its
employees, volunteers, and contractors to
develop skill in the usage of internet and
e-mail. It is expected that employees will
use the internet and e-mail to improve
their job knowledge; to access scientific,
technical, and other information on topics
which have relevance to the City of Arden
Hills; and to communicate with their peers
in other government agencies, academia,
and industry on matters of relevance to
their work for the City.
A. Responsible Use
Users are advised not to the use the
internet or e-mail systems for any purpose
which would reflect negatively on the City
or its employees.
e
B. Property of the City of Arden Hills
The City of Arden Hills' electronic mail
and internet systems are business tools.
These systems shall be used in a
professional manner for legitimate
business purposes only and, at all times,
remain the property of the City of Arden
Hills.
C. Scope: This policy applies to:
(1) All technical resources that are owned
or leased by the City of Arden Hills,
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City of Arden Hills Draft Technology Policy
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(2) that are used on or accessed from City
premises, or that are used for City
business. This policy also applies to
all activities using any City paid
accounts, subscriptions, or other
technical services, such as Internet
access and e-mail, whether or not the
activities are conducted from City
premises; and
(3) All full or part time employees of the
City of Arden Hills, and volunteers,
and contractors who are authorized to
use City resources to access the
internet or e-mail systems.
D. Information is not Private:
e
The City cornputers and data stored on
them are, and remain at all times, the
property of the City of Arden Hills. As
such, all messages created, sent, or
retrieved over the internet or the City's
electronic mail system are the property of
the City of Arden Hills, and should not be
considered private information.
Employees have no right to privacy as to
any information or file transmitted through
or stored in the city's computer systems,
electronic mail, or other technical
resources.
E. Use of Respect for Others:
Access to the internet via City resources
and the use of City provided e-mail must
only be used for City purposes. To that
end, the use shall not disrupt or interfere
with the work of other network users,
adversely affect the operation of the
internet or the City's own internal network,
or misrepresent the interests of the City,
F. Monitoring and Disclosure:
e
The City reserves the right to access,
retrieve, read, and disclose any data,
messages, or files stored on City funded
systems for any purpose. Employees
should be aware that, even when a
message is erased or a visit to a web site
is closed, It is still possible to recreate the
message or locate the web site. The City
reserves the right to monitor the use of
the systems to prevent abuse, enforce
other policies, and access information.
Access may occur In, but is not limited to,
situations indicating: (1) impropriety, (2)
violation of a City policy, (3) legal
requirements, (4) suspected criminal
activities, (5) breach of system security,
(6) to locate substantive information or to
monitor employee performance and
conduct. The contents of these systems
may be disclosed by City Management
within or outside the City without
employee permission. Furthermore, all
communications including text and
images may be disclosed to law
enforcement or other third parties without
prior consent of the sender or receiver.
The City has unlimited access to protect
the security of these systems and the
City's property rights.
G. Consent:
All of the City employees who are
provided access to the City's internet and
e-mail systems are required to abide by
the City's policy contained here and in
other relevant documents.
SECTION III. Use of the Internet
The City provides internet access to some
employees for their use in performing their
duties for the City. All employees of the
City are responsible for using internet
resources in an effective, ethical, and
lawful manner. It is the City policy that
internet resources, like other City assets,
be used for the benefit of the City. All
internet use should be congruent with the
City's overall government policies. The
City reserves the right to monitor and/or
log all network activity with or without
notice, including all web site
City of Arden Hills Draft Technology Policy
communications, and therefore, users
should have no expectations of privacy in
the use of these resources. Use of the
system in violation of this or other City
policies is prohibited and may lead to
disciplinary action, up to and including
termination.
A. Uses that are acceptable and
encouraged:
(1) Communications and information
exchanges directly relating to the
mission and work tasks of the City;
(2) Announcements of City procedures,
meetings, policies, services, or
activities;
(3) Use for advisory, standards, research,
analysis, professional development or
development activities directly related
to the user's City job related duties;
(4) Use in applying for or administering
grants or contracts for City programs
and activities.
B. Uses that are unacceptable
It is unacceptable for a user to access,
use, submit, publish, display, download,
save, or transmit on the network, or on
any computer system, any information
which:
(1) Violates or infringes on the rights of
any other person, including the right to
privacy;
(2) Contains defamatory, false,
inaccurate, abusive, obscene,
pornographic, profane, sexually
oriented, threatening, racially
offensive, or other biased,
discriminatory, or illegal material;
(3) Violates City regulations prohibiting
sexual harassment;
(4) Restricts or inhibits other users from
using the system, or efficiency of the
computer systems
.
(5) Encourages the use of controlled
substances or uses the system for the
purpose of criminal intent; or
(6) Uses the system for any other illegal
purpose.
C. It is also unacceptable for a user to
use the facilities and capabilities of the
system to:
(1) Conduct any non-approved business;
(2) Solicit the performance of any activity
that is prohibited by law;
(3) Transmit material, information or
software in violation of any state, local,
or federal law;
.
(4) Conduct any political activity;
(5) Conduct any non-City fund raising or
public relations activities;
(6) Download software
authorization of
administrator
without prior
the network
(7) Download music, video, and related
media files that have no business
purpose.
(8) Engage in any activity for personal
gain or personal business
transactions; or
(9) Make any unauthorized purchases.
D. Copyrighted Material:
Users may download copyrighted
material, but its use must be strictly within
the agreement as posted by the author or
.
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City of Arden Hills Draft Technology Policy
current copyright law. The federal
Copyright Act at 17 U.S.C. 101 et seq.
(1988), protects and prohibits use of all
original works of authorship in any
tangible medium of expression. This
includes a prohibition on plagiarism (using
someone else's ideas or writing and
passing it on as one's own).
E. E-mail:
Internet e-mail is considered network
activity, thus, it is subject to all policies
regarding acceptable/unacceptable uses
of the internet as well as the City's e-mail
policy. Users should not consider internet
e-mail to be private or secure,
F. Passwords
Access to the internet may require a
password and authorized employees are
prohibited from giving their password to
any other person, except as provided for
in this policy. The password remains the
property of the City, and all passwords
rnust be disclosed to the Director of
Administration.
SECTION IV. Uses of E-mail System
The City provides an e-mail system to
employees for their use in performing their
duties for the City. All employees of the
City are responsible for using the e-mail
system in an effective, ethical, and lawful
manner. It is the City policy that the e-
mail system, like other City assets, be
used for the benefit of the City. All email
use should be congruent with the City's
overall government policies. The City
reserves the right to monitor and/or log all
network activity with or without notice,
including all web site communications,
and therefore, users should have no
expectation of privacy in the use of these
resources. Use of the system in violation
of this or other City policies is prohibited
and may lead to disciplinary action, up to
and including termination.
A. The City's e-mail system is for official
City business and it shall be
unacceptable to use the system for
unrelated purposes, including but not
limited to the following:
(1) To send or receive "chain" or
similar type "letters."
(2) To send and receive music, video,
and related media files that have
no business purpose.
(3) To send and receive software
without prior authorization of the
network administrator
(4) To send or receive documents in
violation of copyright or other
laws.
(5) To knowingly open mail not
directed to you. Except to the
extent that the City reserves the
right to access and review all
electronic uses and records, e-
mail messages are confidential.
(6) To send messages in violation of
City security policies.
(7) To forward electronic messages
without a legitimate business
purposes under which
circumstances likely to lead to
embarrassment of the sender or
to violate the clearly expressed
desire of the sender to restrict
additional dissemination.
(8) To send messages that are false
or misleading, inaccurate,
abusive, obscene, pornographic,
profane, sexually oriented,
threatening, offensive,
discriminatory, or illegal, including
City of Arden Hills Draft Technology Policy
but not limited to sending
messages under an assumed
name or with intent to obscure the
origin of the message,
(9) To solicit or proselytize for
commercial ventures, religious or
political causes, outside
organizations other non-job
related solicitations.
B. Avoid "carbon copying" individuals
who have no direct involvement or
"need to know." Likewise, e-mail to all
users should only be used on very
rare occasions when every person on
the system has a direct need to know.
C. Avoid "forwarding" e-mail to a third
party unless necessary (see "carbon
copying). When forwarding, explain
the reason for the forwarding action
and edit out any potentially
inappropriate contents. If in doubt
about the appropriateness of
forwarding a given piece of mail,
check with the originator for guidance.
D. When sending an e-mail requiring
"action," be sure to indicate which mail
recipient(s) is/are to take action.
E. Do not "say" anything in an e-mail
message that could prove
embarrassing or compromising to you,
the City, or others. Each employee is
responsible for the content of all text,
audio, or images they transmit.
F. Avoid potentially contentious
exchanges through e-mail.
G. Confidential and sensitive information
such as performance reviews,
disciplinary and/or corrective actions,
attorney-client privileged information,
personnel information, private data as
outllined in the Minnsota Government
Oaata Practices Act, and health or
medical information should not be
communicated via e-mail,
.
H. Communications which would be
inappropriate under other City policies
are equally unacceptable if delivered
via electronic communication. These
communications may include, but are
not limited to, harassing or
discriminatory comments, breaches of
confidentiality, and insubordinate
statements.
I. Use your common sense in
determining when to use e-mail, in
what is said, and to whom.
Remember that not electronic
communication is not private and the
City reserves the right to monitor and
review all communications originating
from or entering its computer systems.
SECTION V. Security and Virus
Protection
.
A. E-mail and/or internet access may
utilize passwords for security; however
employees should be aware that the
reliability of such tools for maintaining
confidentiality can not be guaranteed.
Additionally all passwords must be
made known to the City through the
Director of Administration, and
passwords not known to the City may
not be used.
B. To prevent computer viruses from
being transmitted through the system,
employees are not permitted to
download or install any software onto
their computer or any drive in that
computer. When downloading a file or
opening an e-mail attachment, users
must scan all materials with City
provided virus protection software.
Additional consideration of policies
and communications from the City's
network administrator should also be
.
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City of Arden Hills Draft Technology Policy
used in determining how to handle
potentially damaging e-mail or files.
SECTION VI. Other Technology Issues
Beyond the use of internet and e-mail,
there are several other issues to consider
when utilizing City owned technology
including personal computer and network
usage.
A. Copying Software and Programs
Most computer software and programs
are copyrighted, and it is iliegai to make
multiple copies. Employees may only
copy and use software in accordance with
the software license agreement. If there
is any question about the appropriate use
of the software, employees shouid contact
the Director of Administration.
B. Only Authorized Software Allowed
No external, personal, or downloaded
software and/or hardware shall be
instalied without prior approval by the
network administrator.
C. Backing Up/Deleting Files
AIi files stored on the network will be
backed up on a regular basis. Files that
are stored on a users hard drive wili not
be backed up,
D. Management of Files
Because the storage capacity of the
network is limited, ali users are
responsible for deleting outdated files.
Users are also responsible minimizing the
amount of large fiies such as graphics
contained on the network.
E. Work Product Ownership
AIi information developed on a City
computer system or introduced to a City
computer system is the property of the
City of Arden Hilis, regardless of where it
was created.
Likewise, ali information developed by a
City empioyee on computers outside of
the City, if in conjunction with his or her
employment with the City, is the property
of the City of Arden Hilis, regardless of
where it was created.
F. Network Virus Protection
Users shali not change their system's
configuration or take other steps to defeat
virus protection devices or systems.
Individual employees are responsible for
verifying that disks and other storage
media used or received from outside
computers are scanned for viruses prior to
their use on City computers. Please
request assistance if you are unsure of
how to scan files, disks, or related storage
media for viruses.
G. Access to Data
A user's ability to view, add, or modify the
configuration of their PC's and network
files is based on access rights configured
by the network administrator. These can
be changed if needed. Contact the
network administrator to request changes
to user access rights.
H. Calendar/Scheduler Use Policy
AIi employees who have Microsoft
Outlook should use the
calendar/scheduler feature to schedule all
appointments and meetings. All
meetings, vacations, and appointments
should be updated on calendars on a
daily basis.
I. Computer Training
City of Arden Hills Draft Technology Policy
Employees are encouraged to seek
additional training and education in the
use of software applications and related
technology, Training should be pertinent
to the employees job responsibilities, and
to the extent possible, shouid take place
outside of the normal workday.
On a case-by-case basis, the cost of
training will be incurred by the City
depending on the availability of funds and
City needs. An employee must have prior
authorization from their supervisor prior to
enrollment of any training paid for by the
City.
SECTION VII. Enforcement
This policy is intended to be illustrative of
the range of acceptable and unacceptable
uses of the internet and e-mail systems
provided by the City of Arden Hills and is
not necessarily exhaustive. Questions
about specific uses should be directed to
the user's supervisor.
Prior to accessing the internet and e-mail
systems, employees shall review this
policy and sign the attached consent form.
The Director of Administration and/or the
employees supervisor will review alleged
or suspected violations of this policy and
clear violations may result in disciplinary
actions. Any user violating these
provisions or applicable local, state, or
federal laws is subject to immediate loss
or restrictions of internelle-mail privileges,
additional disciplinary actions, up to and
including termination of employment,
and/or criminal prosecution.
SECTION VIII. Consent Agreement
As a condition of employment, all City
employees must acknowledge that all
computer and electronic systems,
including but not limited to, electronic mail
and internet network activity are the
,
property of the City, and therefore, they
should not consider any activity to be
private. Prior to obtaining access to the
internet or e-mail systems, employees
must sign the consent form provided. By
signing the consent form, users
acknowledge that they have received a
copy of this policy, read it, and understand
the City's policy and the potential
penalties for non-compliance.
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City of Arden Hills Draft Technology Policy
City of Arden Hills Consent Form on Employee Use of E-mail, Internet, and
Related Technology
I, ' have read the City's Technology Policy governing
employee use of e-mail, internet, and related technology and agree to comply with all of
its terms and conditions. I understand and agree that all computer and electronic
activity, including but not limited to, electronic mail and internet network activity, being
conducted with City resources is the property of the City,
1 acknowledge and consent to the City's right to monitor, log, access, and review all
such activity, with or without notice, and, therefore, I have no expectation of privacy in
the use of these resources. I understand that such monitoring may include printing and
reading all electronic mail and data entering, leaving or stored on the City's equipment.
Finally, I understand that violation of this Policy may subject me to discipline, up to and
including, termination of employment.
Employee Name (Printed)
Date
Employee Signature
.'
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~~ILLS
MEMORANDUM
TO: Mayor and City Council
FROM: Joe Lynch, City Administrator
SUBJECT: Emergency Operations Plan Review and Report
DATE: November 15, 2001
BACKGROUND
At the direction ofthe City Council, and as required by the Emergency Operations Plan, I have
reviewed the Emergency Operations Plan adopted by the Arden Hills City Council July 27, 2000,
Per your direction I have reviewed the plan in light ofthe events of September 11, 2001, and
critiqued it for its approach to dealing with threats to the City of Arden Hills by various means,
including terrorism and bioterrorism.
The Emergency Operations Plan conforms with the Minnesota State Statute 920, the State Civil
Defense Act of 1951, and Chapter 7 ofthe Arden Hills City Code. The plan outlines the major
responsibilities of individuals either elected or appointed, in the event of a disaster. It lists
information on emergency shelters and directs that the Arden Hills City Council serve as the
emergency operations center. It lists evacuation sites oflocations in Arden Hills that have agreed
to serve as emergency shelters or relocation centers, It is a basic, generic document drafted in
response to a state requirement and only goes so far as to meet the minimum requirements for
identification of responsibilities in case of an emergency, and specifies standard operating
procedures for disasters. Basically it is a reference tool to give both elected and appointed
officials a beginning step in outlining some ofthe activities and duties they may have to respond
to, primary information on contacts and handling the media, and identifying those sites that, at
least in the year 2000, had agreed to serve as emergency shelters or relocation centers. The
document did not contemplate or deal with any threats we might fact similar to the September
11,2001 event, including acts of terrorism, chemical or bioterrDism attacks.
I was able to find on the internet a site through the International City Managers Association,
called the Public Entity Risk Institute, which is an agency that deals with responding to risks that
federal, state, and local governments face, which include everything from work place safety and
accident reduction information to the most recent events of September 11. I have enclosed a copy
of the information I obtained on the City of San Jose and the emergency operations plan that they
have which sets the national standard in terms of scope, preparedness, and level of detail.
Emergency Operations Plan
Page 2
November 16, 2001
'.
I have also included a brief paper by the Public Entity Risk Institute entitled "Local Government
Preparation for Bioterrorist Acts", that gives you a little background on some ofthe things that
the City should begin looking at in terms of what we would need to do to be more prepared for
bioterrorist acts and ensuring both the continued operation of the government of the City of
Arden Hills and the safety ofthe residents.
I have also included papers that have recently come out in a symposium entitled "Community
Response to the Threat of Terrorism" by the Public Entity Risk Institute. On September 13, the
Introduction and Overview was published on the web along with an interactive site for comments
and feedback. On September 14 the article entitled "Public Works and Terrorism" was
published. On September 16 an article entitled "Chemical and Bioterrorism" was published and
on September 19, "Fire Departments Emergency Management Services", "Emergency
Management Agencies", and "Emergency Medical Response to Terrorist Incidents and Hoaxes".
These series of articles are designed to help communities examine their emergency operations
plans, evaluate their preparedness, respond to the questions that are asked at the end ofthe
prepared information, and provide feedback to their local elected officials on what changes. if
any, need to be made to their plans.
.
I have also included a management document that the Public Entity Risk Institute published for
emergency management system directors, managers, administrators, and anyone else trying to
deal with determining the effectiveness of their emergency management plan and emergency
management structures. The title of the document is "Characteristics of Effective Emergency
Management Organizational Structures", and provides a check list and a series of follow up
questions for examination by anyone related to the delivery of emergency management services
or the set up of emergency management operations plans. It is a example on what to consider
having in your emergency management plan, how to evaluate the effectiveness of your current
plan, and to provide a method of change for inclusion of events not originally included in your
emergency operations plan,
The most valuable pieces of information I took away from the symposium and the evaluation
tool, is the City of Arden Hills should consider asking the following questions:
. Where are we vulnerable?
· What is in the City of Arden Hills which might be a tempting target for terrorists?
· What visits by VIPs or foreign dignitaries are schedule which might attract terrorists or
terrorist acts?
These three questions serve as a basis for the beginning of the evaluation of the Emergency
Operations Plan in terms of being able to identify, respond to, and deal with terrorist acts or
bioterrorism.
.
RECOMMENDATION
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Emergency Operations Plan
Page 3
November 16, 2001
After perusing all the enclosed information, staff would recommend the following:
. City Council define and designate a date certain for the annual review of the Emergency
Operations Plan.
. City Council designate specified individuals responsible for review, update, and
recommendations on any changes to the Emergency Operations Plan (City
Administrator, Fire Chief, Chief Law Enforcement Officer, other).
. Identify answers to the three areas mentioned above,
. Determine priority for scheduled, cooperative, emergency management training
exercises on a regularly scheduled basis (amlUally, bi-annually, etc.).
. Designate a specific time frame and frequency for evaluation of the characteristics of
effective emergency management organizational structures (in essence, go through the
provided check list and questions provided by Public Entity Risk Institute).
The City Council and the City of Arden Hills can take more immediate steps in providing
preparedness for natural or man made disasters or terrorist acts. Following is a recommended
prioritization of immediate steps:
. Update and verify all the information, contacts, and telephone and fax numbers indicated
in the Emergency Operations Plan.
. Prepare and distribute a smaller list of necessary and immediate contacts in the event of a
disaster for those persounel most involved, which may include, but not be limited to the
following, (Mayor, City Administrator, Operations and Maintenance Director, Fire Chief,
Police Chief, Minnesota State Emergency Management Director).
. Purchase a mobile emergency generator for the operation of the Emergency Operations
Center as designated in the Emergency Operations Plan. (New City Hall is currently
wired to allow for hook up to a mobile generator but we delayed that purchase).
. Identify the willingness to expend funds to evaluate the Emergency Operations Plan,
institute recommended changes, and identified capital items.
San Jose Emergency Plans Set Example
National
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, Past 36 Days .:1 f)
Oclober 29, 2001
THE RESPONSE
San Jose Emergency Plans Set Example
By EVELYN NIEVES
SAN JOSE, Calif., Oct. 26 - To
understand why the San Jose
department of emergency services is
considered one of the best prepared in
the nation, consider its recent handling
of an attack of confetti.
The 911 call came from the San Jose
International Airport after one passenger
on an United Airlines flight from
Chicago saw another passenger spill a
white substance, which hovered around
the air-conditioning vents, As soon as
the plane landed, police and fire officials
removed the witness and the other
passenger, stripped them down and
decontaminated them in a special tent,
while the Fire Department's hazardous
incident team scoured the plane to take a
sample of the material.
The Associaled Press
Under the guidance afFrances
Edwards- Winslow, the director of
emergency preparedness for San
Jose, Calif., the city was the first
of the nation's 27 largest to
complete a federal antiterrorism
program,
RELATED ARTICLES
A NATION CHALLENGEn
COf\ll>LE:'E CU\'FH.\C]-"
It was then that a member of the team
noticed that the material looked like
plastic stars and hearts, confetti used in greeting cards. Still, the more
than 80 passengers and crew members were quarantined on the airplane
for three hours until the questioning of the witness and the other
passenger was completed,
This false alarm was not just an example of how panicky the nation has
become, To Frances Edwards- Winslow, San Jose's director of
emergency preparedness, the case of the airborne confetti illustrates
http://www.nytimes.com/200 1/1 0/29/national/2 9J OSE,html ?todaysheadlines
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San Jose Emergency Plans Set Example
San Jose, the seat of Silicon Valley, was the first of the 27 cities in the
federal program to complete the Defense Department's training and
exercises program and the first to finish a written plan for dealing with
telTorist attacks.
The genius of the program, said Dr, Edwards-Winslow, is that from its
inception, it made sure that emergency plans were drawn up by every
group that would be participating -- the Police and Fire Departments,
county public health emergency services, the medical examiner,
representatives of the public and private hospitals, and ambulance
servIces.
Dr. Gregory A. Schmunk, San Jose's chief medical examiner, said his
department considered itself as prepared as it could be for emergencies,
"If something happens, if and when it happens," Dr. Schmunk said, "it
will be on one location where the rest of us can pull together and send
resources, And we have the contacts in place to make that work, as long
as we don't have a scenario where we see four or five incidents at the
SaJ11e time."
Besides city departments, the emergency preparedness team has about
1,000 volunteers on call, with their own vests and hard hats and at least
16 hours of training for response to disaster, natural or otherwise.
"Preparedness is not a station, it's a journey," Dr. Edwards-Winslow
said, "People who are telTorists and sociopaths don't have the normal
thinking we have, so they would imagine things that would never occur
to most Dfus, I would never say, 'Oh, yeah, we're as prepared as we can
be.! "
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how a well-trained team responds quickly and thoroughly to threats to
the puhlic health.
"It was an example of the team in action," Dr, Edwards-Winslow said,
As anxieties grow about terror attacks - be it anthrax or anything else
- cities across the country are looking for the most efficient ways to
handle potential crises, (In Turlock, Calif., for example, the Police
Department has set up a bright orange box labeled "suspicious mail,"
where anyone can dispose of suspicious envelopes or packages,) San
Jose, which has developed an elaborate response plan to anthrax, sarin
gas, smallpox or nuclear attacks, among other horrors, is considered
ahead of the game, one of the cities the United States Department of
Health and Human Services considers a model for the nation,
"She runs a very good operation," Elizabeth Armstrong, president of the
International Association of Emergency Managers, said, referring to Dr.
Edwards-Winslow.
Just how San Jose has prepared for terrorism is a secret. Its emcrgency
plans and techniques and even the location of its operations center are
known only to its members - and to other emergency managers who
can see its guides on a secure Department of Defense Web site, But Dr.
Edwards-Winslow, who has a doctorate in pubhc admmistration and
has worked in emergency preparedness for 18 years, did offer some
hints as to what it takes to "have some level of comfort" in being
prepared for catastrophe.
Money is crucial. San Jose has spent a total of$1.4 million in recent
years to eslablish its program, which includes a cache of antibiotics and
antidotes and training on treating large numbers of casualties. The city
has also bought equipment. For example, San Jose rescue crews have
detectors that warn if a biohazard has been released, and the police have
robots with special monitors and grips to perform tasks too dangerous
for humans.
The biggest cost is training, "because unless we have an adequately
trained staff all the equipment in the world won't do us any good," Dr.
Edwards- Winslow said,
Her department, which has vigorously pursued federal grants and
awards for equipment and training, costs the city about $300,000 a year
in salaries,
San Jose began its antiterrorism planning well before Sept. 11. Because
the city, with a population of900,000, is one of the nation's 27 largest,
it was eligible to participate in a federal antiterrorism program, The
program, which began in 1998, helps cities form task forces to respond
to emergencies involving weapons of mass destruction - chemical,
biological Dr nuclear,
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Local Government Preparation for Bioterrorist Acts
(A resource prepared by the Public Entity Risk Institute. September 27,2001.)
The events of September 11,2001 brought home to many of us the reality that massive
terrorist attacks can occur on American soil. The attacks and subsequent media
speculation about the future have caused many citizens to seriously contemplate Ihe
possibility of biological or chemical terrorism in Ihis country, This possibility was
already under consideration and analysis by various governmental and nongovernmental
organizations, which have been working to assess the threat, our state of readiness, and
what we can do to improve our ability to respond to such incidents, Consequently, there
is substantial information available on the Inlernet aboul the risks of biological or
chemical terrorism, and the potential actions Ihat local governmenls can take to address
this issue. The purpose of this article is to identify some basic actions local governments
can take to address the risk of biological terrorism, and to provide links to resources that
provide additional information, Allhough the discussion focuses on biological terrorism,
many ofthe resources identified also provide information on chemical terrorism,
.
It is tempting to assume that the federal government will protecl our communities from
biological terrorist acts through intelligence and other defensive activilies, This is not
practical, however, given the size and open characteristics of American society, Local
governments need to participate in keeping their communities as safe as possible, The
difficulties of disseminating biological agents to the entire populalion of a city via its
water supply or contamination of Ihe open air are discussed in some of the resources
below, While such mass attacks should be considered, the release of biological agents in
a smaller area, such as large building ventilation or water systems, or areas where the
public is gathered inside, such as schools, shopping centers, or sporting, cultural and
other public events, may be more feasible. Chemical and Biological Terrorism: The
Threat According to the Open Literature, Ron Purver, Canadian Security Intelligence
Service, 1995.
Local governments can encourage the managers of potentially vulnerable sites to secure
and limit access to ventilation and water systems, and provide public event security
personnel who have been lrained to recognize Ihe signs of a possible biological terrorist
attack. They can take similar actions in public buildings, The local governmenl can also
educate citizens to be alert, and to report to the proper aUlhorities potential problem
behaviors that they observe, such as attempts to gain unauthorized access to secured
areas, These are just examples of actions local governments can take 10 manage Ihe risk
of a biological terrorist attack in Iheir community, Each community's risks will be
different, To identify and manage these risks, a local government should follow the basic
risk management process of identifying the cornmunity's most likely vulnerabilities,
evaluating its options for addressing those exposures within the bounds of the law,
choosing the best options, and implementing those options.
.
The response to a biological terrorist attack is in many ways very similar to the response
to a naturally occurring epidemic. The initial damage caused by a successful biological
terrorist attack is illness ot death, There may berhany or few cases involveo, and the
illness may be communicable (capable of being passed from one infected person to
another, example, smallpox) or non-communicable (example, anthrax), In a serious
event, consequential damages may include overloading and breakdown of Ihe health care
system, and possible social disruplion, A Plague on Your City: Observations from
TOPOFF, Thomas v, Inglesby, Rita Grossman, Tara O'Toole, Clinical Infectious
Diseases 2001;32:436-445. A community's preparation to identify and respond 10
biological terrorist attacks will help it avoid or reduce these consequential damages,
whether the illnesses result from bioterrorist events or naturally occurring epidemics,
.
The response to biological attacks differs from the response 10 chemical atlacks, because
biological attacks are likely to be made covertly, and without notice until the population
begins falling ill. Biological and Chemical Terrorism: Strategic Plan for Preparedness
and Response, Morbidity and Mortality Weekly Report, Vol. 49, No, RR-4, April
21,2000, Recognition of a covert attack with a biological agent may be complicated by
the initial resemblance of the symptoms to Ihose of less serious illnesses. The
community's response will include identifying the type and source of the illness, treating
the victims, and dispensing prophylactic medication (such as vaccines) to exposed
populations Ihat are not yet ill, Local public health departmenls and private health care
providers will be the first to see the illnesses resulting from a biological attack, and
therefore have the primary responsibility for identifying and responding 10 the resulting
illnesses, The earlier the pattern and type of illness can be identified, the source of
exposure determined, and medical care and prophylaxis initiated, the more effective the
community's response will be.
.
One of the most crucial actions a local government can take 10 prepare for a possible
biolerrorist attack is to be certain that the local public health department and health care
community have Ihe resources and knowledge to quickly identify and coordinate medical
response to an infectious disease outbreak, The July 2001 Centers for Disease Control
and Prevention publication entitled The Public Health Response to Biological and
Chemical Terrorism: Interim Planning Guidancefor State Public Health says Ihat public
health departmenls need to do the following in order 10 plan for and respond to terrorisl
events:
1, Identify the types of evenls that might occur in their communities;
2, Plan emergency activities in advance to ensure a coordinated response;
3, Build capabilities necessary to respond effectively to Ihe consequences of those
events;
4, Identify the type or nature of an event when it happens;
5, Implement the planned response quickly and efficiently; and
6, Recover from the incident.
What type of activities might a local government undertake to meet these objectives? We
provide some examples below.
1, Strengthen Information and Communications Technology
.
e
Be cel1ain that tile local public health department has the information and
communications lechnology it needs to respond effectively in a public health
emergency, These include surveillance technology, e-mail, high-speed Internet
access, fax capahility and reliable and secure alternative voice communication
services - such as radios,
2, Strengthen Working Relationships and Communications
Strengthen the local health department's working relationships and
communications capabilities with local community stakeholders and Ihe health
care community, and with state health department and federal agencies,
Examples of potential partners are FEMA, EPA, the FBI, The V,S, Department of
Juslice, the CDC, the state health departmenl, state and local offices of emergency
management, regional councils of government, neighboring local health
departments, emergency medical services, hospitals, primary care medical offices
and clinics,
3. Educate Health Care and Emergency Response Community about
Identification of Bioterrorist Attacks and Agents
Be certain that the local health care and emergency response community is
familiar with possible biological agents that could be used in terrorist attacks; Ihe
signs and symploms of infectious diseases most likely to be caused by those
agents; appropriate disease surveillance procedures; the indications of a covert
biological attack, such as an unusually large number of affected people with
similar illnesses or Ihe occurrence of an unusual illness; and the appropriate
protocol for reporting unusual disease aClivity to local and/or state public health
departments,
4, Educate Health Care and Emergency Response Community about Medical
Treatment and Prophylaxis for Possible Biological Agents
Be certain that the local health care and emergency response community is
familiar with the appropriate protocols for caring for victims of biological attacks
and providing prophylaxis to people who were exposed but are not yet ill, Have
written and current prolocols readily available for reference,
5, Educate local health department about state and federal requirements and
assistance
Be certain thai the local health department is familiar with the appropriate
challilels for reporting disease outbreaks to Ihe state health department and
requesting state and federal assistance with management of infectious disease
outbreaks,
6, Maintain Locally Accessible Supply of Medications, Vaccines and Supplies
Be certain thai the local heailh departmenl knows which medications, vaccines
and supplies will be needed for each potenlial biological agent, and maintains, or
has arrangemenls to immedialely access, a stockpile ofthose materials in the
event of an infectious disease oulbreak. Have easily accessible, up to date,
written inventories of materials and their locations, Consider making advance
arrangements to obtain materials from other facililies and vendors in an
emergency. Do not rely solely on federal sources (such as the National
Phannaceutical Stockpile Program) for materials that can be assembled in
advance from olher sources,
.
.
7, Address Health Care Worker Safety Issues
Be certain that public health workers and emergency responders are trained about
transmission of infectious diseases and worker biosafety issues and provide
appropriate personal prole clive equipment and emergency prophylaxis, Advance
preparation for worker safety may help prevenl needed health care workers from
becoming ill or refusing to work during an epidemic,
8, Designate a spokesperson to maintain contact with the public
Identify a primary and back up spokesperson to inform and reassure the public,
interact with Ihe news media, and provide educational materials to the public,
Ensure that spokespersons are well informed and familiar with slate and local
procedures.
9. Become familiar with state and local laws relating to isolation/quarantine
Be certain that local officials are familiar with local and state health regulations
reslricting the movemenl of people exposed to communicable diseases,
10. Develop, maintain and practice an infectious diseases emergency response
plan
Develop, regularly update, and practice a written infectious diseases emergency
response plan thai details the local government's plans for managing infectious
disease outbreaks, This plan should include but not be limited to: appropriate and
currenl contacllists; identification oflocal government positions and their
responsibilities in any response effort; description of interaction between local,
state and federal governments in managing a biological incident; procedures for
maintaining and obtaining local stores of medications and supplies for use by first
responders; current treatment protocols; prearranged localions for trealing
casualties, if hospital space is exhausled; prearranged locations for counseling
"worried well" and dispensing prophylactic care; procedures for accessing state
and federal stockpiles of medications or supplies iflocal supplies are insufficient;
and procedures for obtaining additional health care workers,
11, Practice with surrounding jurisdictions
Consider testing Ihe infectious diseases emergency response plan by conducting a
practice exercise with surrounding jurisdictions.
12. Stay current
Keep aware of current developmenls, As this issue has reached Ihe "front
burner", developments will come more quickly,
.
.
In rural or farming communilies, il is also important 10 remember thai biological
terrorism can also be directed at farm animals or crops, Unusual diseases or disease
clusters in animals or plants should also be evalualed and addressed, The local
gDverrunent should be certain Ihat veterinarians and farmers are alerted 10 this possibility
and told where to report any unusual outbreaks,
Resources and Sources of Additional Information
United States Department of Health and Human Services
Centers for Disease Control and Prevention
.
.
www.bt.cdc.goy: - The Cernet for Disease Preventioh and Control's web site on
Bioterrorism Preparedness and Response, Sample of resources accessible through this
site or its links:
o July 200 I - Planning Guidance for State Public Health Officials on the Public
Health Response to Biological and Chemical Terrorism, Prepared by the Centers
for Disease Control and Prevenlion, Includes checklists and exhibits for assessing
program status, www.bt.cdc.gov/Planning/
o April 2000 - Biological and Chemical Terrorism: Strategic Plan for
Preparedness and Response, Recommendalions of the CDC Strategic Planning
Workshop, Vol. 49, No. RR-4, Morbidity and Mortality Weekly Report.
www.bt.cdc.gov Provides background information on US vulnerability to
biological and chemical agents and discusses steps to prepare for biological and
chemical attacks.
c Interim Recommended Notification Procedures for Local and State Public Health
Department Leaders in the Event of a BioterroristIncident,
http://www.bt.cdc. gov/EmContact/Prolocols,asp
o Media/Health Communicalions - Link to the Model Emergency Response
Communications Plan developed by the Association of Slale and Territorial
Directors of Health Promotion and Public Health Education (ASTDHPPHE) and
fact sheets about biological agents, Includes discussion of possible roles of
various local, state and federal agencies, http://www.bt.cdc.gov/Media/
c National Pharmaceutical Stockpile Program - a stockpile of anlibiotics, chemical
antidotes, antitoxins, life-support medications, IV administration and airway
maintenance supplies, and medical/surgical items 10 supplemern and re-supply
state and local public health agencies in the event of a biological or chemical
terrorism incident. http://www.cdc.gov/nceh/nps/default.htm
c Profile of state and local government efforts and key contacts, by state
c Information on biological diseases and chemical agents thai could potentially be
used in terrorisl attacks.
.
United States Department of Health and Human Services
Centers for Disease Control and Prevention
Health Alert Network (HAN)
www,phpPo,cdc,gov/han
I-IAN is an integrated, nationwide information and communications system that CDC is
developing to facilitate communicalions, surveillance, dissemination of information and
training with Ihe goal of strengthening state and local preparedness for public health
emergencies, including biolerrorism, A fact sheet about HAN is accessible through this
web page,
National Association of County and City Health Officials
www,naccho. 0 rg/ general3 9 8, cfm
Elements of Effective Bioterrorism Preparedness: A Planning Primer for Local Public
Health Agencies. This January 2001 primer discusses the aClivities and status of the first
year ofCDC's HAN initiative, including useful illustrations of how three local public
health agencies, known as "Centers for Public Health Preparedness" have adapted their
.
programs to impmvetheitpreparedness and response capa:bililies, This site also includes
links to other related resources,
.
U.S. Department of Health and Human Services
August 16,2001 Fact Sheel- HHS Initiative Prepares for Possible Bioterrorism Threat
WViw,()s,dhhs,gov/news/press/2001 pres/O I fsbioterrorism,html
Web site provides an overview ofHHS's inilialives under its five year plan to fulfill its
responsibilities in a bioterrorisl evenl, which include disease delection, outbreak
invesligation, and access to stockpiled drugs and emergency supplies in large quanlities,
Chemical and Biological Terrorism - Research and Development to Improve Civilian
Medicol Response, Three hundred and four page resource published in 1999 and
prepared by the Institute of Medicine and the National Research Council. May purchase
or access to read online for free at the National Academy Press web sile www,nap,edu
(search for the name oflhe book,) Includes a succinct chapter with conclusions and
recommendations,
Johns Hopkins University Center for Civilian Biodefense Studies
www.hopkins-biodefense,org
Sample of resources accessible through Ihis sile or its links:
o Enhancing Bioterrorism Preparedness and Response Post September I I.' Interim
Actions{or the Medical and Public Health Community
o Fact sheets on several biological agents
o The Biodefense Quarterly- a newslelter
o A library section wilh links to online resources
.
The Henry L. Stimson Center
Chemical and Biological Weapons Nonproliferation Project
www.stimson.org/cwc
October 2000 - Ataxia: The Chemical and Biological Terrorism Threat and the US
Response (access under Biological Weapons Issues on home page) Three hundred and
nineteen page report analyzing US unconventional weapons preparedness program,
which includes information about state and local government preparedness and analysis
of federal programs,
US Department of Justice
Office for State & Local Domestic Preparedness Support
WViW ,nip, usdo!, gnv /osldps/
Mission is to enhance the capacity of state and local firsl responders to respond to
incidents oflerrorism involving weapons of mass destruction
OSLDPS Weapons of Mass Destruction Training Program Course Catalog - A calalog
"designed to provide emergency response personnel with comprehensive information
regarding training courses and technical assistance offered by OSLDPS,"
.
e
Reports on Simu]aled Bioterrorism Attack Exercises:
Dark Winter - June 22-23, 2001
July 18, 200 I Briefing Memorandum for the Hearing before the Subcommittee on
National Security, Veterans Affairs and International relations of the House's Committee
on Government Refonn on the June 22-23 2001 Dark Winter Exercise, The exercise
simulated the possible reactions to/results ofbiologicallerrorist incidents in three
differenl states, www.hDuse.gov/reforrnlns/webresources/briefingmemoiulv23.htm
Dark Winter Briefing including Lessons Learned at web site of ANSER Institute for
Homeland Securily
www.homelandsecuritv,org/darkwinler/index.cfm
TOPOFF- May 2000
May 2000 simulation exercise of the response to use of biological, chemical and
nuclear agents in three US cities. Discussion available in library section of Johns
Hopkins University Center for Civilian Biodefense Studies. www,hopkins-
biodefense,org
.
Emergency Management & Disaster Planning & Recovery Directory
The Emergency Management & Disaster Planning and Recovery Direclory is an
information portal provided by GovSlar, an Internet information service related to
government operations, The directory links direclly to other web siles, articles,
directories, and resource documents in topical categories including: Terrorism and
Biochemical, Hazardous materials, Emergency Management, Natural Hazards, Disaster
Management, and Cybercrimes & Security,
Directory located at www.govstar.com; go to "Emergency Management & Disaster
Planning & Recovery Directory" button.
.
Communirv ReSDonse to the Threat of Terrorism - A Public Entitv Risk Institute SVnloosiwn
-lntr-oduction and Overview:
Community Response to the Threat of Terrorism
e
By Lawrence J. Hogan
Symposium Moderator
Welcome to the Public Entity Risk Institute Symposium, Community Response to the
Threat of Terrorism.
The Issues and Ideas Papers that will be presented over the next week will provide
you, we hope, with thoughtful, practical, and valuable ideas on what to do to prepare your
community against the threal of a terrorist act. We encourage you to circulate the papers to
others in your organization,
We especially encourage you to offer your thoughts in Ihe open discussion that is such
a vital part of this Symposium. The value of the program will increase exponentially the more
you participate, I urge you to share your thoughts and viewpoints, and to ask and answer
queslions - like most conferences we attend, some of the best and mosl helpful ideas will
come from your colleagues.
Please "speak up" from your computer keyboard, To join in the discussion, go to the
"Current Program" section of the Symposium Center on PERI's Web sile-
W\-V\V.riskinstitute.org. It's easy to participate.
.
Ask questions or make comments about the topics covered by the presentations, The
experts who authored the papers will be slanding by to respond to your input.
Over the next few days, we will address differenl aspects of a community's
preparation and response.
Along with Ihis inlroduction today, we are also presenting the local police perspective
on terrorism from Lieutenant John Kane of the Sacramento, California Police Department,
entitled "The Incident Command System and the Concept of Unified Command al a Terrorist
Incident." Lt. Kane leads off his discussion with suggested queslions that managers and
officials should be asking about the state of readiness in their jurisdiction,
Tomorrow, November 14, Richard Evans, former Direclor of Public Works for San
Francisco, California, will discuss "Public Works and Terrorism," focusing on building and
facility security.
On Thursday law professor Robert Thelford, former FBI Agent and prosecutor who
co-founded the Institute for Criminal Justice Education, will discuss the "Challenge of
Cyberterrorism," and what steps to take to guard against a cyber-attack.
.
Introduction and Overview
Commumtv ResDonse to the Threat of Terrorism - A Public Entitv Risk Instilwe Svmoosium
.
On Friday, Dr. Vaughn Wagner ofSaJisbwy Slate University (MOl will discuss
"Chemical and Bioterrorism," He will look at the preparations that public health departments
and personnel should now be making to be ready in case a chemical or biological attack
occurs,
On Monday, November 19, we'll conclude the presentations with two papers.
Timothy Campbell, a former emergency manager, fire service executive and a consultant on
emergency services, will discuss, "Fire Departments, Emergency Medical Services and
Emergency Managemenl Agencies," James Fogarty, Deputy Fire Chief ofthe Clemwaler,
Florida, Fire Department will look at "Emergency Medical Response to Terrorist Incidents
and Hoaxes,"
Represenlatives from the Federal Emergency Management Agency and the FBI will
be available to answer your questions; FEMA on Friday, Nov, 16, and the FBI on Monday,
Nov, 19, We will provide a means for you to ask questions openly through the forum or via e-
mail directly to the respeclive agencies.
We will also conduct instant surveys each day, and I urge you to add your voice to the
answers, We will be asking about your state of preparedness, what resources you need to be
better prepared, and many other questions in the realm of preparing for a terrorist attack.
.
Look for the survey on the Current Program page, a link will be located just above the
list of Issues and Ideas Papers, Click on the survey title and a window with one or more
questions will pop up, After you answer the questions, you'll see an instant tally,
Overview
Terrorism is a multi-faceted problem: It's a police problem, a military problem, a
public safety problem, a political problem, and a public policy problem,
As we have learned, international terrorist groups have a support infrastructure within
the Uniled States, giving them the capability to attack us virtually anywhere they choose any
time they choose. In a free country such as ours, it is easy for terrorists 10 operate and
extremely difficult to cope with them, There is rarely a terrorism event which affects only one
area.
In addition to international terrorists, we also need 10 be concerned about while
supremacist, anti-government military groups, environmenlal terrorisls, and free lancers -- all
present special problems for governments at all levels,
Local government policy makers should authorize police agencies to monitor the
activities of these terrorist groups in an effort to get advance warning so they can thwart
potenlial terrorist acts,
.
Will these organizations be investigated? Will they be infiltrated with informants?
Kept under surveillance? These questions have civil liberties' overtones and could become
2
Introduction and Overview
Communitv ReSDOnSe to the Threat of Terrorism - A Public Entitv Risk Institute Svnmosium
.
politically embarrassing for the local government and its policy makers, However, having a
terrorist incident that mighl have been prevented by sound intelligence informalion would be
more than jusl embarrassing, In counter-intelligence activities, success is measured by what
DOES NOT HAPPEN!
The basic purpose of government is to protect lives and property, Everything else
springs from that fundamental duty,
Regarding terrorism, governmenl has a two-fold mission:
. PREVENTION -- Intelligence gathering.
. REACTION -- Responding to and investigation acts committed by terrorists,
Keep uppermost in mind Ihat when a terrorist incident happens, the local first
responders will be firsl on Ihe scene, Federal personnel may not arrive for several hours, Acts
of lerrorism, like all crimes, are primarily local. Recognizing that facl, the federal governmenl
is committing a considerable amount of money to train and assist local governments in this
effort.
Because state and local governments are charged with the primary enforcemenl and
public safety responsibilities related to terrorist attacks, there must be a close working
relationship between a local government's policy makers and operational people and wilh
other government agencies al all levels,
.
In addition 10 other intemational terrorists, you may have in your area American
organizations which have strong ethnic or nationalistic ties to foreign countries and these
groups might pose a terrorist threat. Strong and bitter rivalries between nations or ethnic and
religious groups within other nations are frequently reflected in sympathetic U.S,-based
organizations, These domestic groups might be made up offormer nationals oflhose
countries and their descendants or American citizens with shared cultural, religious or
ideological affinity, or foreign students.
Visits by foreign dignitaries might also pose a danger. Assassinalions, bombings,
kidnapping, and other acls of violence against official or unofficial represenlalives of the rival
country or group while visiling the United State constitule serious lerrorist problems, even
though Ihe United States itself might not be the target of the hostility in those instances. But,
ifit happens here, it's our problem,
There is a need to develop a cooperative partnersmp among local, state, and federal
law enforcement agencies and other emergency response agencies along with a coordinated
incident command system. (John Kane will discuss this in his presentation,)
What Should You Be Doing Now?
What should local governments be doing in the face of these multiple threats?
.
Introduction and Overview
3
Communitv Response to the Threat of Terrorism ~ A Public Entitv Risk institute S:i.mDOSn{!~_
.
First of all, make sure your emergency operating plan includes an up-to-dale annex on
terrorism, convene your top people to revise this plan to assess your vulnerabilities and
capabilities with respect to terrorism, and study the problem as it specifically relates 10 your
conununity.
. Where are you vulnerable?
. What events are planned for your area which might be tempting largets for
lerrorists: Sports events or tournaments, political conventions, world fairs, World
Trade and International Monetary Fund meetings, elc.?
. What visits by VIPs or foreign dignitaries are scheduled in your area which might
tempt terrorists?
What facilities might be targets? Airports, hospitals, bridges, tunnels, mililary bases,
amusement parks, water supply facilities, dams, government facilities, electric power plants,
transmission lines for oil and gas, theaters, conference halls, sports arenas and stadiums,
embassies, consulates and other diplomatic facilities -- all are potentiallargets for terrorists,
What groups or individuals in your specific area pose threats?
What equipment and training do you need to be adequately prepared?
.
[Congress has directed Ihe Department of Justice 10 administer a grant program for
local first responders to enable them to buy equipment to respond more effectively to a
terrorist attack. For more information about these grants, contact the Office of Justice
Programs Office for State and Local Domestic Preparedness Support at 202-305-9887. or al
www,oip,usdoj,gov/osldps.]
Do you have the right kind ofteam in place to cope with a terrorist attack? Are your
personnel properly trained? Does this team include:
. Trained hoslage negotiators,
. Public information specialists,
. Incident response forces for hostage seizures, bombings and bomb threats,
. Biochemical experts, and
. Cooperative links with other jurisdictions -- police, fire, medical, search-and-rescue
ete" under up-to-dale mutual aid agreements to share intelligence, training,
equipment, and personnel?
Do you have compuler experts 10 monitor the Inlemet and guard against viruses?
Terrorists use the Internet to propagandize, raise money, and recruit new members and to
send messages to their "sleepers." Our computers are very vulnerable 10 crippling attacks,
(Robert Thetford will discuss this in his presentation,)
.
Have you designated a coordinator 10 conduct liaison with federal and stale
authorities?
introduction and Overview
4
Comnnmitv ReSDonse to the Threat ofTerrurism - A Public Entitv Risk institute SvmTJosium
Do you have employees or outside consultants with the foreign language capabilities
you might need? Do you know what foreign language capabilities your employees have?
Have you idenlified university language teachers who mighl be available to help with
translations?
.
Your plans should also include educaling citizens aboul the potential threats and
alerting them to suspicious things to be on Ihe lookout for,
Do you have adequate security at your goverrunent buildings and other vulnerable
facilitics, (Richard Evans covers this in his presentation,)
Do you have a bomb-sniffing dog, an armored personnel carrier and a robot to
facilitate safely approaching barricades?
If you don'l have Ihese things you should know where you can borrow them,
Have you considered giving inoculalions for anthrax and other biological agents to
personnel who might be placed at risk? (Dr. Vauglm Wagner covers biochemicallhreals in
his presentalion.)
Are your personnel alert for a possible links between terrorism and collateral crimes
such as robberies, vehicle and explosives thefts, etc? Terrorist groups often commit robberies,
or engage in drug trafficking and other crimes to finance their operalions.
.
What policies should govern a hostage-barricade situation?
What is your policy on the use of deadly force? While you may have an on-going
policy on this, circumstances in a specific terrorist incident might require it to be modified,
Elected officials should make sure they appropriate sufficient resources for their
operational people to be adequately prepared.
In addition to up-to-date mutual aid agreements with neighboring jurisdictions, local
goverrunenls should negotiate Memoranda of Agreement with military bases in the area,
Ensuring Continued Government Operations
Make sure your provisions for succession of power are adequately addressed and thai
the goverrunent's essential records are safeguarded -- lax and land records and other
documents -- which the goverrunent needs to continue operaling. There should, of course, be
back-up computer files for these essential records,
Ensure that provisions are made to delegate to appropriate officials the authority they
need to carry out their duties.
.
5
introduction and Overview
Communitv ReSDOnSe to the Threat of Terrorism - A Public Entitv Risk Institute Svmvoslwn
.
Have you provided for relocation of your seat of government if that should become
necessaty?
Do you have laws in place to give your top officials the authority to invoke marshal
law, rationing, price controls, curfews, anti-hoarding and anti-black marketing programs?
Public Communication and Media Relations
Don't overlook the public relations aspects of the problem, It is importanl for the
government to constantly reassure the citizenry that the governmenl is responding
appropriately and to inspire confidence in the government's ability to cope wilh the
problem, It is often desirable for the elected head of the government to appear before the
media with the aura of governmental authority to keep Ihe public informed,
You may have a clash with the media in lerrorisl incidents, It is always a challenge
to balance the public's right to know against the government's right to withhold
information for public safety, As part of your advance planning, you should discuss this
dilernma wilh the media in your area because policy makers often face very difficult
decisions and may be exposed to severe and often unfair crilicism from the media, which
has the effect of eroding the public's confidence in the government.
.
Some years ago, Ted Koppel moderated a discussion on the relalionship between Ihe
American media and international terrorism,
Koppel said to his media guests thai finding one of the mosl wanted men in the world
who had promised to murder the President of the United States may be a major journalistic
coup, "bul when a television network agrees to keep his whereabouts secret, is that journalism
or aiding terrorism?'t
Tom Brokaw replied thai he thought it was journalism. He said NBC decided to keep
secret Mohammed Abu Abbas' whereabouts "because we thought the news value
oulweighed" bringing him 10 justice, Brokaw said that Abbas had admitted his role in the
hijacking the Achille Lauro ocean liner but had "made some very serious charges against the
American people and the American president in the wake ofthe Libyan bombing." (One
wonders if Tom Brokaw would feel the same way today if another reporter interviewed the
person who had recently sent the anthrax-laden letter to his office but would not reveal that
terrorist's identity or whereabouts,)
The importanllhing for local government leaders to recognize is thai the media do not
always see matters Ihe same way government people do and often the media's desire for a
story transcends everything else,
Some years ago, a man took over Ihe IBM facility in Montgomery County, Maryland,
which resulted in three deaths and injuries to more than 20 people, A news reporter
telephoned the IBM building and injected herself into the negotiating process with the
.
6
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Communitv ResDonse to the Threat of "Terrorism - A Public Entitv Risk Institute SvmDosium
------
perpetrator. Her comments were potentially very inflammatory, There were clearly grave
dangers, not only in Ihe manner, but in the content ofthis inlerference by the reporter.
e
That same year Ihere was an incident at the Lake Braddock area in Northern Virginia
in which hostages were held for more than 12 hours, A radio station broadcast sensitive
infonnatiDn aboul the hostage taker who was lislening to the broadcast! He became very
agitated and the hostages were clearly endangered by the radio station's actions, In bolh the
IBM and the Lake Braddock incidents the media alerted the hostage taker to positions and
movemenls of police personnel.
At Waco, when Ihe ATF planned to raid the Davidians' compound, they notified the
media, The media, in turn, nolified the Davidians, After a 45-minute exchange of gunfire,
four A TF agents were dead and 15 were injured,
Remember: you have no obligation to provide information to the media, especially if
it might jeopardize your response activities, It is NOT a fourth Amendment issue even Ihough
the media will claim that it is,
Preparation the Key
At Ihe first anniversary of the Oklahoma City bombing, a memorial was put on
display al the federal building, It reads"
We come to remember those who were killed, those who survived and those
who were changed forever. Mayall who leave her know the impact of violence.
May this memorial offer comfort, strength, peace, hope and serenity.
.
New Yorkers are now contemplating what kind of a memorial they should have at
the site of the World Trade Cenler Towers.
Adequale preparation to cope with terrorism might eliminate the need for some
future similar memorial in your community,
Discussion Questions
Here are some questions to consider for discussion in the Symposium forum:
. Has your jurisdiction conducted a study of sites and facilities, private and public,
which are possible terrorist targets, and what sleps have you taken 10 protect them?
. In addition to the existing grant programs of the Federal govenunent, what other
Federal aid -- financial or other -- do you think is needed to help local governments
prepare for and cope with terrorism?
. Do you think it is desirable for your first responders 10 be inoculated for potential
biological agents that they might possibly encounler in connection with their
duties?
.
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Introduction and Overview
Communitv ReSDonse to the Threat of Terrorism - A Public Entitv Risk Institute SvtnDosium
.
About the Author
Lawrence Hogan is an adjuncl instructor in the Federal Emergency Managemenl
Agency's (FEMA) "Consequences of Terrorism" course, He has been developing and
teaching courses for FEMA's Emergency Management Institute and the National Fire
Academy since 1982, His career in public service includes two years as a member of the
Maryland Govemor's Commission on Law Enforcemenl and the Administration of Justice,
and six years as a U,S, Congressman from Maryland, From 197810 1982 he was the
elected County Executive of Prince Georges County, Maryland, He served with the
Federal Bureau of Investigation (FBD for len years,
.
. .
About the Symposium
Community Response to the Threat a/Terrorism is presented as a public service of the Public Entity Risk
Institute (PERI), 11350 Random Hills Rd" Ste, 210, Fairfax, VA 22030, Phone (703) 352,1846, Gerard 1.
Bodmer, Executive Director.
For copies of all the papers presented during this and previous SymposilUll programs, visit PERI's Web site at
wwv.-'.riskinstitute.org or the Risk Management Resource Center at WWVIl.eriskcenter.ort:!.
.
The Public Entity Risk Institute provides these materials "as is,1I for educational and informational purposes
only, and without representation, guarantee or warranty of any kind, express or implied, including any
warranty relating to the accuracy, reliability, completeness, currency or usefulness of the content of this
material. Publication and distribution of this material is not an endorsement by PERI, its officers, directors
or employees of any opinions, conclusions or recommendations contained herein. PERI will not be liable for
any claims for damages of any kind based upon errors, omissions or other inaccuracies in the information or
material contained here.
.. .
.
8
Introduction and Overview
Communitv ResDonse to the Threat of "Terrorism - A Public EntiN Risk institute SvmDosium
The Incident Command System and the Concept of Unified
Command at a Terrorist Incident
By Lt. John Kane
Sacramento, Calif. Police Department
Preface to the Unified Command Discussion
When I found out that I was going to be addressing an audience as large and as
varied as this one today, I wanted to add some remarks to my Unified Command lecture,
These remarks are specifically targeted at the managers and local elected officials in the
audience:
City managers, county executives, city councilpersons, county supervisors,
business managers, security managers, building managers - YOU ARE NOT
READY FOR A TERRORIST INCIDENT! And I am hearing that local Chiefs are
saying that they are prepared and ready to handle one of these incidents!
To properly handle one of these events al the local level requires a huge amount of
coordination, training, and drilling between the key players, and this HAS NOT
OCCURRED, I want you to take everything you have heard from your local Fire Chief,
Chief of Police, or Sheriff about how well prepared they are, and how much more money
they want, and just put it up on the shelf for a few minutes as you read this, especially the
questions at the end of this inlroduction which I want you 10 ask.
If your job falls into one of the key managemenl or elected posilions I have
mentioned above, you need to go on your own private fact finding tour, now - and I mean
righl now, You need to go on your own tour to determine the actual stale of readiness in
your local area, not what you have been told by the various bosses, They have their own
interesls to prolect. I don't wanllo get 100 dramatic, but Ihere are lives at Slake, Ihe lives of
your co-workers and citizens, so for your own piece of mind I want you to verify what
you've been told and make sure your local area is ready to handle one of these events.
I had the pleasure of inlerviewing California Slate Senator Nick Petris in the early
1990s for a course on disaster operations I was putting together here in California. Senator
Petris' district suffered the Oakland I Berkeley Hills fire of 199 J in which 26 people died
and more than 3,000 homes and apartments were destroyed, He investigaled this event
from the perspective of how it was managed.
His investigation found that each police and fire agency in California had a
different prolocol or method on how to handle major incidents, They often had differenl
names for similar tasks. The differences in these syslems resulled in some confusion and
inefficiency in the management of this event as many agencies came together in mutual aid
to help fight the fire and rescue people. It was from Senator Petris' investigation, and
subsequent groundbreaking legislation, that California enacted the Standardized
Unified Command at a Terrorist Incident
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Emergency Management System (SEMS). This system mandates that we all utilize the
same management framework as we manage critical incidents and disaster operations,
When I was interviewing Senator Petris he said something very interesting about
his conducl of the investigation into the fire, He said that one of the lessons he had learned
was that if you really wanted to know what's going on, ask Ihe people on the bottom of the
pile, He said thai bosses have turf to protecl, and Ihat you gel the most honesl responses
from the action people who are oul doing the job in the field,
He felt that the closer you got to the action, the more people were inclined 10 be
uncompromising, upfront, and forthright about what happened - what went well, what
went bad, and how to fix it.
That's what I want you to do. Go on your Own fact-finding tour. These issues are
too important to the lives of the people you are responsible for. Get out of your office, go
find a worker type out in the field, lake them aside to some place they can relax (go buy
them a cup of coffee or lunch), and ask them a couple of key questions,
Tell them you will respect Iheir confidentiality and ask them 10 respect your fact
finding process by not discussing the interview. This will give them an out if their boss
asks them what was discussed. They can say that they were told to refer all queslions to
you, and not to talk about the interview. All good bosses should have no trouble with you
talking to their troops,
If you are a business manager or building manager, you need to understand that you
are the crilicallhird part to a critical incident response, The actions of you or your staff
musl mesh wilh those of police and fire, You have a vested interest in this process and
should talk to your elected officials aboul conducling a fact-finding and make sure thai the
results are shared.
Most agencies may have trained specific personnel, but the numbers of these
special people are very small and there is no guarantee thai any of them will be available if
an actual terrorist event occurs, The big gap from my perspeclive has been thai none of the
line level palrol officers and firefighters has received any of the training and drillings that
they need to respond to a terrorisl incident.
This extends to the problem that none of the line police officers or firefighters have
participated in actual drills together. The only way thai we really learn how 10 function
properly as a learn in a crilical incident is by training and drilling together. We're so short
handed that managemenl is reluctanllo take these officers off the streel and spend the
significant time it would take 10 lrain all ofthem how to work 10gether. Because of this
problem, a few elite people such as a SWAT team or Hazmat team may have been trained,
but none of this training has trickled down to the line police officers and firefighters who
are going to be Ihe actual first responders to a terrorist incident.
Unified Command at a Terrorist Incident
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This training and drilling process is especially important when you consider the
role that building managers and managers of facililies such as sports arenas, high rise
buildings, and shopping malls play in the emergency response process. They have been
completely left out of the emergency training and drilling process. They're Ihe criticallhird
part to any emergency response process because of their unique knowledge of their facility,
For the most part they have received no training on how to assist police and fire in trying
to handle a large-scale critical incident in Iheir facility,
So, go on out and grab some of the real first responders - the field police officers
and their Sergeanls, the fire fighters or fire Captains, and ask them the following questions:
. Do you have immediate access to your Department's Terrorism Response Plan, and
can I see it?
. Has everyone in your learn trained on this plan?
. Specifically, what lerrorism lraining have you had, if any?
. Have you received any new equipment specifically designed to help you during a
terrorist incident, such as a new gas mask filter?
. Police: Do you have immediate access 10 a rifle in your car to combat a person with an
automatic weapon?
. Fire: As a First Responder Operational person, do you have immediate access to proper
Personal Protective clothing for Chemical or Biological incidents?
. When was the last terrorism drill in which you participated?
. Was this drill(s) with other emergency responders?
. Whal are the top 10 terrorist targets in your city or county?
. Were Ihese targets made known to you by your managemenl?
. Do you have a response plan for any or all of these targels?
. If you do have a response plan, is it readily accessible and can I see it?
. Have you inspected or walked around any potential targets wilhin your area of
responsibility, such as your patrol beat or fire district? This would include high-rise
buildings, sports complexes, schools, and shopping cenlers.
. If such an inspection was done, are the results written down and available to all first
responders?
. Have you discussed the principles of how you would respond to a terrorist act with any
of your supervisors such as a police Sergeant or fire Captain?
. Have you had any training on the Incident Command System?
. Can you explain the concept of Unified Command?
. Does your agency have a specific person who coordinates all informalion and training
regarding terrorism?
. Who is this person?
. Have they been teaching classes and are they accessible to you?
. Do you think the management of your agency has placed a sincere emphasis on
training for critical incidents and terrorist acts?
.
Please remember that I am approaching this from a very narrow perspective -
which is the response by local emergency services to a critical incident such as a lerrorisl
.
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act. I think Ihat by slarting some honest dialogue regardingol.lfs!lortcom-iii-gs and ttying to
fix Ihem if we find them, we can all benefil by having the first responders prepared when
one of these incidents occurs in our jurisdiction,
Unified Command at a Terrorist Incident
The Incident Command System (ICS) has been almost universally adopled as the
method ofrapidly organizing a crilical incident, such as a terrorist attack, The eight jobs in
the Incident Command System will allow us to rapidly organize a confusing set of
circumstances, If alllhe agencies involved in the incident are using the same eight critical
jobs to manage their agency, Ihe cooperative effort of all the agencies will increase
dramatically, The principal is that of having all responders "singing off the same sheet of
music," so thai we don't waste valuable time learning each other's organizalional
framework,
California has mandated the use of ICS al any critical incident or natural disasler
for which reimbursement will be sought from the state. This law Ihat went into effect in
1996 was a direct outgrowth ofthe disastrous Oakland / Berkeley Hills fire of 1993,
Valuable time was wasted during the attack on the fire because all ofthe mutual aid
agencies thai responded used a different method of command organization, This led to
significant confusion between the responding agencies. Subsequent investigation and
reform by the state legislature resulted in the passage of California's Standardized
Emergency Management System -- or SEMS -- law. It is this law that oullines the
principles of ICS and the eight critical jobs it encompasses, With regard to the job of
Incident Commander, it is important in the context of "who's in charge" to lalk about the
ICS concepl of Unified Command,
Unified Command speaks to the issue that all of the major players in an incident
need to gel together to share information, resources, and responsibility for Ihe smoolh
delivery of effective service. But, as in all events, there can only be one boss, one "shol
caller," directing the focus of the group, and setting the group's goals,
The image of a triangle helps 10 convey this concept. In an organizational chart
there is usually a box at the top for the Incidenl Commander. I want you to think of the
Incident Commander position in this chart as a triangle in which multiple agencies' bosses
can reside, In our terrorist incident, there are Ihree major players: local fire, local law
enforcement, and the FBI. There could certainly be others, such as public works for heavy
equipment and major infrastructure damage, but let's slay with the main three for now,
This whole system of "who's in command" and Unified Command only works if
all agencies are aware of each olher's primary needs, The Fire Departmenl must have
crowds kept back and clear streets to move in heavy equipment. Law enforcement needs to
have evidence preserved and witnesses identified, The FBI needs to have extensive
cooperation and support for many days and even weeks from both the local fire and law
enforcement to preserve the scene and collect evidence,
Unified Command at Q Terrorist Incident
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The task of Incident Command during a lerrorist incident is a co-operative effort
between these three main players - the local Fire Departmenl, local Law Enforcement, and
the Federal Bureau of Investigation,
.
In the past Ihere have been incidents where these three groups did not work
cooperatively, This is not the case today, Old style inter-agency rivalry has given way to an
era of beller sharing of responsibility and cooperation, Today, faced with shrinking
budgels and manpower, a growing terrorist threat, and a media that can be highly critical of
emergency response agencies, this most destructive behavior has all but been eliminated,
The progression of incident command responsibility at a terrorisl act will pass
through these three significant groups, following in time order of what is needed most as
the incident unfolds, In order, Ihe Incident Command will rest with:
. LOCAL FIRE DEPARTMENT. To assume command during the initial fire, rescue,
and medical response to the incident.
. LOCAL LAW ENFORCEMENT, To assume command after Ihe fire-rescue-
medical threat has been neutralized and to conduct preliminary invesligation until
the FBI is prepared to assume command, During the time that the Fire Department
is in command, Ihe local law enforcement will follow Ihe Mass Casualty Incident
(MCI) Protocol for Law Enforcement while it is preparing to assume command,
along with gelling itself organized,
.
. THE FBI. Under the Federal authority of Presidential Decision Directive 39, the
FBI is the lead investigative agency in any act of foreign or domestic lerrorism, and
will assume command of the incidenl and subsequent criminal investigation, It will
take some time for the FBI to have sufficienl resources on the scene 10 assume
command. It is crilical that local law enforcement remains on scene to assist and
support Ihe FBI in this mission after the role of Incident Command has passed to
the FBI.
As the three main players come together on the scene, they will form a unified
command group, The firsl priority will be to handle all of the fire, rescue, and medical
problems, The Fire Departmenl will move to the top of the triangle and set the goals for the
operation. Once the fire, rescue and medical efforts have ceased, the local law enforcement
agency will move to the top of the triangle and assume incidenl command,
.
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/ FBI
1/1
LAW
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UNIFIED COMMAND
With FIRE as Incident Commander
This does not mean that law enforcemenl sits around wailing until fire has
relinquished command, Local law enforcement will be responsible for following Ihe
principles of assisling with an MCI during the time that the Fire Departmenl is in charge,
.
When Incident Command passes to law enforcement, the law officer in charge will
Ihen set Ihe goals for the operation, and begin full conduct of the preliminary criminal
investigation, This will include identifying and taking initial statements from polential
wilnesses and victims, along with crime scene preservalion and any emergency follow-up
actions or evidence collection,
When the Fire Department begins to wind down its functions of fire-res cue-medical
response, the fire and law commanders will agree when incidenl command will pass to law
enforcement, When Ihis occurs, simultaneous broadcasts should be made on bolh Ihe fire
and law enforcement channels so that all personnel undersland that incidenl command has
passed from the fire service to law enforcement.
Also at this time, the specific location for Ihe law enforcement command post
should be repealed via radio so that there is no mistake as to where the command post is
located,
It is essentiallhat a Fire Department command level officer remain in the command
post. This will ensure conlinuity of information, and also provide an officer who can direct
fire resources ifthey are needed during this time.
Remember, until someone makes the call that the incident fits our definition and is
an act of domestic or foreign terrorism, the event is basically the local jurisdiclion's
homicide, assault, vandalism, bombing, elc,
The FBI will usually dispatch an initial Special Agent as soon as the incident
occurs, as a direct result of just being in your town and moniloring radio frequencies. !f
you eyen sli!!htly suspect that you are dealin!! with a possible terrorist event that fits
our definition, call the FBI out immediately, Depending on your location, it may take a
.
Unified Command at a Terrorist Incident
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few minutes to a few hours to get a Special Agenl al the scene, and the lost time for
coordination can be harmful to laler efforts.
.
It is always better 10 have the FBI on scene as soon as possible. In the event Ihe
incidenl is a terrorist acl, Ihe Bureau will be up to speed and be able to assume command
responsibility without any loss of informal ion. If the incident develops, and it is a local
crime such as a homicide or bombing, the FBI's presence will give you another well-
trained investigator on scene as a valuable resource for both investigative ideas and
evidence-colleclion issues,
The FBI also provides both technical support and special resources you may not
have at your local level. However, it can be several hours before the FBI has assembled a
full command team and they are ready to take over the incident. During the interim, the
local law enforcement agency will assume the position of Incident Commander, while
coordinaling in the Unified Command with the Fire Department and the FBI staff on scene,
tBl
1= LAW \
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UNIFIED COMMAND
With FBI as Incident Commander
When the FBI team has been assembled and is in place, the Bureau then will
assume command ofthe incident. The FBI might be able to respond its evidence collection
teams to the area fairly quickly to assess the evidenliary problems and get a handle on how
much staff they will need and what specialized equipment they should bring, The FBI has
its own policies on evidence collection, so if you believe this is a terrorist event, it is belter
to seallhe area and let Bureau evidence technicians collect the evidence rather than filling
up your property warehouse and creating a major chain of custody issue. If some evidence
needs to be preserved on an emergency basis, this should be done for laler transfer to FBI
custody, Since almost all of our response to an acl of lerrorism will be after the fact,
evidence collection issues will be crucial for Ihe arresl and conviction of the suspect(s).
The important thing to understand at the local level is that once the FBI agents have
assumed command, they will still need continued support and assistance from the local law
.
Unified Command at a Terrorist Incident
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Community ResDonse to the Threat o(Terrorism - A Public Entitv Risk Institute Svmoosium
enforcement and fire agencies, They will need help with traffic control, body and evidence
recovery, scene security, and a hOSl of other critical tasks,
The FBI, in order to better coordinate the federal response to an act of terrorism,
will establish its own version of the Emergency Operations Center called a Joint
Operations Center or JOe. This is the location where all federal agencies will first report
and work out of for Ihe duration of the incidenl, and it corresponds to local government's
EOe.
In recenl discussions with Special Agents of the FBI, they indicated that they will
try to co-locate the JOC at a local jurisdiction's EOC if possible. At a minimum, they will
try to provide a cornmand level officer to slay in the local agency EOC to facilitate direcl
communication between the groups involved in the unified command, and to facilitate the
sharing of resources, personnel, and information,
In order to better function together it would be helpful to work oul of one central
EOe. The FBI's establishment of a separate JOC is based on the large numbers of agencies
and support stafflhat could be called in to help al a major terrorist event. This is a
legilimate concem. In the event the incident is a large one, the Incident Commander should
be looking for an area large enough to accommodale these priorities so that both facilities
can be allhe same location,
As the local agencies' involvement winds down, fewer staff will be necessary, unlil
finally the JOC will become the only coordination point for the incident. When on-scene
activity ceases, all follow-up investigative activity will be the responsibility of the FBI.
As you can see during each of these phases, a differenl group will be moving to Ihe
top of the triangle, But all will still be together working on the issues, and sharing concems
and informalion in Ihe Unified Command concept.
Discussion Questions
Here are some questions to consider for discussion in the Symposium fomm:
. What special training do your first responders need Ihat Ihey have not already
received in order to be better equipped to cope wilh terrorism?
. Since several departments share responsibilities in a terrorist incident, what
department or governmenlal official should be in charge of coordinating the efforts
of the various departments?
. Has your jurisdiction ever participated in a terrorism drill, especially involving
multiple agencies and jurisdictions? If such a drill has never occurred, is one
plarmed?
Unified Command at a Terrorist Incident
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About the Author
Lt. John Kane is Watch Commander in the Patrol Division for the Sacramento, Calif.
Police Department, and is also in charge of the department's Disaster Planning and
Emergency Preparedness, He is an adjunct instructor at Ihe Emergency Management
Institute, teaching law enforcement response to disasler evenls and terrorist incidents, As a
member of the California Governor's Committee of Law Enforcement Specialists in the
Standardized Emergency Management Syslem, he helped write and develop the
"California Law Enforcement Guide for Emergency Operations" manual.
.. .
About the Symposium
Community Response to the Threat of Terrorism is presented as a public service of the Public Entity Risk
Institute (PERI), 11350 Random Hills Rd" Stc, 210, Fairfax, VA 22030, Phone (703) 352,1846, Gerard],
Hoetmer, Executive Director.
For copies of all the papers presented during this and previous Symposium programs, visit PERIls Web site at
\vww.riskinstitutc.on! or the Risk Management Resource Center at W\N\\I.eriskccnter.org.
The Public Entity Risk Institute provides these materials lias is," for educational and informational purposes
only, and without representation, guarantee or warranty of any kind, express or implied, including any
warranty relating to the accuracy, reliability, completeness, currency or usefulness of the content ofthis
material. Publication and distribution of this material is not an endorsement by PERI, its officers, directors
or employees of any opinions, conclusions or recommendations contained herein. PERI will not be liable for
any claims for damages of any kind based upon errors, omissions or other inaccuracies in the information or
material contained here.
.
. . .
.
Unified Command at Q Terrorist Incident
9
Communitv Resvonse to the Threat o{Terrorism -- A Public Entitv Risk Institute Svmvosium
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Public Works and Terrorism
By Richard Evans
Nol many years ago public works people were seldom, if ever, concerned about
terrorism. However, events such as the destruction of the World Trade Center Towers, the
bombing of the Federal Building in Oklahoma City, the assassination of the Mayor and a
Supervisor in San Francisco, anthtax scares in a number of cities, and other incidents have
poinled out the need for public works and building management people to become
involved in building and system security matters,
Building security is a mixed bag at best, especially for public buildings which, by
their very nature, must be open 10 the public on an almost unlimited basis. This is even
more lrue when the buildings are populated by elected officials, The issue of how to
provide access and yet maintain a level of security is complicated at best.
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To begin wilh, you cannot accomplish these goals by yourself, nor can you do it by
using local law enforcement people, Not that they are not competent, far from it, but they
are often too close to the matter to be 10tally objective. Nor can you jusl go out and buy
magnetomelers, x-ray machines, and hire a couple of security guards and think that the job
is finished. Although this might be what you end up doing, you should first make a serious
effort to analyze the problem, review the alternatives, seek the advice of trained
professionals and then refer to the body politic the range of solutions and your
recommendation for the preferred alternative.
You might want to visit your local airport, jail, or courthouse to see the levels of
complexity in equipmenl, operations, and management of security systems, During these
visits you need to discuss with the people in charge of the facility issues relative to
maintenance, operalions, and management oftheir systems, You might even enlisl these
people 10 serve on an advisory board for you during Ihe decision making process, This
will, of course, depend on the level of confidentiality you need to maintain.
There is a wide range of cost and quality for the various pieces of equipment that
are available, However, it can only funclion to the level of the people thai are hired to
operate it. Again, there is a wide range in the cost and quality of the people that you might
hire, With all of this in mind, it is now time to begin the quest for a security syslem for
your building( s), including the people to manage and operate it.
There are several sources that might offer a high level of expertise for your project.
These include utility company security employees (retired or on loan), retired FBI or
Secret Service employees, retired law enforcement officers, and retired military personnel
to name a few, If you are in a lime crunch, you may be able to get some pro-bono help
from any of the above to help you get started, Remember, check their qualifications before
accepting any help -- free or not.
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Public Works and Terrorism
Communitv ResDon.se to the Threat of Terrorism -- A Public Entitv Risk Institute SvmDo.sium
The first thing that you should do is try to find an expert in the field. You might
circulale a "Request For Proposal" (RFP) that asks for interested parties to apply and bring
with them a list of their accomplishmenls, experience, background, training, and whatever
else Ihat might support their qualifications for the project. Al some point in time you
should have the candidates develop a cost figure for their services, bul you may wanllhis
to be delayed until you have developed a " short-list" of bidders for considerations,
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An RFP allows you to select the party that is most qualified, rather than the one
with the lowest bid. After all, you are not building a sewer, you are developing a security
system, Whatever the process, the experts need to include with their proposal,
recommendations regarding management and operation of the system, Also, you might
want to limil your list of consultants to firms that do not have any connections with
manufacturers of security equipment.
Further, you do need to include in your RFP their recommendations for operation,
repair, and maintenance of the system(s). This should also include training for the
operators when you present your recommendations to the decision makers. They will be
the best people to answer technical questions regarding the equipmenl, etc. They should
also be of value when you are developing recommendations for how the system is to be
operated and by whom,
Depending on who the occupants are of the building that you are trying to prolect,
you may want to make them aware of the process. You may also want to make your local
law enforcement people aware of what you are doing, especially if the are going to be
charged with the ultimate responsibility for supervision of operation of the system,
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Now we come to a significantly differenl part of the process: selecting the people to
operate it. There are a number of alternatives. These include hiring a privale security firm,
using local law enforcement officers (police or sheriff personnel), retired law enforcement
or retired mililary people, or using building and grounds palrol people, Once again,
discussions with others, such as those you visited, will give you a lot of help in selecting
alternatives, Once again, cost will be a significant part of the equation in your decision
making process.
No mailer whom is selected, they need to be fully trained, not only in the operation
oflhe equipment, but in the way they conduct themselves, deal with problem people,
diversions, queslions, etc. These are often the first contacts visitors have with your
organization. This means the security people need to make sure thai this is a good contact,
one that is not confrontational, but one that tries 10 maintain a secure building,
We need to slress the point Ihat the vendor of the equipment you purchase should
be involved in the training. Further, your consultant may be able to advise you relative 10
training the security people regarding their duties and how best they are performed, The
performance of your security people needs to be monitored on a regular basis,
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Community ResDonse to the Threat of Terrorism -- A Public Entity Risk Institute SvrnDosium
Internal Security
By now most people are familiar with the security provided at airports and the way
it is managed, so that security for public buildings need not be a threat. However, lenants
and visitors alike must not be lulled into a false sense of security, Just because there is a
guard althe gate does not mean that the place is 101ally secure. Therefore, you may want 10
mainlain an internal security system that will provide additional protection.
There are a number of ways to provide internal security, These include keyed or
keyless entry systems, closed circuil television systems, roving patrol people or any
combination of the above. All of them have cosl impacts, and depending on condilions,
have liabilities. Building configuration may make closed circuit television difficult if not
impossible, Keyed or keyless entry may be very expensive, Aod roving palrols likewise
have their limitations.
In fact, you may need to develop different levels of security for various areas inside
the building. This may require some special effort and perhaps some relocation of some
officials, bul this should nol be very difficult to do. Having occupants of Ihe building
involved in the planning process should facilitate any relocation issues,
The issue of intruding on people may also affect your decisions, This is an area
where your agency's legal staff may be able to advise you. Actually, your agency's legal
staff should be involved in the entire process, from consultant selection, through the RFP
and Ihe conclusion of the project. Again, on your visits to other facilities, discuss inlernal
security with your hosts,
Assessing Facilities, Infrastructure Security
So far, we have dealt with building security. However, public works and general
services people need to be aware of security needs for other facilities and systems under
their jurisdiction, Sewage and water collection, distribution and treatmenl facilities, sports
complexes, arenas, theaters, museums, transil stalions, schools and hospitals are all
potential targets. Condition assessment analysis is a good tool for determining the
condition of these facilities and systems that are needed to serve the people. These analyses
look at structural conditions, life-safety and code compliance, maintenance history,
usability, and a number of other ilems that need to be reviewed on a regular basis to ensure
that Ihe money spenl on Ihe operation and maintenance of the infrastructure is done so
wisely.
Likewise, a vulnerability assessment could and should be included in the analysis,
This would use some of the same people listed above and help clarify decisions that need
to be made, especially with regard to use, repair with upgrades, and/or replacement. But
now that you are considering vulnerability you need to bring in experts who are qualified
to assist you in Ihis part ofthe process.
Public Works and Terrorism
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Comrnunin' Resvonse to the Threat of Terrorism -~ A Public Entitv Risk Institute SvmlJosium
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We have moved past the use of chain-link fences, barbed wire or razor wire,
Granted thallhese things will keep out many, bul those who are delermined can easily get
past such low-tech devices. And you can not use these devices to protect public buildings,
although Ihey are somewhat effective for protecting operational facilities (treatment plants,
transit stations, etc,), especially when used in concert with closed circuit television, high
intensity lighling and fences equipped with motion sensors, A vulnerability analysis will
assist you in ultimately selecting the optimum way that you might prolect you facilities,
A vulnerability analysis looks at what might be done to damage the operalion of a
facility or system; what is located nearby which, if damaged, might have an impacl on the
quality of life, health, or economy in adjacent parts of the area; and whal alternative
systems mighl exisl to replace those Ihat are damaged or deslroyed, Is il practical to protect
these facilities or should or could they be relocated to reduce or eliminale the risk? Finally,
how would your jurisdiction recover iflhe subject of your study was damaged or 10s1 to
use?
A number of factors will complicate your work. These include the age of your
infrastructure, who has jurisdiction (public or private), existence of redundancy, the
praclicality of replacement or redesign, and the availability of funding to complete the
necessary work. A half completed project is probably worse than no projecl at all.
You cannot keep people out of a subway syslem nor can you build a wall around a
watershed, Transportation facilities, railroads, airports, and highways allow the movement
of thousands of people and millions of pounds of goods daily, II is impossible to keep oul
Ihose that are intent on doing damage, yet we must do all that we can to make condilions as
safe as possible,
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Look at the risks and lry 10 develop answers to the following:
. Ifwe cannot eliminate the risk, can we develop a warning system that will
activate a response Ihat will minimize it?
. Have we eslablished and tested evacuation routes?
. What can be done to mitigate the risk? Relocation?
. Is there, or can you develop, a recovery plan?
Regardless oflhe complexity of your buildings and facilities, some very basic sleps
need to be followed,
These include key control, attention to keeping windows closed and locked at
night, alert security staff, evacuation plans that are tested on a regular basis, and a building
population that participates in the same way a "Neighborhood Watch" group does, And, no
one is allowed to by-pass the security devices - no one, no favorites, just provide the same
level of scrutiny for all, No exceptions shall be allowed, Once again, you should not try 10
convince the tenanls Ihat they are perfectly safe, because they are not, A false sense of
security is the most dangerous environment that you can provide,
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Communitv ResDonse to the Threat of Terrorism -- A Public Entitv Risk Institute Svmnosium
Discussion Questions
Here are some questions to consider for discussion in the Symposium forum:
. Short of inslalling new security systems, whal sleps have you taken recently to
make your public buildings and facilities safer and protect them against an
incident?
. Have you conducted any type of vulnerability analysis of your infraslructure
facilities recently? How did you go about it?
. Are you looking at relocating important facilities to reduce or eliminate risk?
About the Author
Richard Evans is a registered professional engineer in civil and traffic engineering, and is
the former Direclor of Public Works Department for the City of San Francisco, He was the
Director during the October 1989 earthquake. He is an adjuncl instructor for FEMA's
"Consequences of Terrorism" course,
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Ahout the Symposium
Community Response to the Threat a/Terrorism is presented as a public service of the Public Entity Risk
Institute (PERI), 11350 Random Hills Rd" Ste, 210, Fairfax, VA 22030, Phone (703) 352-1846, Gerard j,
Hoetmer, Executive Director.
For copies of all the papers presented during this and previous Symposium programs, visit PERI's Web site at
www.riskinstitute.Ofll or the Risk Management Resource Center at www.eriskcenter.ore:.
The Public Entity Risk Institute provides these materials "as is," for educational and infonnational purposes
only, and without representation, guarantee or warranty of any kind, express or implied, including any
warranty relating to the accuracy, reliability, completeness, currency or usefulness of the content of this
material. Publication and distribution of this material is not an endorsement by PERI, its officers, directors
or employees of any opinions, conclusions or recommendations contained herein. PERI will not be liable for
any claims for damages of any kind based upon errors, omissions or other inaccuracies in the information or
material contained here.
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Public Works and Terrorism
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Characteristics of Effective Emergency
Management Organizational Structures
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yUllUC ENTITY III
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Published by the Public Entity Risk Institute (PERI)
On the web at: www,riskinstitute,orq
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This material is provided free of charge, as a public service of the Public Entity Risk Institute (PER),
11350 Random Hills Rd" Suite 210, Fairfax, VA 22030, Phone (703) 352-1846, On the web at:
www.riskinstitute.org",
The Public Entity Risk Institute (PERI) provides these materials "as is," for educational and informational
purposes only, and without representation, guarantee or warranty of any kind, express or implied,
including any warranty relating to the accuracy, reliability, completeness, currency or usefulness of the
content of this material. Publication and distribution of this material is not an endorsement by PERI, its
officers, directors or employees of any opinions, conclusions or recommendations contained herein,
PERI will not be liable for any claims for damages of any kind based upon errors, omissions or other
inaccuracies in the information or material contained on these pages, PERI is not engaged in rendering
professional services of any kind, and the information in these materials should not be construed as
professional advice, Users bear complete responsibility for any reliance on this material, and should
contact a competent professional familiar with their particular factual situation if expert assistance is
required.
Characteristics of Effective Emergency lvfanagement Organization Structures
2
Table of Contents
About PERI. ' . ,
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4
Evaluation of This Publication,
.............,.. 5
Foreword, , , ' , , . . , , . , , , , , . . , , ' . , , , . . , , , . , , . . . , , . ' , ,
7
Characteristics of Effective Emergency Management Organizational Structures, , , 9
About the 20 Characteristics, , , , . , , , . , , , , , . , ,
Characteristics Checklist. , , , ,
Organizational Characteristics:
Roles of Elected Officials Defined, . . , ' , , . . , , , . , , , , , , . ' , ,
Strong and Definitive Lines of Command ",..".".'",..
Similar Routine I Disaster Organizational Structures, ' , , . . , , '
Emergency Management Procedures Are as Close to , '
Routine Operational Procedures as Possible
Good Interpersonal Relationships. ' , ' , . . . , , . ' . , , , , ' , . . , ,
Emergency Management Planning = Ongoing Activity, , , , , , ,
All Hazard Approach. . , , , ' , , , . ' . . . . , , , . . , , , . , , , . , , , . .
Disaster Prevention and Mitigation, , ' . . . , , , . . ' . , . . , . . , , ,
Motivation Provided for Involvement in the, , . . , , . . . . , , , , , ,
Emergency Management Program
Citizen Involvement . . , . , , , . , , , , , . . , , , ' . . , , , . , , . , , , , ,
Strong Coordination Among Participating Agencies , , , , . , , '
Public I Private Cooperation """",..'""""",..,
Multiple Use of Resources ..",.."""""""",,'
Public Information Function Clearly Defined ..",.....",
Ongoing Monitoring for Potential Disasters ." , . ' , , , , , , ' , .
Internal Alerting Procedures. . . , , . . , , , , ' , . . . , , . . . . . . . , '
Ability to Alert the Public Maximized ...." , . . . , ' . . . . . , ,
Active Intergovernmental Coordination ""..",..,...",
Ability to Maintain Comprehensive Records ...., ' , . '
During a Disaster
Eligibility for State and Federal Subsidies Considered, , , ,
Action Planning Worksheet, , , . . . . , , . . , . ' , , ' , . . , , , ' . . . . . '
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Characteristics of Effective Emergency Management Organization Structures
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Public Entity Risk Institute
The Public Entity Risk Institute's mission is to serve public, private, and nonprofit organizations
as a dynamic, forward thinking resource for the practical enhancement of risk management.
PERI pursues its mission by:
. Facilitating the development and delivery of education and training on all aspects of risk
management, particularly for public entities, small nonprofit organizations, and small
businesses,
. Serving as a resource center and clearinghouse for risk management, environmental liability
management, and disaster management information.
Operating an innovative, forward,looking grant and research program in risk management,
environmental liability management, and disaster management.
For complete Information on PERI's programs and information services, visit our Web site at
www,riskinstitute,orq,
Public Entity Risk Institute
11350 Random Hills Road, Suite 800
Fairfax, VA 22030
Phone: (703) 934-6046
FAX: (703) 352-7085
Gerard J, Hoetmer
Executive Director
Claire Lee Reiss, J.D" ARM
Director, Grant and Research Program
Dennis Kouba
Director, Outreach and Development
Audre Hoffman
Office Manager
Characteristics of Effective Emergency Management Organization Structures
4
Foreword
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Dear Reader:
The terrorist attacks on the World Trade Center Towers and the Pentagon have
made us all feel very vulnerable, and call into question whether or not as public officials
we have done all we can to prepare our communities for a disaster,
Disasters are, by definition, unusual, extreme events that cause extensive harm
to life and property. Disasters can happen anywhere, and even the smallest town or
rural county should have a current disaster response and recovery plan,
Paper plans, however, are only as good as the people and organizations for
which they are written, Providing leadership during a time of severe crisis is challenging,
It is next to impossible if you don't have a good understanding of what your specific role
is during a disaster -- either as an elected official or as a manager, We watched with
admiration as New York Mayor Giuliani provided leadership to the citizens of his city; he
did the things that, if properly rehearsed and exercised, every local government local
elected official should be prepared to do,
Citizens expect their local leaders to:
. Provide information on alerting signals, action to take, and the like, in
advance of the disaster.
. Quickly and accurately assess the magnitude of an emergency and keep
the public informed throughout the incident.
. Provide for the rapid restoration of services, even when specific services
are not the direct responsibility of the local government, such as with
private utilities,
. Provide for (or help provide access to) recovery services, such as family
reunification, insurance claim preparation, tex counseling, etc,
. Provide information on, and specific action steps toward, mitigating the
impact of future emergencies,
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Characteristics of Effective Emergency Management Organizational Structures is
a self-assessment tool that was prepared especially for use by the chief administrator
(elected or appointed) of a local government. It originated from research conducted by
the International City/County Management Association (ICMA) in the late 1970s for the
Defense Civil Preparedness Agency, a forerunner of today's Federal Emergency
Management Agency (FEMA), The research, in which I as a young ICMA staff member
took part, was led by Lisa Stevenson, at that time ICMA's Director of Contract
Research, and Harvey Ryland, formerly president of Ryland Research, Inc., and now
President of the Institute for Business and Home Safety (IBHS),
The research consisted of reviewing the operations of more than 300 local
government emergency management agencies, and developing dozens of on-site case .
studies of local government emergency management operations, The end result was
Characteristics of Effective Emergency Management Organization Structures
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the development of 20 key characteristics that were found to contribute to an effective
local government emergency management organizational structure,
The material contained here was subsequently used in more than 60
FEMA/ICMA workshops from 1982-1990, during which 2-person teams of local
government administrators and emergency managers completed these exercises.
Today, these key characteristics for effective emergency management are as
relevant as they were 25 years ago, The Public Entity Risk Institute (PERI) staff has
dusted them off, reviewed them, and republished them for your use. You, as the chief
executive officer of your community, have the responsibility to provide for the protection
of lives and property of your community's residents, Are you prepared to meet this
responsibility? It is my hope that you will take the time to work through this manual. and
thus be ready for any emergency event.
Gerard J, Hoetmer
Executive Director
PERI
October 2001
Characteristics of Effective Emergency Management Organization Structures
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Characteristics of Effective Emergency Management Organizational
Structures
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Case studies conducted by the International City/County Management
Association (ICMA) of numerous local government emergency management programs
led to the identification of organizational characteristics that contribute to "effective"
emergency management programs, An effective emergency management organization
is defined to be one that:
"when applied during a disaster, will provide the levels of protection for life and
property, and recovery assistance, which are acceptable to the citizens of the
community,"
It is impossible to deterrnine what levels of service are acceptable to citizens of
any given community -- in fact, the citizens themselves probably do not know what is or
is not acceptable until a disaster has occurred, However, it is possible to state certain
subjective, qualitative conclusions concerning what is and what is not acceptable,
Generally, citizens expect their local governments to;
. Provide information on alerting signals, action to take, etc" in advance of
the disaster.
. Quickly and accurately assess the magnitude of an emergency and keep
the public informed throughout the incident.
. Provide for the rapid restoration of services, even when specific services
are not the direct responsibility of the local government, such as private
utilities,
. Provide for (or provide access to) recovery services, such as family
reunification, insurance claim preparation, tax counseling, and the like.
. Provide information on, and specific action steps toward, mitigating the
impact of future emergencies,
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The twenty characteristics which follow are reflective of the preceding definitions
of "acceptable levels of service" as well as generally accepted "good" management
practices,
Because each community has unique requirements, certain characteristics may
not apply to your situation, Therefore, it is important to remember that the absence of a
particular characteristic may not necessarily mean that there is a deficiency within your
emergency management organization. Additionally, if you have difficulty completing
that exercises for a particular characteristic, it may mean that
. The characteristic is not present,
. The characteristic is present, but you are not aware of it, or
. The presence or absence of the characteristic (and related information)
are not within your area of concern.
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Characteristics of Effective Emergency Management Organization Structures
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About the 20 Characteristics
To organize for comprehensive emergency management, you should determine the
relationship of each of the twenty characteristics that follow to your own community and judge
whether that particular characteristic wil contribute to the effectiveness of your organization,
Each of the chapters on a characteristic is organized as follows:
. Each characteristic is described briefly.
. A "caution sign" about each characteristic identifies a potential problem which
could occur in the absence of the characteristic.
. Procedures for analyzing the characteristic follow as worksheets, By completing
the analysis procedure for each characteristic, you can determine:
o Your community's status relative to that characteristic, and
o The process necessary to incorporate that particular characteristic (if you
desire to) into your organizational structure,
. "Additional Thoughts" follow the Analysis Procedure and present comments
on the characteristic for consideration, These comments are intended as
suggestions only and mayor may not be applicable to your situation,
Characraistics a/Effective EmergencT Management Organization Structures
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Characteristics Checklist
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Indicate the status of each of the following 20 characteristics with regard to your local
situation by assessing them as follows:
A = Currently satisfactory
B = Needs strengthening
C = Does not apply
Characteristics
Status
-A- -B- -C-
(1) Roles of Elected Officials Defined
(2) Strong and Definitive Lines of Command
(3) Disaster Organizational Structure is Similar
To Routine Organizational Sturcture
(4) Emergency Management Procedures are as
Close to Routine Operational Procedures
As Possible
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(5) Good Interpersonal Relationships
(6) Emergency Management Planning is
an Ongoing Activity
(7) All Hazard Approach
(8) Disaster Prevention and Mitigation
(9) Motivation Provided for Involvement in the
Emergency Management Program
(10) Citizen Involvement
(11) Strong Coordination Among Participating
Agencies
(12) Public/Private Cooperation
(13) Multiple Use of Resources
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Charactens!les ofEffeclive Emergency Management Organization Structures
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(14) Public Information Function Clearly Defined
(15) On-going Monitoring for Potential Disasters
(16) I nternal Alerting Procedure
(17) Ability to Alert the Public Maximized
(18) Active Intergovernmental Coordination
(19) Ability to Maintain Comprehensive Records
During a Disaster
(20) Eligibility for State and Federal Subsidies
Considered
Status
-A- -8- -C-
Characteristics of Effective Emergency Management Organization Strnctures
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Organizational Characteristic 1
Roles of Elected Officials Defined
Caution!
Elected officials have
not conducted a
comprehensive
review of emergency
management within
the past three years,
Description of Characteristic
The roles of elected local government officials should be specifically defined in .
the emergency management organization structure, These officials will, of course, have
key roles in representing their respective constituencies during the emergency situation;
however, they are frequently assigned additional functions within a disaster operation,
Such additional emergency assignments should be clearly presented within the
organizational structure.
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Characteristics afEffectlve Emergenq; Management Organization Structures
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Organizational Characteristic 1
Roles of Elected Officials Defined
Analysis Procedures
1, Identify the official and unofficial roles and responsibilities of the community's
elected officials (mayor, council members, supervisors, commissioners, sheriff,
etc.)
Emergency Management Unofficial
Elected Position Official Resoonsibilities Resoonsibilities
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Examples of official responsibilities include: Director of Emergency Management,
declaration of disaster, request county / state / federal assistance, etc
Examples of unofficial responsibilities include policy development, liaison with news
media, liaison with constituency, etc,
Characreristics of E:l/eclive Emergen(~v Management Organization Structures
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Organizational Characteristic 1
Roles of Elected Officials Defined
2, Identify facilities (e.g., room, desk, etc,) that have been designated for use by
elected officials during a disaster situation,
f----' Elected Position Facilities
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Characteristics o/Effective Emergency Management Organization Structures
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Organizational Characteristic 1
Roles of Elected Officials Defined
3, Identify the person responsible for alerting each official concerning a potential
disaster; and, then the person responsible for keeping him/her informed
throughout a disaster situation,
Person Responsible Person Responsible for
Elected Position For Alertina Subseauent Information
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4, Review results of previous steps and determine;
a) which responsibilities need to be officially assigned to elected officials,
b) which responsibilities need to be unofficially assigned to elected officials,
c) if officials have designated facilities for their use during a disaster, and
d) what additional actions are necessary to ensure that officials will be
alerted on a timely basis and kept informed throughout a disaster
situation,
Characteristics of Ejjt:c/ive Emergency Management Organization Stmctures
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Organizational Characteristic 1
Roles of Elected Officials Defined
Additional Thoughts
. Elected official should have an active concern for emergency management
(especially because of the potential political consequence of a disaster) - if they
do not, then an education and motivation programs may be needed,
. Officials should perform a comprehensive review of emergency management on
a periodic basis (e,g" every 2 - 3 years, or so),
. Roles and responsibilities of elected officials should recognize their political
objectives and needs (e,g., conducting press conferences, maintaining
communities with constituency, etc.),
Characteristics of FJfective EmergencJ' Management Organization Structures
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Organizational Characteristic 2
Strong and Definitive Lines of Command
Caution!
The individual assigned
to direct the com-
munity's resources
during a disaster
situation does not have
the corresponding
authority
Description of Characteristic
The organizational structure should clearly delineate lines of authority and
responsibility for all phases of a disaster operation, specifically:
1. Planning and preparation,
2. Monitoring and alerting,
3, Operations, and
4, Recovery,
Specific lines of command in emergency management are especially important
considering the fact that a number of governmental agencies may be involved in the
disaster situation, Furthermore, all individual personnel should know of the established
lines of command,
Characteristics of Effective Emergency Management Organization Structures
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Organizational Characteristic 2
Strong and Definitive Lines of Command
Analysis Procedures
The following exercise is provided to assist you in:
a) identifvinq and understandinq the current lines of authority and responsibility
(official and unofficial),
b) evaluatinq current lines of command,
c) identifvinq areas of weakness to be improved in a revised emergency
management organization.
1, List the official emergency management responsibilities of your
jurisdiction's Chief Administrative Officer (Le" as specified in the
charter, ordinance, etc.), You will probably have to check with your
jurisdiction's attorney to answer this question,
2, List the unofficial responsibilities of the Chief Administrative Officer,
Characteristics of Effective Emergency Management Organization Structures
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Organizational Characteristic 2
Strong and Definitive Lines of Command
3. Check the appropriate box, which indicates the official who has the
authority to direct municipal resources during a disaster,
a)
I
Official Incident Commander
Chief Administrative Officer (CAO)
Assistant CAO
Emerqencv Manaaement Director
Fire Chief
,
Police Chief
Other I
:
b) Incident Commander
Not Designated
4, Is the responsibility for directing resources delegated to someone else
when a disaster occurs (either officially, or "defacto")?
Yes No
a) if yes, identify the person(s) or position(s)
Person(s) Positionlsl
,
Characteristics of Effective Emergency Management Organization Structures
20
5, Does the responsibility vary by type of disaster?
Yes No
If yes, identify the I ncident Commander for the types of disasters included in the
emergency management plan, Use lines 19-20 to indicate potential disasters not
already listed which pose a hazard to your community.
Type of Incident
1, Tornado
2, Flood
3, Hazardous Materials
4, Civil Disorders
5, Radioloaical Incident
6, Maior Fire (incl. hioh rise)
7, Maior Power/Enerqy/Fuel Shortaae I
,
8, Ice Storm/Snow Storm I
9, Fallen Aircraft
10, Maior Bomb Threat
,
11, Terrorist Attack
12, Water Supply Contamination
13. Hurricane
, 14, Tsunami (Tidal Wave)
15, Earthauake
16 Volcano
17 Drouqht
18, Bialogical Hazard
19,
,20,
Incident Commander
i
,
Characterisrics of Effective Emergency Management Organization Structures
21
.
.
.
-e----
.
.
Organizational Characteristic 2
Strong and Definitive Lines of Command
6, Indicate the authorities of the Incident Commander (e.g., authority to
direct all resources during all phases of a disaster situation) and the
responsibilities of the Incident Commander (e,g" alert the public, search
and rescue, remove debris, control crowds, provide human services, etc,)
Authorities ResDonsibilities
, -
C-----
,
I
:
uu_
Characteristics of Effective Emergency Management Organization Structures
22
Organizational Characteristic 2
.
Strong and Definitive Lines of Command
7, Does the emergency management director (and/or Incident Commander)
have written authority to direct resources of other units of government
(e,g" adjacent cities) during a disaster situation?
Yes
No
a) If yes, identify the other units of government and conditions under which
authority may be exercised,
I Units of Government Conditions
,
!
,
.
8, Indicate the level of confidence in the line of command
Very High
High Satisfactory Low Very Low
a) As expressed by the CAO
b) As expressed by key
municipal officials
9) Examine the answers to the above questions, and
a) Identify any current weaknesses in the current emergency management line of
command, and
b) List potential solutions for each of these weaknesses,
.
Characteristics of Effective Emergency Management Organization Structures
23
.
Organizational Characteristic 2
Strong and Definitive Lines of Command
Additional Thoughts
. It is very important that emergency management command personnel be verv
strano leaders. and have the respect of other key officials, List your jurisdiction's
personnel who meet these requirements, along with candidate emergency
management assignments
Name
Candidate Assignment
.
.
Characteristics of Efjc!Ctive Emergency Management Organization Structures
24
.
Organizational Characteristic 3
Similar Routine I Disaster Organizational
Structures
Caution!
Under the disaster
plan, responsibility for
crowd control is
transferred from the
police department 10
the public works
department
Description of Characteristic
The organizational structure that is implemented for disaster situations should be
similar to the structure that is used for day-to-day emergencies; that is, as much as .
possible the disaster organizational structure should be an extension and expansion of
the routine emergency structure -- adding special functions (e,g" damage assessment)
and lines of coordination (e,g" with volunteer organizations) as needed, To the extent
possible, personnel should continue to work with the supervisor and associates that
he/she works with on a day-to-day basis,
.
Characteristics of Effective Emergency Management Organization Structures
25
.
.
.
Organizational Characteristic 3
Similar Routine I Disaster Organizational
Structures
Analysis Procedures
1, Sketch your community's current emergency management organization in the
form of a chart, Show only key position and main lines of authority; however, be
sure to include the following:
a) person legally responsible for emergency management,
b) person responsible for emergency management planning,
c) person responsible for directing municipal resources during a disaster,
and
d) persons responsible for key functions such as monitoring/alerting;
evacuation; damage assessment; public information; rescue and medical;
human services; temporary housing; coordination with other units of local
government; etc,
Your Community's Current Emergency Management Organization
Characteristics of Effective Emergency Management Organization Structures
26
.
-~- --,.. ~----- .------
Organizational Characteristic 3
Similar Routine I Disaster Organizational
Structures
2, List key emergency management functions, and the agency (municipal or
private) which has the corresponding day-to-day responsibility, as well as the
agency that has responsibility during a disaster situation,
Function Day-to Day Responsibility During a
, Responsibilitv Disaster
i
I
I
i
i
I
,
.
3, Compare the agencies having day-to-day responsibility for key functions with
those having that responsibility during a disaster, and complete the following
questions:
a) Does responsibility for key functions differ significantly?
Yes D No D
b) If yes, circle in red on the chart the functions, which do not have similar
routine/disaster organizational structure,
c) Do the structures for these functions have to be different?
Yes
D
No
D
.
Characteristics of effective Emergency Management Organization Structures
27
.----
.
.
---_._--,-
--- Organizational Characteristic 3
Similar Routine I Disaster Organizational
Structures
d) Are emergency management personnel assignments
consistent with day-to-day activities and responsibilities?
Yes
D
No
D
e) Do personnel generally have the same working relationships (i.e"
supervision, scope of authority, coordination, etc,) in a disaster situation
as they do on a day-to-day basis?
Yes
D
No
D
f) List the emergency management organization arrangement and personnel
assignment procedures that could be revised to coincide with day-to-day
operations,
Characteristics afEffective Emergency Management Organization Structures
28
.
Organizational Characteristic 3
Similar Routine / Disaster Organizational
Structures
Additional Thoughts
. The emergency management organization could vary by the type of incident
to permit the department that is directing the majority of resources associated
with a particular disaster to assume authority for directing all municipal
resources if such an incident occurred (Le" serve as incident commander),
For example, the Fire Chief would be designated Incident Commander for a
conflagration, the Pollee Chief for a riot, the Water Department Director for a
water supply contamination, and the director of the street department would
command operations during a snowstorm,
. The position of Incident Commander could be assigned on a permanent basis
to the director of a department, which has significant day-to-day emergency
responsibilities; for example, the police or fire chief. In this case, the same
Incident Commander would direct municipal resources in all types of .
disasters.
. The position of Incident Commander could be filled on a permanent basis by
the Director of Public Safety, who has authority over the law enforcement, fire
protection, and rescue medical services.
. The position of Incident Commander could be assumed by the Chief
Administrative Officer, who has permanent authority over all municipal
resources, (This concept may be impractical for large communities),
.
Characteristics oj Effective Emergency Management Organization Structures
29
-- --
.
.
Organizational Characteristic 4
Emergency Management Procedures are
as Close to Routine Operational
Procedures as Possible
Caution!
The Emergency Manage-
ment Plan requires that
personnel switch to special
operating procedures
during a disaster (under
stress, people tend to
revert to first learned
behavior),
Description of Characteristic
The organization structure should provide for the integration of emergency
preparedness functions into the day-to-day operations of the community, Emergency
planning should be a part of routine activities and not something that is "taken off the
she if' when a disaster occurs, Furthermore, personnel in the organization should be
generally acquainted with others with whom they will be working during a disaster.
Characteristics of EjJi:!ctive Emergency Management Organization Structures
30
Organizational Characteristic 4
Emergency Management Procedures are
as Close to Routine Operational
Procedures as Possible
.
Analysis Procedures
1, Identify major functions that are common to both routine and disaster situations,
For example: Fire suppression, crowd control, debris removal, traffic control,
emergency medical services, protection of people and property, etc,
.
.
Characteristics of Effective Emergency Afanagement Organization Stnlctures
31
.
... OrganizationarCnaracterislic-4
Emergency Management Procedures are
as Close to Routine Operational
Procedures as Possible
2, On this chart, compare the routine procedures for accomplishing each function
used in disaster situations,
.
i
Function Routine Procedure Procedure in Disaster
I
,
.
Characteristics afEffective Emergency Management Organization Structures
32
__Ol'ganizational Charactel'ts_tic__4. . .
Emergency Management Procedures are
as Close to Routine Operational
Procedures as Possible
3, Drawa line through those functions for which the routine and disaster procedures
are essentially similar
4, For the remaining functions, do the two sets of procedures have to be different?
Yes 0 No 0
5, List those procedures which are candidates for revision:
a) Routine Procedures Might Be Revised to Coincide with Disaster
Procedures:
.
b) Disaster Procedures Might Be Revised to Coincide with Routine
Procedures:
.
Characteristics of Effective Emergency Management Organization Structures
33
e---
e
e
--Organizational-ChaFac-teFistic-4
Emergency Management Procedures are
as Close to Routine Operational
Procedures as Possible
Additional Thoughts
. Using similar procedures could:
. save lives and reduce property damage (especially secondary effects),
. reduce errors,
. reduce training requirement, and
. reduce the amount of resources required to perform a function,
. Personnel who will be performing disaster functions could be involved in the
development of procedures and plans,
Characteristics afEffective Emergency ,Management Organization Structures
34
.
Organizational Characteristic 5
Good Interpersonal Relationships
Caution!
Emergency management
coordinator and key
department heads
(individually) have not
spent more than five
minutes in face-to-face
conversation during the
past year.
Description of Characteristic
The organizational structure should recognize the fact that the effectiveness of .
emergency management operations is dependent upon personalities and interpersonal
interdepartmental relationships, These relationships may change as specific individuals
are assigned into, and out of, the organization.
.
Characteristics of Effective Emergency Management Organization Strnctures
35
e--
.
.
-organizational-eharacteristic 5----
Good Interpersonal Relationships
Analysis Procedures
1, Do rivalries or jealousies exist between, or among, key individuals and
departments with the emergency management organization?
Yes
D
No
D
2. Identify staff members with leadership strengths who are not effectively used in
the emergency management organization,
3, Which staff members are highly respected by other officials but are not now
effectively utilized in the emergency management organizations?
Characteristics of Effective Emergency Management Organization Structures
36
Organizational Characteristic 5
Good Interpersonal Relationships
Additional Thoughts
. If personnel do not get along well on a daily basis, they may not be able to
work together at all during a crisis - (cooperation under stress requires good
day-to-day relationships).
. Emergency management personnel miqht want to use every excuse to meet
with key municipal (and participating organizations) officials, For example, a
new emergency management response kit could be transmitted via interoffice
mail
Or
an appointment could be made with the Police Chief to deliver the kit, and
provide an opportunity for establishing, or reinforcing, good working
relationships,
. Maintaining good interpersonal relationships could frequent personal contact.
. Training exercises could facilitate the development of good interpersonal
relationships.
Characteristics of Effective Emergency Management Organization Structures
37
.
.
.
.
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
Caution!
Emergency management
planning is considered to
be the responsibility of
only the emergency
management department
of the community.
Description of Characteristic
.
The emergency management planning function should be established within the
overall local government organization in such a way as to provide the status and
authority necessary to obtain the attention, cooperation, and respect of other agency
personnel. To the maximum extent possible, the planning function should be integrated
into the daily operations of a local government; that is, organizational relationships
should be established which require frequent contact between planning personnel and
other government personnel.
.
Charncteristics ojEffective Emergency Management Organization Structures
38
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
Analysis Procedures
1. Sketch the current management planning (only) organizational structure in the
space below.
2. Identify the person responsible for emergency planning:
And his/her immediate supervisor:
CharCtcrcrisf/CS o(EtJeclive Emergenc)' Management Organization Structures
39
.
.
.
.
.
.
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
3. List the authorities and responsibilities of the person responsible for emergency
planning.
.
Authorities Responsibilities
,
,
--------.
4. Does he/she regularly attend department head or senior staff meetings?
Yes
D
No
D
5. How frequently and intensively does he/she work with other departments and
community groups in performing the planning functions?
Daily D
Weekly D
Monthly D
Infrequently D
Never D
6. Are these contacts encouraged, welcomed, and returned?
Yes
D
No
D
Characteristics of Effective Emergency Management Organization Structures
40
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
.
7. Identify and list personnel assigned to emergency management planning:
Name Approx. Number of Person-Hours
(If not Full-Time)
.-
c-"-'
c.
8. Identify and list emergency management resource personnel provided by other
departments of local government.
.
NamelDepartment Approx. Number of Person-Hours
I
I
I
I .J
, .
.
Characteristics of Effective EmergenG~V Management Organization Structures
41
.
.
.
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
9 Identify and list any volunteers or personnel or participating organizations and the
number of person-hours they contribute.
!
Name
Approx. Number of Person-Hours
10. Do individual departments prepare their own plans detailing responsibilities
during disaster?
Yes D No D
11.Are these plans interdepartmentally coordinated and critiqued?
Yes D No D
12. Do the emergency management plans reflect the kinds of disasters to which your
community is most prone?
Yes
D
No
D
13. Have goals and objectives for emergency management been adopted by the
community?
Yes
D
No
D
Characteristics of Effective Emergency Management Organization Structures
42
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
a) If yes, list the key goals/objectives
14.Are the above resources (dollars, person-hours of labor, equipment, and
facilities) sufficient to develop and implement a plan to meet these goals and
objectives?
Yes D No D
a) If "no," list by program, activity, or objective the additional resources required.
Activity Resources Required
i
I
Characteristics afEffective Emergency Management Organization Structures
43
.
.
.
.
.
.
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
15. What (if any) identifiable performance measures or indicators (other than
objectives) are used to gauge success or failure of your emergency management
program?
Characteristics of Effective Emergency Management Organization Structures
44
Organizational Characteristic 6
Emergency Management Planning -
Ongoing Activity
.
Additional Thoughts
. All participating organizations should be involved in the planning process.
. Disaster exercises should be held on a regular basis with participation by all
involved organizations.
. Emergency management plans should be reviewed and updated on a regular
basis.
. Frequently, emergency management plans are too lengthy and complex for
general use.
. An emergency management plan could be composed of a series of "response
kits" and "checklists" for specific positions within the organization.
· Responsibility for maintaining various lists within the plan (e.g., names and
phone numbers) could be assigned to specific individuals.
.
. Examples of community goals and objectives include:
Goals:
. Alerting .e.!! residents of the community,
. Keep residents informed throughout the situation, and
. Assist residents in recovering from a disaster.
Obiectives:
. Provide emergency power for all fueling stations,
. Implement a personnel identification and recognition system, and
. Provide key city officials with emergency radios.
e
CharaCleristics of Effective Emergency Management Organization Structures
45
.
.
.
Organizational Characteristic 7
All Hazard Approach
Caution!
Emergency management
plan does not include
consideration of haz-
ardous materials spills
resulting from accidents
on the highway.
Description of Characteristic
A local government emergency management organizational structure (and
detailed plans) should be designed to deal with the types of disasters that are most
likely to occur (such as natural disasters and industrial accidents; not just foreign
attack). This provides an emergency management capability which both meets
anticipated needs and attracts strong participation and support from municipal
employees and the general public.
Ch{lracteris!ics ofEfJective Emergency Management Organization Structures
46
Organizational Characteristic 7
All Hazard Approach
Analysis Procedures
1. Identify the potential hazards faced by the community - include natural (e.g.,
hurricane), man-made (e.g., severe power outage), and terrorist-related (e.g.,
biological hazard). Use lines 19-20 to indicate potential disasters not already
listed which pose a hazard to your community.
Likelv Possible Unlikelv Unsure
! 1. Tornado
, 2. Flood
3. Hazardous Materials
4. Civil Disorder
5. RadiolorJicallncident
,6. Major Fire (Incl. high
rise)
7. Major
Power/Energy/Fuel
Shortage or Outaqe i
8. Ice Storm/Snow Storm
9. Fallen Aircraft
10. Major Bomb Threat
11. Terrorist Attack
12. Water Supply
Contamination
13. Hurricane
14. Tsunami (Tidal Wave)
15. Earthquake
16. Volcano
17. Drought
, 18. Biological Hazard
i
19. I
I
I
20. --.-J
2. List those incidents that are not covered by the current emergency management
plan.
Characteristics of Effective Emergency Management Organization Structures
47
.
.
.
.
Organizational Characteristic 7
All Hazard Approach
Additional Thoughts
. Many emergency management functions are similar for all (or several) types
of disasters (e.g. providing food).
. Personnel may find it difficult to support an emergency management plan if
they do not think that the disasters covered by the plan will ever occur.
. The local government and its officials may be liable if the emergency
management plan does not cover known hazards.
. In the final analysis, the plan should enable the community to respond to any
type of disaster - at least to some degree.
.
.
Characteristics of Effective Emergency Management Organization Structures
48
.
Organizational Characteristic 8
Disaster Prevention and Mitigation
Caution!
Your jurisdiction has not
systematicaliy reviewed
each potential type of
disaster to determine
what, if anything, can be
done to prevent that type
of disaster from
occurring.
Description of Characteristic
Advance actions can be taken either to prevent the occurrence of an emergency .
situation, or to mitigate the consequences of a disaster should one occur. For example,
strictly enforced controis on the transport of hazardous materials may prevent a disaster
from occurring. An incentive program to discourage construction in a flood plain may
not prevent a flood, but could minimize the consequences of the event.
Disaster prevention activities can also be conducted after a disaster has
occurred; that is, prior to reconstruction. For example, houses might be reconstructed
in a different area or incorporate storm-resistant features.
.
Characteristics of Effective Emergency Management Organization Structures
49
.
.
.
Organizational Characteristic 8
Disaster Prevention and Mitigation
Analysis Procedures
1. Examine the list of potential disasters to identify those that could be prevented, or
the consequences reduced, through advance activity
For example, a hazardous material incident might be preventable, but not a
hurricane. However, the consequences of a hurricane could be minimized through
proper zoning and building codes. Use lines 19-20 to indicate potential disasters not
already listed which pose a hazard to your community.
Could be Could be Prevention/Mitigation
Prevented Mitiaated Currentlv Implemented
1. Tornado
2. Flood
3. Hazardous
Materials
4. Civil Disorder
5. Radiological
Incident :
6. Major Fire (Incl.
hiah rise) .~
7. Major
, Power/Energy/Fuel
Shortaae or Outaae
8. Ice Storm/Snow
Storm
9. Fallen Aircraft
10. Major Bomb ,
, Threat I
~---
11 . Terrorist Attack
12. Water Supply
Contamination
13. Hurricane
14. Tsunami (Tidal i
Wave)
15. Earthauake
16 Volcano
17. Drouaht I i
, 18. Bioloaical Hazard --i
· 19. I
, 20. I
Characteristics of Effective Emergency Management Organization Structures
50
Organizational Characteristic 8
.
Disaster Prevention and Mitigation
2. Circle in red those incidents that have the potential for prevention and/or
mitigation.
3. Identify those incidents for which prevention/mitigation actions have been taken,
and designate on the chart.
4. List those incidents that have the potential for prevention/mitigation but for which
prevention/mitigation actions have not been taken. Identify a general approach
for prevention/mitigation along with the single individual best qualified to be
responsible for accomplishing the prevention/mitigation effort.
Examples of general approaches include:
. No homes in flood plain,
. Special building codes,
. Restricted use of wood shingle roofs,
. Public education to foster a degree of self-reliance among citizens, and
. Measures to reduce secondary damage.
.
-----
Incidents with Potential General Approach Responsible Individual
for Prevention/Mitigation
,
,
.
Charactensties of Effective Emergency Management Organization Structures
51
.
.
.
Organizational Characteristic 8
Disaster Prevention and Mitigation
Additional Thoughts
. A risk assessment could be undertaken in your community. Municipalities and
officials may be liable for damages if prevention/mitigation steps are not taken for
known hazards.
. In general, an effective emergency management program mitigates the
consequences of any type disaster; however, there may be other specific actions
which can be taken for a particular type of incident.
. Occasionally, disaster prevention/mitigation actions are particularly unpopular
(e.g., some people like to have wood roofs on their houses).
. In some cases, state and/or federal regulations may require that certain
prevention/mitigation actions be taken.
. Hazard mitigation could be built into the planning and review of new
transportation and industrial developments.
Characteristics of Effective Emergency Management Organization Structures
52
Organizational Characteristic 9
Motivation Provided for Involvement in
the Emergency Management Program
Caution!
The last time a com-
munity volunteer
organization assisted,
it did not receive a
public "thank you."
Description of Characteristic
The organization should include motivation for participation in the emergency
management program. Such motivation can apply to both individuals and
organizations, and can consist of recognition, status, acknowledgement of capability,
and the like.
Characterisfics ofEjji:.xtive Emergency Management Organization Structures
53
.
.
.
.
Organizational Characteristic 9
Motivation Provided for Involvement in
the Emergency Management Program
Analysis Procedures
1. Check the categories of individuals and organizations that are participating in the
emergency management program. Use the blank spaces to list categories not
already stated.
Municipal employees
Employees of other municipalities
Volunteer organizations
For-profit companies
Special interest groups
.
Individual volunteers
2. Review each category to determine what motivations (or incentives) currently
exist to encourage active participation in all phases of emergency management
(planning, training, response, recovery). For example:
.
.
.
.
.
.
.
.
.
.
.
Tax deduction/credits,
Additional compensation,
Recognition,
Feelings of usefulness, personal satisfaction,
Status,
Acknowledged capability,
Private use of municipal equipment during off hours,
Paid overtime,
Job requirement, and
Periodic exercise/training to provide for opportunities to serve in a non-
emergency period.
Characteristics a/Effective Emergency Management Organization Structures
54
Organizational Characteristic 9
Motivation Provided for Involvement in
the Emergency Management Program
3. List the categories (individuals/organizations) which could be participating more
actively; then, identify candidate techniques for increasing motivation for
enthusiastic participation.
Cateqorv
Technique
Characteristics olEffective Emergency Management Organization Structure.','
55
.
.
.
.
.
.
Organizational Characteristic 9
Motivation Provided for Involvement in
the Emergency Management Program
Additional Thoughts
. An emergency management assignment as a job requirement may not be
sufficient to ensure active enthusiastic participation.
. Volunteer organizations may be especially sensitive to receiving (or not
receiving) recognition.
. To ensure that municipal employees remain on duty, and work effectively, it mav
be necessary for the organization to provide special care (e.g. evacuation,
shelter, etc.) for their families.
. Individual volunteers could be given special tax deductions or credits if they buy
and maintain particular items of equipment (e.g., 4-wheel drive vehicles) needed
for emergency management.
. Special items of emergency management equipment could be assigned to
individual volunteers for their personal use provided that it is maintained and
supplied for use during a disaster.
. Training helps to keep volunteer organizations involved in program, so that they
may be motivated to serve in emergencies.
Characteristics of Effective Emergency Management Organization Structures
56
Organizational Characteristic 10
Citizen Involvement
Caution!
Residents generally
ignore tests of the
community's
warning system.
Description of Characteristic
Residents of the community should be included in the emergency management
program. In fact, they have a number of responsibilities, including:
. Recognizing alerting signals,
. Knowing what to do when an alert occurs,
. Knowing how to personally cope with minor injuries and damage, and
. Being generally prepared for possible disasters.
In addition, citizens may serve as volunteers in the emergency management
effort - either directly with the local jurisdiction or indirectly through community volunteer
organizations.
Characteristics ofE./fective Emergency Management Organization Structures
57
.
.
.
.
.
.
Organizational Characteristic 10
Citizen Involvement
Analysis Procedures
1. List the public education components of the emergency management program,
and
a) Identify the person responsible for conducting each component,
b) List the frequency of delivery for each component (monthly, quarterly,
semi-annually, annually, etc.), and
c) Estimate the percent of the community population that has completed
each component.
Examples of public education components include:
. Public schools,
. Emergency management courses,
. Weather spotting,
. Recognizing alerting signals, and
. First aid, CPR, etc.
I Component Individual Frequency of Percent
I Responsible Delivery
I
i
Characteristics of Effective Emergency Management Organization Structures
58
.
Organizational Characteristic 10
Citizen Involvement
Additional Thoughts
. Residents may not be aware of the hazards that are responsible.
. Residents may have to be motivated to be concerned about disasters -
especially if they have not been through one before.
. A strong public education program miqht reduce the resources that have to be
budgeted for the emergency management program.
. Without proper education, residents miqht have false expectations concerning
the services that can be delivered by the jurisdiction during a disaster.
.
.
Characteristics of effective Emergency Management Organization Structures
59
.
.
.
Organizational Characteristic 11
Strong Coordination Among
Participating Agencies
Caution!
The emergency man-
agement plan does not
specifically designate
an individual to work
with the local office of
the Salvation Army.
Description of Characteristic
Emergency management is a community responsibility, not just a local
government responsibility. It is necessary for the organizational structure to clearly
identify those individuals (or organizations) which have the responsibility to coordinate
(rather than command) resources that are outside the direct control of the unit of local
government. These resources include other public and private organizations such as
the American Red Cross.
Characteristics of Effective Emergency Management Organization Structures
60
Organizational Characteristic 11
Strong Coordination Among
Participating Agencies
.
Analysis Procedures
1. Identify the person who is responsible for ensuring that participating
organizations are involved in all phases of emergency management.
No person is designated D
2. On the following chart:
a) List the public and private community organizations that currently have
significant roles in the emergency management program (organizations
that are frequently involved in emergency management have been listed -
draw a line through each one which does not apply).
b) List the general functions of each organization. Examples of such
responsibilities include:
. Communications
.
. Transportation
. Providing general resources
(personnel, supplies and equipment)
. Public information
. Alerting special groups of residents (handicapped, etc.)
. Providing and/or managing shelters
. Providing clothing, infant needs, medicine etc.
. Family unification
c) Identify the person responsible for coordinating with each organization
listed on the chart. Leave this line blank if the current organization does
not specifically identify an individual to perform this coordination.
e
Characteristics of Effective Emergency Management Organization Structures
61
.
.
.
Organizational Characteristic 11
Strong Coordination Among
Participating Agencies
Organization Functions Coordinator
School Districts
Transit Districts
County AQencies
Hospitals
,
Medical Associations
Neighboring Governments
Utilities
Military Installations
Home Services
Organizations for those with
Handicaps
!
,
Characteristics oj t.lfective Emergency Management Organization Structures
62
Organizational Characteristic 11
Strong Coordination Among
Participating Agencies
Organization Functions Coordinator
Community Organizations
Associations of General
Contractors
Labor Organizations
Insurance Organizations
,
Legal Organizations
Taxi and Bus Companies
I .
: Humane Society
Weather Service
News Media
-
Supplies
Characteristics of Effective Emergency Management Organization Structures
63
.
.
.
.
.
.
Organizational Characteristic 11
Strong Coordination Among
Participating Agencies
3. Identify community organizations, corresponding functions and coordination
personnel that should be within the organizationai structure.
! Or~anization Function Coordinator
,
i
,
,
I
CharaClerislics of Effective Emergency Management Organization Slnlctures
64
Organizational Characteristic 11
Strong Coordination Among
Participating Agencies
.
4. Were representatives of these organizations involved in the developing the
emergency plan?
Yes
D
No
D
5. How frequently do the coordinators and representatives of these organizations
meet to review procedures, update phone numbers, etc?
Quarterly
D
Semiannually
D
Annually
D
Other
D
Never
D
6. Have personnel of participating organizations been issued identifications and
recognition devices (e.g., name badges; arm bands; vests; etc.)?
Yes
D
No
D
.
7. Have prerequisites for participation by each organization been identified and
satisfied? For example:
. Health permit for public feeding,
. "Canned" public instructions for use by news media, and
. mutual aid agreements
Yes
D
No
D
8. Identify prerequisites that are required
1-
Organization
Prerequisite
---
.
Characteristics of Effective Emergency Management Organization Structures
65
.
.
.
Organizational Characteristic 11
Strong Coordination Among
Participating Agencies
Additional Thoughts
. Community organizations generally have resources that are needed for disaster
operations, and are usually anxious to use the resources during a disaster
situation. Use of these resources saves the jurisdiction from having to provide
(and pay for) the corresponding services.
. If community organizations are not officially included in the emergency
management organizations, they could still operated during a disaster without
coordination, but to the detriment of all parties.
. Community organizations frequently have political connections that could be
used to criticize the emergency management program.
. Community organizations should be included in all phases of emergency
management (planning, training, operations, and recovery) as appropriate.
. All emergency management functions should be reviewed to identify those that
can be satisfactorily accomplished by participating organizations; and those that
could benefit from assistance from such organizations
. To ensure effective operations during a disaster, the local government should
maintain frequent contact with participating organizations prior to the incident.
Characteristics of Effective Emergency Management Organization Structures
66
.
Organizational Characteristic 12
Public/Private Cooperation
Caution!
Private companies
included in the
disaster plan do not
know of their pianned
involvement.
Description of Characteristic
The emergency management organizational structure should include the entire
community, not just local government employees. Emergency management is a
community responsibility and the corresponding organization and planning must include .
public and private organizations, adjacent jurisdictions, the county, the Salvation Army,
associations for the handicapped, associations of insurance agents, etc. In addition, the
organization should incorporate organizational resources and networks that already
exist within the community; that is, organizations that are currently providing a given
service (e.g., assisting the blind) in a disaster situation whenever appropriate. Use of
these in-place networks provides three major benefits:
1. A unit of local government does not have to directly provide that service.
2. Cooperation from the public is maximized by utilizing familiar networks.
3. The more community organizations that are made a part of the emergency
management organization, the greater will be the depth and breadth of
support for the emergency management program in general.
.
Charactenstics a/Effective Emergency Management Organization Structures
67
.
.
.
Organizational Characteristic 12
Public/Private Cooperation
Analysis Procedures
1. List public and private community organization (or examples) that are involved in
the emergency management program and identify the general role of each
organization, for example, advisory, technical assistance, approval, decision
making, provide service, provide resources. Include the person responsible for
coordinating with each organization.
, Or!:lanization Role Coordinator
i :
,
--- ~.
i
I
,
2. Are organizations involved in all applicable aspects (planning, training, response
and recovery)?
Yes
D
Unsure
D
D
No
Characteristics 0/ Effective Emergency Management Organization Strnctures
68
Organizational Characteristic 12
.
Public/Private Cooperation
3. Identify organizations that could, but are not, participating in the emergency
management program.
4. Identify emergency management functions, now assigned to local government
personnel, which could be accomplished by community organizations and
identify candidate organizations(s) for assuming each function.
Function Candidate Oraanization
i
.
,
.
5. Determine the general influence of community organizations (if any) in the
emergency management decision-making process.
.
Characteristics of Effective Emergency Management Organization Structures
69
.
Organizational Characteristic 12
Public/Private Cooperation
6. Determine if organization involvement is
. A one-time event
D
. Active and continual
D
7. Is the involvement of community organizations welcomed, encouraged, and
returned?
. By local government Yes D No D Unsure D
. By organization personnel Yes D No D Unsure D
.
.
70
CharOCleri.,>'{ics of Effective Emergency Management Organization Structures
Organizational Characteristic 12
Public/Private Cooperation
Additional Thoughts
. The local telephone company could incorporate a "citizen survival guide" in the
phone directory.
. Local stores could print emergency management information on paper bags.
. Shopping centers could sponsor emergency management demonstrations in the
parking lot.
. Public acknowledgement of contributions of community organizations may be
necessary to ensure continued participation.
. Contingency contracts may be awarded to supplies for use in disaster situations.
. Business or industries with a training capability may be willing to provide services
in the public interest.
Characteristics afEffective Emergency Management Organization Structures
71
.
.
.
.
.
.
Organizational Characteristic 13
Multiple Use of Resources
Caution!
The EGC is used
only for disasters
and occasional
training.
Description of Characteristic
The organizational structure should promote the use of emergency management
resources for routine government functions. For example, emergency management
training resources could be used for general governmental employee training in cardio-
pulmonary resuscitation (CPR)
Characteristics ofEffeclive Emergency Management Organization Structures
72
Organizational Characteristic 13
.
Multiple Use of Resources
Analysis Procedures
1. Identify major emergency management facilities and items of equipment, (e.g.,
EOC, mobile command positions, 4-wheel drive vehicles) and indicate the non-
emergency use of each item (check if not used for any other purpose than
emergency management).
Facilities/Equipment
Non-Disaster Use
Not Used
D
D
D
D
2. List emergency management personnel and identify additional functions they
perform (if any).
.
Name (or position)
Non-Emergency
Manaqement Activitv
None
D
D
D
D
.
Characteristics of Effective Emergency Management Organization Structures
73
.
.
.
Organizational Characteristic 13
Multiple Use of Resources
3. If emergency management resources are not being used to fullest extent, identify
potential areas for further utilization.
Characteristic.'; of Effective Emergency lvianagement Organization Strnctures
74
Organizational Characteristic 13
Multiple Use of Resources
Additional Thoughts
. The use of emergency management resources for day-to-day activities could
increase the emergency management awareness of all personnel.
. The emergency management command post could consist of an integrated set of
departmental command vehicles that are used for routine operations.
. The EGC could be used for day-to-day operations of departments that have
communications/dispatch functions.
. Personnel will not be confused by unfamiliar emergency management
facilities/equipment if they are used on a day-to-day basis.
. Facilities and equipment miqht be better maintained if used on a routine basis.
. Cost savings miqht be realized if duplicate facilities/equipment do not have to be
purchased and maintained.
Characteristics afEffective Emergency A1anagement Organization Structures
75
.
.
.
.
.
.
Organizational Characteristic 14
Public Information Function Clearly
Defined
Caution!
Role of news
media in disaster
situations is not
specified in the
emergency
management plan.
Description of Characteristic
The organizational structure should include a designated public information
function in order to provide disaster-related information to the general public and to
coordinate with the news media. The disaster public information function should be the
focal point for the release of all information concerning the disaster and should
coordinate the activities of all other (i.e., non-disaster) public information functions.
Ideally, the routine overall government public information function (if it exists) should be
the same as the disaster public information function.
Characteristics of Effective Emergenc~v lv1anagement Organization Structures
76
.
Organizational Characteristic 14
Public Information Function Clearly
Defined
Analysis Procedures
1. Summarize the official role of the news media in each aspect of emergency
management.
Aspect
Official News Media Role
Not Involved
Planning
D
D
D
D
Training
Response
Recovery
2. Summarize the unofficial role of the news media.
.
Aspect
Unofficial News Media Role
Not Involved
Planning
D
D
D
D
Training
Response
Recovery
3. Examine your answers to the previous questions and identify any areas where
additional participation by the news media would be beneficial.
Aspect
Unofficial
Official
Planning
Training
Response
Recovery
.
Characrerislics of Effective Emergency Management Organization Structures
77
.
Organizational Characteristic 14
Public Information Function Clearly
Defined
4. Identify the person who is responsible for coordinating with the media during
each aspect of emergency management.
Aspect
Coordinator
Planning
Training
Response
Recovery
5. Is all emergency-related information released or channeled through the
designated coordinator?
Yes D
No
D
.
6. Are elected official involved in the public information program?
Yes D
No
D
7. Have the emergency management roles of each departmental public information
officer been defined?
Yes D
No
D
8. Specify how information is released and transferred to the media during each
aspect of an emergency:
Aspect
General Procedure
Planning
Training
Response
Recovery
.
78
Characteristics afEffective EmergenLY Management Organization Structures
Organizational Characteristic 14
Public Information Function Clearly
Defined
9. Identify the facilities that have been designated for use by the news media during
a disaster.
10. Summarize the process to be used to keep the public informed in the event that
the news media are not operational (i.e., newspapers, and television stations are
not operating.)
Characteristics of 'Effective Emergency Management Organization Structures 79
.
.
.
.
Organizational Characteristic 14
Public Information Function Clearly
Defined
Additional Thoughts
. The news media will be involved in a disaster situation - this involvement can be
planned, coordinated, and cooperative, or not.
. Representative of the news media could be involved in the planning process:
providing information (and commitments) on when and how the media can assist
in the program.
. The news media could be involved in training classes and disaster exercises to
practice the procedures to be used in an actual disaster.
. Pre-established, "canned" alerting and self-help messages could be developed in
advance and given to the media for use in the event of a potential or actual
disaster. These messages could be prepared in several languages and be
printed or recorded on audio and/or videotape.
.
. Departmental Public Information Officers could serve as the staff for the
emergency management PIO.
.
Characteristics of Effective Emergency Management Organization Structures
80
Organizational Characteristic 15
Ongoing Monitoring for Potential
Disasters
Caution!
Emergency manage-
ment officials were
surprised the last
time the community
experienced severe
weather.
Description of Characteristic
The organizational structure should provide for an emergency management
monitoring function staffed on a 24-hour basis. The purpose of this function is to
monitor the development of potential disaster situations so that governmental
employees, and the general public, can be placed on various stages of alert as
appropriate. In addition, this function assists the community in rapidly establishing an
accurate and complete understanding of the nature and magnitude of a particular
situation.
Characteristics afEffective Emergency Management Organization Structures
81
.
.
.
.
Organizational Characteristic 15
Ongoing Monitoring for Potential
Disasters
Analysis Procedures
1. Are weather and other indicators of potential emergencies continually monitored?
Yes 0 No D
2. If yes, indicate on the following chart (a) which of the potential disaster types are
currently monitored, (b) the person or org.responsible for the monitoring effort (e.g., the
police department dispatcher, the sheriff's office, the emergency management dept.,
etc.) and (c) the general procedure for gathering, recording, and reporting information
concerning the extent/magnitude and location of an actual or potential disaster situation.
For example, National Weather Service monitor, direct line to utility, etc.
.
Currently Person/Org
Type of Incident Maintained ResDonsible Summarize Procedure
1. Tornado
2. Flood !
3. Hazardous
Materials :
4. Civil Disorder
5. Radiological
Incident
6. Major Fire (Incl.
hiqh rise)
7. Major
Power/Energy/Fuel
Shortaqe or Outaqe
8 Ice Storm/Snow
Storm
9. Fallen Aircraft
10. Major Bomb
Threat
11. Terrorist Attack
12. Water Supply
Contamination
13. Hurricane I
, 14. Tsunami (Tidal
, Wave) .-.~-
15. Earthquake
16. Volcano
17. Drought
18. Bioloqical Hazard
19.
20 -~
.
Characteristics of Effective Emergency Management Organization Structures
82
Organizational Characteristic 15
Ongoing Monitoring for Potential
Disasters
3. Rate the confidence in the timeliness, accuracy and completeness of the
information currently being provided among the following groups of individuals.
Very High
High Satisfactory Low
Very Low
Local Government
Officials
D
D
o
D
D
Emergency Mgmt.
Personnel
o
o
o
D
o
General City
Employees
o
o
D
o
o
4. Identify any incidents which:
. Have potential for occurring in the community,
. Can be monitored,
. Are not currently being adequately monitored.
Characteristics of Effective Emergency Management Organization Structures
83
.
.
.
e
Organizational Characteristic 15
Ongoing Monitoring for Potential
Disasters
Additional Thoughts
. Bus drivers, police officers, public works employees, and other personnel with
radio-equipped vehicles could be trained and used as observers, e.g., "weather
spotters."
. Monitoring could be accomplished by a neighboring community on a cooperative
or contract basis.
. The jurisdiction may be unaware that neighboring communities depend on it for
the monitoring function.
. Warning indicators may not exist for some types of disasters - a mid-air collision,
for example.
.
. It is possible for individual departments of a local government to know of a
disaster potential or actual disasters (fire and police departments, for example),
without the jurisdiction as a whole being aware of the situation.
.
Characteristics of Effective Emergency Management Organization Structures
84
Organizational Characteristic 16
Internal Alerting Procedures
Caution!
Key emergency
management
officials learn of the
disaster situation
from a commercial
radio news report.
Description of Characteristic
The emergency management organization should provide for the alerting of key
officials and personnel in times of disaster, including during non-duty hours and when
the public telephone system is not operational.
Characteristics of Ejfective Emergency Management Organization Structures
85
.
.
.
le
.
.
Organizational Characteristic 16
Internal Alerting Procedures
Analysis Procedures
1. Determine how key emergency personnel (in municipal and community
organizations) would find out/be notified of a disaster, or potential disaster,
situation.
Procedure Responsible Party
Elected Officials
Chief Administrative Officer
Incident Commander
Emergency Management
Department Personnel
Key Emergency
Manaqement Personnel
2. Is the notification network dependent upon the public telephone system?
Yes D
D
No
3. Summarize procedures to be followed if a key individual is out of town.
Characteristics of Effective Emergency Management Organization Structures
86
Organizational Characteristic 16
Internal Alerting Procedures
Additional Thoughts
. There may be situations where notification thought the news media will occur, or
is the best course of action. For example, a terrorist reports a bomb threat to the
media.
. It may be advantageous to provide key emergency personnel with cell phones or
radio devices for alerting purposes.
. Internal alerting may include key personnel who are not municipal employees,
but are key officials of community organizations.
. Testing your system regularly and conducting alerting exercises may heighten
the awareness of key officials regarding local emergency management.
Characteristics of Effective Emergency Management Organization Stroctures
87
.
.
.
--
.
.
Organizational Characteristic 17
Ability to Alert the Public Maximized
Caution!
Alerting messages
are given oniy in the
English ianguage.
Description of Characteristic
A public alerting function should be included within a local government
emergency management organizational structure. This alerting function should be
operational for all types of natural and man-made disasters faced by a community.
Furthermore, provisions should exist to alert all segments of the community, such as
those with handicapped and non-English speaking residents.
Characteristics of Effective Emergency Management Organization Structures
88
--
Organizational Characteristic 17
Ability to Alert the Public Maximized
Analysis Procedures
1. Identify the person (or position) responsible for alerting the general public
concerning an actual or potential disaster situation.
2. Specify how the public would be alerted to disasters posing a threat to your
community.
News media
Sirens
Cable television network
Public address-equipped vehicles
House-to-house contact
Special radio monitoring devices
Emergency broadcast system
Community organizations
Technique
Disaster Types
.
3. Identify how the following special groups of residents are alerted.
Group
Blind
Hearing-impaired
With handicaps
Non-English speaking
Confined to bed
Care facility patients
Institutionalized
Dependent on life-
support equipment
Others
Technique
No Special Provision
.
89
Characteristics of Effective Emergency Management Organization Structures
-
Organizational Characteristic 17
-
Ability to Alert the Public Maximized
4. Has the role of the news media in alerting the public been coordinated with
media representatives?
Yes D
No
D
5. Identify the types of disasters for which "canned" public information packets have
been prepared and given to the media
6. If sirens are used for public alerting, sketch the community boundaries in the box
that follows and place and "X" at the appropriate location of each siren
.
.
90
Characteristics of Effective Emergency Management Organization Structures
~
-
Organizational Characteristic 17
Ability to Alert the Public Maximized
7. Rate the capability of the sirens.
D
Inadequate D
Adequate
8. How frequently is the alerting system tested?
Weekly 0
Annually 0
Monthly
D
o
Semi-annually
o
o
Quarterly
Never
a) Determine the percentage of the system that worked satisfactorily during the
last test
%
9. Has the general public been educated as to the meaning of alerting signals and
corresponding actions to take?
.
Yes 0
No
o
10. Specify how often such education was accomplished within the past
month quarter year other
11. How frequently do the public schools conduct disaster drills?
Weekly 0
Annually 0
Monthly
D
o
Semi-annually
o
o
Quarterly
Never
.
Characteristics of Effective EmergenLY Management Organization Structures
91
..
Organizational Characteristic 17
Ability to Alert the Public Maximized
Additional Thoughts
. An alerting system is not adequate without a corresponding public education
program.
. The local jurisdiction may not be aware of the fact that neighboring communities
may depend upon your alerting system for notification of their residents.
. Use of a single alerting technique (e.g. sirens) may not be sufficient to reach all
residents and may not be appropriate for all disasters.
. Responsibility for notifying special groups of residents may be assumed by
community organizations (e.g., the association for the blind).
.
.
Characteristics of Effective Emergency Management Organization Stnlctures
92
.
Organizational Characteristic 18
Active Intergovernmental Coordination
Caution!
Surrounding
communities are
not mentioned in
the emergency
management plan.
Description of Characteristic
The emergency management organizational structure should be designed to
effectively interface with neighboring communities and state and federal emergency
management organizations.
.
.
Characteristics oj Effective Emergency Management Organization Structures
93
.
.
.
Organizational Characteristic 18
Active Intergovernmental Coordination
Analysis Procedures
1. Do formal and lor informal cooperative agreements (such as mutual aid) exist
between your community and other units of government (municipal, county,
state, Federal) for assistance?
Yes 0
o
No
2. If yes, list major cooperative agreements
Unit of Government
Purpose of Agreement
Type of Agreement*
3. Identify potential cooperative agreements that are needed but do not currently
exist.
Unit of Government
Purpose of Agreement
Type of Agreement*
*e.g., written mutual aid, unwritten mutual aid, joint powers agreement, contract, etc.
Characteristics of Effective Emergency Management Organization Structures
94
Organizational Characteristic 18
Active Intergovernmental Coordination
.
4. Does your community routinely alert neighboring communities concerning
potential or actual disasters?
Yes 0
No
o
5. If yes, name the individual responsible for alerting neighboring communities
about the danger.
6. Designate how the alerting is accomplished
Public telephone
o
o
o
o
o
.
Direct telephone use
Telephone link
Computer link
Radio telephone
7. How does your community request assistance from other levels or units of
government?
a) Who has the authority to request such assistance?
b) What medium is used for the request?
Oral 0
Written
o
e
Characteristics of Effective Emergency Management Organization Structures
95
.
.
.
Organizational Characteristic 18
Active Intergovernmental Coordination
8. How does your community formally declare a "disaster" and request a
corresponding declaration from the state and federal governments?
9. Who has the legal authority to make this declaration for your community?
Characteristics of Effective Emergency Management Organization Structures
96
Organizational Characteristic 18
Active Intergovernmental Coordination
Additional Thoughts
. Attempting to formalize informal mutual aid agreements miqht result in
termination of the agreement.
. Sometimes the questions of liability must be resolved before cooperative
agreements can be established.
. It is possible that an adjacent smaller community is dependent upon your
jurisdiction for disaster monitoring and alerting - but your jurisdiction is not aware
of this dependence.
. It is possible that your jurisdiction is not aware of the fact that the emergency
management plan for an adjacent smaller community is to wait for help to arrive
from your jurisdiction.
. Representatives of neighboring communities should be considered for
participation in the development of the emergency management plan.
. Neighboring communities miqht also participate in disaster exercises.
. Your jurisdiction could perform the emergency management planning for
neighboring communities on a contract basis.
. In general, assistance cannot be obtained from higher levels of government until
all local resources are committed.
Characteristics of Effective Emergency Management Organization Structures
97
.
.
.
.
.
.
Organizational Characteristic 19
Ability to Maintain Comprehensive
Records During a Disaster
Caution!
Your organization
does not maintain the
information needed
to defend itseif in a
disaster-related
lawsuit.
Description of Characteristic
The organizational structure should provide for the collecting and recording of
disaster-related information, including financial data on governmental expenditures.
Information should be maintained in accordance with state and Federal requirements in
case an official "disaster" is declared.
Characterisrics of Effective Emergency Management Organization Structures
98
Organizational Characteristic 19 .
Ability to Maintain Comprehensive
Records During a Disaster
Analysis Procedures
1. Have information requirements been established for the following purposes?
a) General emergency management operations Yes D No D
b) Preparation of public information notices Yes D No D
c) Justification of requests for declaration of
disaster Yes D No D
d) Justification of requests for state/federal
reimbursement Yes D No D
e) Accountability of personal action Yes D No D
f) Defense in a disaster-related lawsuit Yes D No D
g) Prepare a listing of the situation Yes D No [J .
2. Identify information requirement not currently being met.
3. Have procedures been developed and implemented to capture and record the
necessary information?
Yes D
No
D
4. Identify the person(s) or position(s) responsible for obtaining and recording
necessary information.
Information
Responsible for Obtaining
Responsible for Recording
.
Characteristics of Effective Emergency Management Organization Structures
99
.
.
.
Organizational Characteristic 19
Ability to Maintain Comprehensive
Records During a Disaster
Additional Thoughts
. Request for reimbursement may be denied if the damage and/or costs or
repair are not fully documented.
. It may be advantageous to designate one individual to be responsible for
acquiring (from other emergency management personnel) and recording all
disaster information.
Characteristics afEffective Emergency Management Organization Structures
100
.
Organizational Characteristic 20
Eligibility for State and Federal
Subsidies Considered
Caution!
Local government
has few personal
contacts with state
and federal emer-
gency management
officials.
Description of Characteristic
A community that is seeking state or Federal subsidies for emergency .
management operations should consider corresponding applicable requirements related
to its organizational structure.
.
Characteristics of Effective Emergency Management Organization Structures
101
Organizational Characteristic 20
Eligibility for State and Federal
Subsidies Considered
.
Analysis Procedure
1. Identify the person (or position) who has the authority (an responsibility) to apply
for state/federal subsidies.
2. Have specific procedures been developed to obtain the information needed to
support a request, and properly submit a claim?
Yes D
No
D
3. Do these procedures meet applicable state and Federal requirements?
Yes D
No
D
Unsure
D
4. List additional actions that need to be taken to ensure the jurisdiction receives all ...
allowable funds -
.
Characteristics of Effective Emergency Management Organization Structures
102
e
Organizational Characteristic 20
Eligibility for State and Federal
Subsidies Considered
Additional Thoughts
. Receipt of funds mav be dependent upon following specified procedures and
supplying adequate data.
. It may be advantageous for key officials (e.g., mayor, supervisor, members of
council, and manager) to be generally aware of the requirements for receiving
reimbursement.
e
e
Characteristics of Effective Emergency Management Organization Stroctures
103
e
Action Planning Worksheet
-- What Needs Organizational
Tasks Who Has How Task will Steps You Will Take
to be Done Responsibility Strengths! be Performed
Weaknesses
I
i
I
.--
I
I
I
1-
!
i
I
I
I
i
I
e
e
Characteristics of Effective Emergency Management Organization Structures
104
.
.
.
Evaluation of Characteristics of Effective Emergency Management
Organizational Structures
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Characteristics of Effective Emergency Management Organization Structures
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How to submit this evaluation:
Mail or Fax your completed evaluation to:
Public Entity Risk Institute
11350 Random Hills Rd., Suite 210
Fairfax, VA 22030
Fax: (703) 352-6339
Thank you!
.
Characteristics of Effective Emergency Management Organization Structures
6
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~
~~HILLS
MEMORANDUM
TO:
Mayor and City Council
Joe Lynch, City Administrator ~
Maintenance and Operations SUntendent Position
FROM:
SUBJECT:
CC:
Tom Moore, Jim Perron personnel file
DATE:
November 16,2001
BACKGROUND
I have enclosed a copy of the memorandum sent to you October 12,2001, concerning this
position and my previous recommendation. I have also enclosed a copy of the City of Arden
Hills organizational chart from 1999 and 2001. The chart lettered A, dated November 1999,
reflects the current state of organizational and reporting structure. The chart lettered B, dated
November 2001, indicates my proposed and accepted organizational change for the City of
Arden Hills. As you can see on chart A, there were eight direct reports to the City Administrator,
and one of the points I made in trying to convince the City Council to approve an organizational
structural change, was the span of control and the diversity of the types of positions reporting to
the City Administrator was too great. On chart B the reorganization creates three direct reports to
the City Administrator.
As previously indicated, the rationale for the creation of the Maintenance and Operations
Superintendent position is to reduce the number of mid-management positions, allow for
streamline reporting, and enable the Maintenance and Operations Director and Maintenance and
Operations Superintendent access to a larger labor pool for more attention to projects.
The creation of the Maintenance and Operations Superintendent position job description
basically incorporates the main duties of the current Public Works Maintenance Foreman
position as well as some of the aspects of the Parks Foreman position. The Parks Foreman
position is eliminated. However, at this time I am not recommending a reduction in pay for that
position due to two factors; this reorganization was not as a result of the lack of performance on
the part of that employee, and with the inclusion of parks employees in the union the wages of
parks employees could be brought to the same level of public works employees. Ifwe reach an
agreement for a 3% increase, there would be no adjustment in the pay for this employee. If the
adjustment is larger than 3%, this employee would receive less of an increase.
Maintenance and Operations Superintendent Position
Page 2
November 16,2001
I have been questioned about being able to move ahead with organizational changes on a more
timely basis. I believe that this is a necessary change for the operation of the City and one that
can be implemented presently. I have discussed this with the staff member I have recommended
for the position, and he is willing and able to assume this position. The interim Public Works
Director and the City Accountant are in agreement with my recommendation.
RECOMMENDATION
Staff recommends that the City Council appoint Jim Perron to the position of Maintenance and
Operations Superintendent at an annual salary of $48,000 retroactive to the first payroll in
November of200l, and authorize the removal ofMr. Perron from the IUOE Local 49, and the
payment of health insurance in coordination with the non-union health insurance program.
.
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MEMORANDUM
TO: Mayor and City Council
FROM: Joe Lynch, City Administrator
SUBJECT: Maintenance and Operations Superintendent Position
DATE: October 12,2001
CC: Organizational file, personnel file
BACKGROUND
As previously proposed, City Council has accepted the reorganization plan for both the
Administrative staff and Public Works and Parks and Recreation staff. The Public Works and
Parks and Recreation side of the organizational change includes establishing a position of
Maintenance and Operations Director which takes the place ofthe Public Works Director and
combines the duties ofthe Parks and Recreation Director into that position. It also includes the
establishment and filling of the Maintenance and Operations Superintendent position.
The Maintenance and Operations Superintendent position would be an exempt, non-union
position that oversees the daily operation of the Maintenance and Operations employees. The
Superintendent would discuss with the Maintenance and Operations Director on a daily basis
those tasks, projects, and work load accomplishments for the day, week, month and season. This
position would also translate the long-term goals and objectives of the City and Maintenance and
Operations Director into the aforementioned daily, weekly, monthly and seasonal work load.
By creating an Maintenance and Operations Superintendent position I believe you achieve the
following benefits to the City:
. A mid-management position that oversees the daily work schedule, operations, and takes the
former foreman position out of the dilemma of being both a field working employee and
union member.
. Allows the oversight of all aspects of Public Works and Parks operations by keeping a
perspective on long range plans and because of the removal from direct field work
requirements the position is better able to direct manpower, equipment, materials, and
contractors, in all aspects of maintenance and operations.
Maintenance and Operations Superintendent Position
Page 2
October 12,2001
.
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The creation of the superintendent position reduces the number of mid-management
positions. The Park Foreman position goes away. We may establish two lead positions, one
in Maintenance, one in Operations.
By reducing the number of mid-management positions, we potentially reduce the overall cost
to the City. The current organization includes a Public Works Director, Parks and Recreation
Director, Maintenance Foreman, and Parks Foreman. The organizational change creates the
position of Maintenance and Operations Director and Maintenance and Operations
Superintendent and eliminates the Public Works Director and Parks and Recreation Director
positions.
By creating the position of Maintenance and Operations Superintendent, we allow the
individual to work with the new operation to determine the appropriate labor division, give
input into the decisions on lead positions, and provide feedback on the effectiveness of the
organizational change.
I created a chart to give you some background on similar positions with similar sized and/or
.
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surroundinQ communities.
Position City Salary # employees
supervised
Maintenance Supervisor Vadnais Heights $46,812 5
Public Works Supervisor S1. Anthonv $45,264 12
Supervisor Mound $50,484 5
Public Works Foreman Mounds View $49,380 8
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RECOMMENDATION
I recommend that the City Council appoint Jim Perron to the position of Maintenance and
Operations Superintendent with the City of Arden Hills, effective November I, 2001. This is a
non-union, exempt, position. Mr. Perron would no longer be on call, nor would he receive
overtime for any additional work necessary to accomplish the responsibilities of the position. Mr.
Perron has demonstrated through his years of service with the City that he is capable, qualified,
enthusiastic, and able to take on these new roles and responsibilities. Mr. Perron has been acting
in an increased capacity since the departure of the former Public Works Director in March of this
year.
I would like to put this on consent at your regular scheduled meeting on October 29, 2001, for
action at that time.
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DRAFT
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MEETING MINUTES
CITY COUNCIL WORKSESSION
MONDAY, NOVEMBER 19, 2001
4:45 P.M. - CITY HALL, 1245 WEST HIGHWAY 96
CALL TO ORDER
Mayor Probst called the meeting to order at 4:57 p.m. Councilmembers present
were Beverly Aplikowski, David Grant, Gregg Larson, and Lois Rem.
Staff present included City Administrator, Joe Lynch; City Accountant, Terry
Post; Parks & Recreation and Interim Public Works Director, Tom Moore; City
Planner, Aaron Parrish, and Recording Secretary, Jackie Gritz.
FINANCE DEPARTMENT
2002 Budl!et Discussion
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Department Budgets
City Acco!-mtant Post indicated handouts were not available; therefore he was not
prepared to discuss this item.
Purchase of Springbrook Software 2002
City Accountant Post indicated the current software (Banyon Data Systems) has
been in place since 1993 and is not Windows based. Mr. Post indicated the
current software has poor technical support as well. For these reasons, Mr. Post
proposed to change to the Springbrook Software product that surrounding cities
already use. The Springbrook product is Windows based, cost competitive, and
has greater technical support. Mr. Post proposed implementation of the new
software on January 1,2002, running parallel software until it is deemed fully
stable.
Staff was directed to present this item on the Consent Calendar at the December
10 meeting.
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Joint Powers Agreement
City PI31lller Parrish indicated that the City is working on a contract with the City
ofRoseville in the amount of$20,000 for 31lllual computer technical support.
This contract would include the maintenance of our server, systems integration
and installation, problem solving, hardware maintenance and configuration,
software updates, up-to-date virus protection, desktop operation support for
employees that are having problems with a particular file or problem, fiber,
linking other various parts of the City Hall, training, review of possible future
software and recommendations, and the continued hosting of the City's email and
ARDEN HILLS CITY COUNCIL WORKSESSION - NOVEMBER 19, 2001
C. .... ~.. f. r:: .,..
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webserver. Mr. Parrish indicated the contract would also support the internet
faxing and internet email.
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Staff was directed to move forward with this item as presented.
PARKS & RECREATION DEPARTMENT
City Administrator Lynch indicated our recreation budget has grown so much that our
charitable gambling revenue cannot cover the recreation operating deficit; therefore, he
has asked Park and Recreation Director Moore and Recreation Supervisor Olson to try to
cut program expenses. They could potentially eliminate programs such as the summer
playground and/or eliminate the special events programs, and bring our recreation
brochure in-house (proposed overall program cuts would be $14,000) or ask the City
Council to propose a tax levy to support approximately $15,000 for recreation.
Mr. Lynch indicated subcontractor Skyhawks increased this year's recreation costs, as
well as off-site brochure publication. (The publication costs went from $12,500 to
approximately $25,000. Skyhawks increased their costs by $6,000.) Mr. Moore
indicated he has seen an increase in community based programs, such as the playground
program, Easter Egg Hunt, etc. Because participation in those programs has increased,
our costs have increased.
Revenues from charitable gambling goes to public safety capital (40%) and Parks and
Recreation (60%).
.
Lois Rem asked if we are going to face a location problem due to the loss of the Army
Reserve Center.
Mr. Post said the use of the Army Reserve Center for classes has previously saved the
program school district building coordinator costs.
Mayor Probst indicated we now have City Hall to host some class activities.
Councilmember Larson noted he would like to see current budget recreation numbers.
Councihnember Grant agreed. Mayor Probst asked Mr. Moore to collect this information
and discuss this item further when these numbers are available.
ADMINISTRATION DEPARTMENT
City Hall Maintenance
City Administrator Lynch explained proposals were requested from six (6) cleaning
services and were narrowed to just three for the new City Hall. The CoverAlls proposal
is being recommended with a cost of $1 ,063 a month for cleaning for 5 days a week.
Staff was directed to present this item on the Consent Calendar but would like to see the
work schedule proposed by CoverAll.
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C r-:, .r r~H,!"
ARDEN HILLS CITY COUNCIL WORKSESSION -NOVEMBER 19, 2001 . .\ L~ 14L"~ t
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Proposed Technolol!v Policv
Mr. Parrish stated that due to the technology upgrades at the City Hal1, a need for a
Technology Policy has been established. Mr. Parrish noted the Technology Policy
mainly addresses liability issues for the City and governs specific use for certain items.
Mr. Parrish indicated the policy basical1y states to use common sense since all activities
are monitored, and it outlines acceptable uses. Mr. Lynch noted a draft policy has been
distributed to all employees and a meeting was held to review this policy as well.
Staff was directed to include this on the Consent Calendar at the December 10 meeting.
Review of Emerl!encv Operations Plan (EOP)
Mr. Lynch noted he reviewed the City's EOP based on information he received on how to
review these plans. Mr. Lynch's comments are on Page three (3) of the handout, with the
most immediate underlined. He noted this building was built with the express purpose of
running on a mobile emergency generator in the event of an emergency.
Mayor Probst recommended that either the City Administrator or delegated staff review
the EOP and make a recommendation on whether it can be completed by city Staff or if a
task force should be appointed. .
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Maintenance and Operations Snperintendent Position
Mr. Lynch indicated he had previously approached the City Council regarding the
Maintenance and Operations Superintendent Position and was requested to provide an
organizational structure to depict his proposed plans. Mr. Lynch said he spoke with Jim
Perron, current Public Works Foreman, who indicated his desire to move into this new
position, but there was concern over the speed of implementation. Mayor Probst asked if
Jim Perron would be willing to move into the position at a lower salary now with
potential adjustments to the salary pending Labor Relations Associates review of Pay
Equity Points compliance.
Councilmember Grant noted he is concerned we are not moving forward with the new
organizational structure formally. He also noted he would like to see what the financial
impact of this new organizational structure will be.
Mr. Lynch indicated he would have the Labor Relations Associates draft job descriptions
by Monday, November 27, 2001.
Councilmember Aplikowski noted she believes a probationary period was needed for Jim
Perron's new position. Councilmember Larson agreed.
Staff was directed to include this item on the Consent Calendar at the December 10
meeting and proceed with hiring Mr. Perron pending the salary information from Labor
Relations Associates.
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2002 Committee Assil!nment Process
No information was presented on this item.
r~C\C~i;
L,~J'-~'~
ARDEN HILLS CITY COUNCIL WORKSESSION - NOVEMBER 19, 2001 4
p7:";L""'!-
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AMM and LMC Lel!islative Policy Priorities
Councilmcmber Aplikowski said she neglected to bring in the AMM and LMC policies.
She indicated their priorities were announced Friday, November 16 and she will provide
this information to the City Council. This item was tabled until information is made
available to all Councilmembers.
e
City Hall Location
Mr. Lynch explained the issue of the new City Hall setback has been raised. He said the
plans that were approved in 2000, showing the setback and the building siting have not
been revised to his knowledge. Mr. Lynch indicated the siting was directed by the
setback requirement from Sunfish Lake.
Mayor Probst indicated further discussion on the siting ofthe building would not result in
any action. Councilmember Larson indicated everyone is going to have a different
opinion about various City Hall concerns and we cannot possibly respond to everyone's
concerns.
Consultant Services Evaluatiou
Councilmember Grant noted it seems to him each year we appoint various consultant
positions without a review of their performance. He asked if we should consider setting
up a regular review of our consultants.
Mayor Probst explained the philosophy ofretaining consultants has been that as long as A
we have been satisfied with their performance and no concerns were raised, then there .,
was no need to change consultants. Mayor Probst noted a formal review may be a good
idea as long as it is not an annual or formal event. Mayor Probst said if concerns over our
consultants develop, City staff should be contacted and we can address those concerns at
that time.
Codification Process
City Administrator Lynch said he requested the City's Administrative Secretary, Sheila
Stowell, to provide information on the codification process. Mr. Lynch referred to the
staff memo regarding the process, holding a Public Hearing, and what the effective date
of the new code will be.
Staff was directed to hold a Public Hearing Meeting on this item at the December 10th
meeting and adopt the Ordinance at that time. The effective date would be January I,
2002.
STAFF COMMENTS
Mr. Lynch noted we had previously discussed Twin City Army Ammunition Plant
(TCAAP) proposals for possible future TCAAP property usage. He noted parties have
not been available to discuss items. Mayor Probst indicated he would like to schedule
parties to attend meetings to find out what kind of relationship TCAAP property
personnel would be willing to have with the City in the development of the property.
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ARDEN HILLS CITY COUNCIL WORKSESSION - NOVEMBER 19, 2001 5
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COUNCIL COMMENTS
Mayor Probst indicated it was his desire to have a document drafted for the National
Guard's review regarding the land transfer.
Mayor Probst noted that the 1-35W Corridor Coalition progress to date. He believes the
City will have the support from the Coalition to open up opportunities for Arden Hills.
Mayor Probst indicated the National Guard has expressed a willingness to move the
Army vehicles from the west side of our property. He expressed a need to push the issue.
Councilmember Grant asked Mayor Probst to send a formal letter requesting a need to
relocate the vehicles.
Councilmember Aplikowski noted she believes we should begin talking about the next
retreat.
Councilmember Aplikowski noted she read in our AMM FAX that more Metropolitan
Staff people were being hired.
Councilmember Rem commented on the upcoming Trinity Church meeting at the end of
November and would like further information.
e
Councilmember Larson noted he had the opportunity to bring back information on Mills
Corporation. He noted he visited a couple Mills sites and came away from viewing both
of the sites not very enthusiastically. He believes he would prefer to see some
commercial development.
ADJOURN
Mayor Probst adjourned the meeting to an Executive Session at 8:12 p.m. by
consensus.
EXECUTIVE SESSION
City Council went into Executive Session to review the performance evaluation of
a City employee. There was no action taken or direction given by the City
Council as a result of the Executive Session.
ADJOURN
Mayor Probst adjourned meeting at 9:35 p.m. by consensus.
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. NAME:
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CITY:
AMM POLICY PRIORITIES (2002)
Please review the following list of priorities submitted by each of the AMM's four policy
committees and indicate the top five priority policies you think the AMM should focus its time
and resources on during the 2002 Legislative Session. Fax completed form to: 651-281-1299.
(1 = highest priority; 5 = lowest priority)
I-A
Levy Limits (Revenue)
I-B
Local GovernmentAid(Revenue)
I -C Sales Tax on Local Government Purchases (Revenue)
I -G Revenue Diversification (Revenue)
II-A Mandates & Local Authority (General Legislation)
II-C 911 Telephone Tax (General Legislation)
II-E Permit Approval & Zoning/Denial Findings (General Legislation)
III -C State Housing Policy (Housing & Economic Development)
III -J Tax IncrementFinancing (TIF) (Housing & Economic Development)
III-L This Old Shop (Housing & Economic Development)
III - K State Role inRedevelopment/Reinvestrnent (Housing & Economic Development)
IV -E Collar Counti es (MetropolitanAgencies)
IV - F Growth Mangement Strategy (Metropolitan Agencies)
IV -G Natural Resource Protection (Metropolitan Agencies )
V -A TransportationFunding (Transportation)
V -C RoadAccessFee (Transportation)
Other:
Association of Metropolitan Municipalities (AMM)
145 University Ave. W, St. Paul, MN 55103 # amm@amm145.org
Phone: 651-215-4000 I Fax: 651-281-1299
League of Minnesota Cities
.
~
Proposed
2002
City Policies
..
For legislative and
administrative action
.
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LMC
MINNESOTA CITIES
.
~agllr2 0/ Minnesota Cities
C;Ue6 promoUng lttcenfln~
Building
Quality
Communities
.
League of Minnesota Cities
145 University Avenue West. St. Paul, MN 55103-2044
(651) 281-1200 . (800) 925-1122 . Fax (651) 281-1299
www.lmnc,org
PLEASE PUT A CHECK MARK BY YOUR CITY'S TOP FIVE (5) MAm PRIORITIES
(SEE FULL TEXT OF POLICIES IN THE PROPOSED 2002 CITY POLICIES PACK)
City Name:
Improving Fiscal Futures
_FF-l. State-Local Fiscal Relations
_FF-2. State Shared Revenues
_FF-3. Taxation of Municipal Bond Interest
_FF-4. City Fiscal Year
_FF-5. Sales Tax on Local Government Purchases
_FF-6. Payments for Services to Tax- Exempt Property
_FF-7. Truth-in-Taxation
FF-S. State Administrative Deductions from State Aid
_FF-9. Reporting Requirements
_ FF -10. Federal Budget Cutbacks
FF- 11. Price of Government
_FF-12. Impact Fees
_FF-13. Delayed Assessments for Roads
FF-14. Taxation of Electronic Commerce
FF-15. Limited Market Value
_FF-16. State Charges for Administrative Services
_FF-17. Levy Limits
FF ,IS. Reverse Referendum
_FF-19. City Revenue Diversification
Improving Local Economies
_ LE-l. Growth Management and Annexation
LE-2. Electric Service Extension
_LE-3. Statutory Approval Timelines
LE-4. Public Infrastructure Utilities
_LE-5. Development Fee Disputes
_ LE-6. Housing Policy
_LE-7. State andlor County Licensed Residential Facilities
_LE-S. Inclusionary Housing
_LE-9. Community Land Trusts
_LE-IO. Municipal Telecommunications Authority
_ LE-I ]. State Telecommunications Policy
_LE-12 Right-of-Way Management
_LE-J3. Franchising Authority
_ LE- I 4. Financing Community Reinvestment Efforts
_LE-15. Tax Increment Financing (TIF)
_ LE-16. TIF Grant Program, Special Deficit, and Pooling
Authority
LE-17. Business Subsidies
_LE-IS. Minnesota Investment Fund
_ LE- 19. Redevelopment Programs
_LE-20. Property Tax Abatement Authority
LE-21. Brownfields
----..LE-22. OSA Response Timelines
_LE-23. OSA Time Limitations
_LE-24. Economic Development Authorities
LE-25. Workforce Readiness
_LE-26. Adequate Funding for Transportation
_LE-27. State Aid for Urban Road Systems
_LE-2S. Tumbacks of County and State Roads
_ LE-29. Road Funding for Cities Under 5,000
LE-30. Railroad-Related Projects
Improving Service Delivery
_ SD-l. Redesigning and Reinventing Government
SD-2. Unfunded Mandates
_SD-3. City Costs for Enforcing State and Local Laws .
_SD-4. Design-Build
_SD-5. Providing Information to Citizens
_ SD-6. Construction Codes
_SD-7. National Fire Protection Association (NFPA)
Standards
SD-S. Fees for Service
_ SD-9. Library Funding
_SD-IO. Civil Liability of Local Governments
_ SD-II. Private Property Rights and Takings
SD-12. Election Issues
_SD-13. Local Election Authority
SD-14. Environmental Protection
_SD-15. Sale of Lawn Fertilizers Containing Phosphorus
_SD-16. Creating a Minnesota GIS Program
_ SD-17. State Appropriation for Goverbnment Training
Service
_ SD-IS. Public Safety Spectrum Needs
_SD-19. Legalization of Fireworks
_SD-20. 911 Funding
_SD-21. Racial Profiling
SD-22. O.OS DWI
SD-23. CriMNet
_SD-24. Red Light Cameras
_SD-25. Misdemeanor Fines
_SD-26. State Regulation of Massage Therapists .
_SD-27. On-Sale Liquor or Wine Licenses to Performing
Theaters and Cultural Centers
_SD-2S. Youth Access to Alcohol and Tobacco
Human Resources and Data Practices
Human Resources
_HR-I. Preservation of Local Decision-Making Authority
on Employment Related Issues
_HR-2. Veterans' Preference
_HR-3. Compensation Limits
_ HR-4. Public Employees Labor Relations Act (PELRA)
_HR-5. Re-employment Benefits
_HR-6. Essentiai Employees
_HR-7. Pensions Benefits
_HR-S. PERA Funding Deficiency
_HR-9. State Paid Police and Fire Medical Insurance
_HR-IO. Breathalyzers
_HR-ll.Drug and Alcohol Rehabilitation
_HR-12. Health Care Insurance Programs
_HR-I3. Electronic Timekeeping
_HR-14. Volunteer Fire Relief Pension
Data Practices
_DP-l. Public Access to Information
_DP-2. State Model Policies and Training
_DP-3. Tennessen Warning
DP-4. Violations of Government Data Practices Act .
Federal Employment Law
_FED-I. FLSAIOvertime Compensation
_FED-2. MedicarelMedicaid Premium Disbursements
_Electric Restructuring
I
.
_m~
~~HILLS
MEMORANDUM
DATE:
November 16, 2001
TO:
Joe Lynch, City Administrator
FROM:
Sheila Stowell, Administrative Secretary
SUBJECT:
Recodification
Backl!round
The City originally retained the League of Minnesota Cities to recodify the City's
regulations. This process has apparently been on-going since the early to mid '90's and
is now hopefully nearing adoption.
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The code has been researched, edited and amended over the years by numerous attorneys
at the League of Minnesota Cities; the City Attorney; and American Legal Publishing
Corporation. A staff concern has been the continuity of the document with the various
parties coming and going during this lengthy process.
A copy of the original contract (unsigned) with the League of Minnesota Cities; and a
copy ofthe supplemental agreement with American Legal Publishing is enclosed for
Council information.
Considerations
Copyright
I spoke with Ray G. Bollhauer, the Attorney with American Legal Publishing
Corporation who processed our Code of Ordinances. He stated that American Legal
Publishing had no copyright rights to our code. He only suggested that by continuing a
relationship with them, the City would be assured of ongoing inclusion and updating of
the Code, rather than an entire recodification at will.
Process
This memo addresses process issues at this time.
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Aaron Parrish, the City's Planner, has successfully opened a draft copy of the entire code
as provided by American Legal Publishing. Staffwill compile additional Council and
staff changes; changes recommended by Councilmember Rem; and changes
recommended by City Attorney Filla and present a final draft to the City Council prior to
adoption.
Memorandum, Recodification
November 16,2001
Staff will also-incorporate-newly adopted ordinances (mostly during 2001), and/or
appendices as appropriate
A question to consider is the process the Council uses for public information, when
adopting new ordinances, which in turn become part of the City's code. Does the City
Council wish to hold a public hearing prior to adoption of the entire Code of Ordinances?
Note in City Attorney Filla's letter of October 26,2001, his reference to the votes needed
for approval of both the Ordinance and the Summary.
Staff has researched, and included in this packet, Minnesota Statute regarding ordinance
adoption by municipalities.
For those recent changes made as part of a Planning Case (i.e., Right-of- Way;
Floodplain; Signs), a public hearing is held by the Planning Commission as part of the
process. All newly-enacted ordinances and/or amendments would not necessarily
involve the Planning process. Does the City wish to amend its Code of Ordinances by
simple publication of the ordinance summary? After adoption, we can use various
resources to inform our residents and the public by inclusion on the website; newsletter
summaries and any other means as directed.
Staff is enclosing an excerpt from the League of Minnesota Cities handbook regarding
resolutions and ordinances and their respective processes. Council may wish to direct
staff on an alternative policy for adoption if preferred.
Existing Code ofOrdinances/Aooendices
The draft ordinance addresses the repeal of past ordinances.
There are several areas, (i.e., personnel policy; adult uses; zoning; signs; flood plain
management; shore land management; cable communication franchise; gas distribution
franchise; and electrical distribution franchise) that need to be continued in the
"Appendix" section of the Code of Ordinances.
The Personnel Ordinance is the only standing policy we have at this time to protect the
City from potential litigation prior to the adoption of a formal Personnel Policy. Specific
language to continue these various items on an interim basis will need to be confirmed by
City Attorney Filla.
Fee Resolution
Staff needs to verify that the Code of Ordinances does not include fees to be charged, but
references the annual resolution entitled, "A Resolution Establishing the Fee Schedule for
(year). "
2
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Memorandum, Recodification
November 16,2001
3
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Cost
A summarY-D[-e*peI'Ises-forthe-codification projectis-enc1osed foreouncil information.
Staff believes these expenses are all-inclusive; however, there was no opportunity for the
City's Accountant to review them.
As for American Legal Publishing, according to Mr. Bollhauer, the City has no further
financial obligations to them. The only outstanding cost-related items will be the
required staff time for implementation, publication and attorney review.
Draft Ordinance Summary for Publication
We have used a combination of a suggested ordinance summary from American Legal
Publishing and from City Attorney Filla to compose the summary that staff is suggesting
be considered by the City Council.
Action Requested
Staff suggests that the Code of Ordinances become effective with publication, as close to
the new year as possible. The Council can adopt the code at either their November 26th
or December lOth meeting, and staff will then coordinate the publication. Staff needs to
confer with City Attorney Filla on whether the effective date on the ordinance summary
can read "This ordinance shall become effective January 1, 2002 and following its
publication."
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CC: City Attorney Filla
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CITY OF ARDEN HILLS
COUNTY OF-RAMSE-Y-
STATE OF MINNESOTA
ORDINANCE NO.
AN ORDINANCE SUMMARHY
ADOPTING A NEW MUNICIPAL CODE
FOR THE CITY OF ARDEN HILLS, MINNESOTA,
AMENDING, RESTATING, REVISING, UPDATING, CODIFYING AND COMPILING
CERTAIN ORDINANCES OF THE CITY
DEALING WITH THE SUBJECTS EMBRACED IN THE CODE OF ORDINANCES,
AND PROVIDING PENALTIES FOR THE VIOLATION
OF THE CODE OF ORDINANCES
WHEREAS, Minnesota Statutes Sections 415.02 and 415.021 authorize the City to cause its
ordiuauces to be codified and printed in a book;
NOW THEREFORE, THE CITY COUNCIL OF THE CITY OF ARDEN HILLS,
MINNESOTA HEREBY ORDAINS:
Section 1.
The general ordinances of the City as amended, restated, revised, updated,
codified and compiled in book form, including penalties for the violations of
various provisions thereof, are hereby adopted and shall constitute the "Code
of Ordinances of the City of Arden Hills." This Code of Ordinances also
adopts by reference certain statutes and administrative rules of the State of
Minnesota as named in the Code of Ordinances.
Section 2.
The Code of Ordinances as adopted in Section 1 shall consist of the following
titles:
Chapter 1:
Chapter 2:
Chapter 3:
Chapter 4:
Chapter 5:
Chapter 6:
Chapter 7:
Chapter 8:
Chapter 9:
Chapter 10:
Chapter 11:
Code Introduction
Administration
Licenses and Regulations
Animals and Pets
Alcoholic Beverages
Nuisances and Offenses
Recreation Areas
Traffic and Motor Vehicles
Building Regulations
Utilities
Subdivisions
Ordinance Summary No.
Section 3.
Section 4.
Section 5.
2
Date
.
Appendix:
· Adult Uses
. Zoning
. Signs
· Flood Plain Management
· Shoreland Management
· Cable Communication Franchise
· Gas Distribution Franchise
· Electrical Distribution Franchise
All prior ordinances, pertaining to the subjects treated in the Code of Ordinances,
shall be deemed repealed from and after the effective date of this ordinance,
except as they are included and re-ordained in whole or in part in the Code of
Ordinances; provided, this repeal shall not affect any offense committed or
penalty incurred or any right established prior to the effective date of this
ordinance, nor shall this repeal affect the provisions of ordinances levying taxes,
appropriating money, annexing or detaching territory, establishing franchises, or
granting special rights to certain persons, authorizing public improvements,
authorizing the issuance of bonds or borrowing money, authorizing the purchase
or sale of real or personal property, granting or accepting easements, plat or
dedication of land to public use, vacating or setting the boundaries of streets or
other public places; nor shall this repeal affect any other ordinance of a temporary
or special nature or pertaining to subjects not contained in or covered by the Code
of Ordinances. All fees established in prior ordinances codified in this Code shall
remain in affect unless amended in this code or until an ordinance adopting a fee
schedule is adopted or amended.
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This ordinance adopting the Code of Ordinances shall be a sufficient publication
of any ordinance included in it and not previously published in the City's official
newspaper. The Clerk of the City shall cause a substantial quantity of the Code of
Ordinances to be printed for general distribution to the public at actual cost and
shall furnish a copy of the Code of Ordinances to the County Law Library or its
designated depository. The official copy of this Code of Ordinances shall be
marked and be kept in the office of the City Clerk.
A copy of the entire ordinance is available for inspection by any person during
normal business hours at the Office of the City Administrator at 1245 West
Highway 96, Arden Hills, MN 55112.
The Code of Ordinances is declared to be prima facie evidence of the law of the
City and shall be received in evidence as provided by Minnesota Statutes by the
Courts ofthe State of Minnesota.
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Ordinance Summary No.
Section 6.
Effective
Date.
Adoption
Date.
ATTEST:
3
Date
This ordinance adopting the Code of Ordinances, and the Code of Ordinances
itself, shall take effect upon publication ofthis ordinance in the City's official
newspaper.
This ordinance shall become effective on the day following its publication or on
the day following the publication of an Ordinance Summary as approved by the
City Council.
Passed by the City Council of the City of Arden Hills this day of _th day of
March,2001.
DENNIS PROBST, MAYOR
JOSEPH P. LYNCH, CITY ADMINISTRATOR
Puhlication Date. Published on the
of
,2001.
Ordinance Summary No.
4
Date
.
STATE OF MINNESOTA
COUNTY OF RAMSEY
CITY OF ARDEN HILLS
NOTICE OF PUBLIC HEARING
ON ADOPTION OF AN ORDINANCE
ENACTING A CODE OF ORDINANCE FOR THE CITY OF ARDEN HILLS,
MINNESOTA,
AMENDING, RESTATING, REVISING, UPDATING, CODIFYING AND COMPILING
CERTAIN ORDINANCES OF THE CITY
DEALING WITH THE SUBJECTS EMBRACED IN THE CODE OF ORDINANCES,
AND PROVIDING PENALTIES FOR THE VIOLATION
OF THE CODE OF ORDINANCES
TO WHOM IT MAY CONCERN:
NOTICE IS HEREBY GIVEN, that on Monday, March 12,2001 at 7:30 p.m., the Arden Hills
City Council will hold a Public Hearing at Arden Hills City Hall, Council Chambers, 4364 West
Round Lake Road, Arden Hills, Minnesota to consider adoption by the City of Arden Hills of a .
revised, amended, updated Code of Ordinances for the City.
A copy of the document relative thereto is on file and available for inspection at the Office of the
City Administrator at Arden Hills City Hall, 1245 West Highway 96, Arden Hills, MN 55112.
This notice is provided for public information. Any person in favor of, opposed to, or interested
in said adoption of this Code of Ordinances will be heard by the City Council at the time and
place above stated.
Dated at Arden Hills, Minnesota, this _ day of
, 2001.
Joseph P. Lynch
City Administrator
PUBLICATION INSTRUCTIONS:
Publish Twice:
Arden HillslShoreview Bulletin
/01 and /01
(Affidavit Required)
.
PETERSOI~,
FRAM BERGMAN
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16121 228-1 i':d facsimiie
Melvin I Silver. of COLlnsei
April 28, 1994
Dorothy Person
City Administrator
City of Arden Hills
1450 West Highway 96
Arden Hills, MN 55112
RE: Recodification Agreement
League of Minnesota Cities
Our File No.: 10450/920001
Dorothy:
I have reviewed the contract for services in the above-
captioned matter. The form of contract is legally acceptable. I
have the following comments, suggestions or questions:
?
The proposed agreement does not indicate that the City
will receive a copy of the computer disk as part of the
contract price. I do not know if you want to end up with
a copy of the computer disk so that future revisions can
be made in-house.
1.
2. Does the contract include the recodification of the
recently adopted sign and zoning regulations? If not,
'l you may wish to have these documents formatted in the
/ same way as the remainder of the City Code.
r
~ ;y. ( ~y) ;s~~ truly yours,
!\" Ai- , .' ~.1ft; //\1 / ~om. Filla
~~~~r~ ty~
APR 29 1994
mv OF ARDEN HILLS
-.
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.
CI'IY OF ARDEN HILLS
MEMJRANDUM
DATE:
'10:
FRCM:
SUBJECI':
April 25, 1994
Jerry Filla, City Attorney
Dorothy A. Person, City Administrator
1IgreeIrent for Codification
Jerry, please review the attached and advise.
Thanks .
DAP:rk
.
.
.
.
.
3490 Lexington Avenue North
St. Paul, MN 55126-8044
(612) 490-5600
League of Minnesota Cities
April 19, 1994
Ms. Dorothy Person
City Administrator
City of Arden Hills
1450 West Highway 96
Arden Hills, MN 55112
Dear l-Is. Person ~
The preliminary work on the City of Arden Hills' new city code has
begun and it will be ready for the necessary data entry and formatting
work upon the return of my data entry contractor from her vacation.
The completed first draft should be ready for shipment to the city
around the end of May, and depending on how quickly the data entry
work can be completed, perhaps a little earlier.
.
Thank you for faxing me a copy of the bid acceptance the City of Arden
Hills signed with the League. As we discussed, the paper work that
was forwarded to me did not contain a copy of the pages indicating
Which options the city had elected to purchase, and for some reason
the original sheets were not in the files our finance department
maintains although a copy of your downpayment check was on file.
To formalize the agreement between the City and the League, enclosed
please find two copies of a Contract For Services. This contract
outlines the terms of the codification as previoUSly accepted by the
City. Please sign them, retain one copy for your files and return the
other to me.
If you have any questions, please contact me.
Sincerely,
~~
Kent Sulem
Codification Attorney
\:4,
Ene:
?."1
,
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Contract For Services
city of Arden Hills Codification
e
SERVICES TO BE PROVIDED
a. Inputting of all data into wordperfect.
b. Updating of all provisions to reflect current statutory and
case law.
c. simplification of language where appropriate, and the
conversion to gender neutral language wherever possible.
d. The suggesting of new provisions which the city should
consider including in the new Code, and the deletion of old
provisions which are no longer necessary or which may be
improper.
e. The integration of all ordinances passed since the last
codification.
f. The reorganization and restructuring of the Code into an easy
to use manual which utilizes a numbering system that allows for
the easy insertion of future ordinances. All sections are then
. referenced in an easy to use detailed table of contents. Per .
the city's request, and index shall also be provided.
g. The submission of both a first and second draft copy of the
proposed new. Code for the Council's, and/or city attorney's,
and/or other city representatives' review and comments as to
how the code should be customized to meet the city's needs.
h. The delivery of one copy of the final (third) draft of the new
Code bound in a three ring binder, and the inclusion of a model
ordinance that can be used to adopt the new Code. A copy of
the Code on computer disk will also be made available upon the
city's request.
i. The maintaining of the Code on a computer disk in the League's
files to allow for easier future recodifications or partial
updates.
COSTS
Basic Codification: $ 9,405
Recodification of Chapter 9.5 "Floodplains": $ 645
Recodification of Chapter 20.5 "Shoreland": $ 330
. Recodification of Chapter 22 "Subdivisions": $ 84~
-
-
--
Recodification of Chapter 23 "Pools":
$
$
$
130
Index:
480
Table of statutory References:
75
Subtotal:
Credit - Chapter 14, Part II "MOBILE HOMES..."
$11,910
$ -330
TOTAL:
$11,580
ADDITIONAL COSTS
Extra Copies of Bound Code (per copy):
Meetings with League Codification Attorney
(Per hour, plus all travel costs including
mileage, lodging, and meals as necessary.):
$
40
$
30
Special Requests and New Material added
After the Date of This Contract and not
Otherwise Provided for. (per hour)
$
30
PAYMENT SCHEDULE
Deposit - due at time contract signed (paid):
First Installment - due upon completion
of first draft (60%.of balance)
$
500
$ 6,648
.
.
Second Installment - due upon completion
of second draft (20% of balance)
Third Installment - due upon completion
of final draft (20% of balance)
$ 2,216
$ 2,216
Payment for meetings with the codification
the code, or for services not specifically
due upon delivery of the service or copy.
attorney, extra copies of
provide for above, shall be
Unless otherwise agreed upon by the League, the city's failure to
return a draft copy within nine months of its receipt shall be cause
for the entire value of the contract to become due immediately.
.
.
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ACCEPTANCE
The terms contained in this contract are hereby accepted by the City
of Arden Hills and shall constitute a binding agreement between the
city of Arden Hills and the League of Minnesota cities.
On behalf of:
League of Minnesota cities
By: ~i!kv~~Uf
Stanley eskar
General Counsel
City of Arden Hills
By:
Its:
and:
Its:
.
.
.
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CITY OF ARDEN HILLS
1450 WEST HIGHWAY 96
ARDEN HILLS, MN 55112-5794
~ 13, 1993
Kent SUlem
Codification Attorney
League of Minnesota cities
3490 Lexington Avenue North
st. Paul, MN 55126-5600
Dear Kent:
Enclosed please find the signed document requesting recodification of
our City Ordinance book and related services as noted on the contract.
I have enclosed a copy of a resolution which notes changes to Section 3-
26 and 3-27 of the license and pennit fee section. Several other
changes have been made to various ordinances by resolution. I am
certain that with your help, all will be updated soon.
.
As noted in the agreement, please find enclosed our check in the am:lUIlt
of $500.00 as clown payment f= this service.
'!he city will anticipate working the first draft in early Spring 1994 as
we discussed.
If you should have any questions in the meantime, please feel free to
give me a call.
'Ihank you.
Sincerely,
Dorothy A. Person
city Administrator
DAP:rk
Enclosures
.
PHONE: (6121 633.5676 . FAX 16121 633.7839
(",. f/;CI! -
I . L L - .-, II
LC 1/1/.'./ fljlt:.-
~,~< -J,
3490 Lexington Avenue North
Sl Paul, MN 55126-8044
(612) 490-5600
.
League of Minnesota Cities
November 12, 1993
Ms. Dorothy Person
City Administrator
City of Arden Hills
1450 West Highway 96
Arden Hills, MN 55112
Dear Ms. Person:
Enclosed please find the League's quotation for re-codifying the City
of Arden Hills' City Code. As you will notice, I have quoted a price
for a basic codification, and I have then listed the price for the
additional services which you stated the City might want to include in
the new code. For the basic codification, I excluded chapter 21
"Signs" and Appendix A "Zoning Ordinance" of the current code because
they have recently been pulled out of the Code and published as
separate volumes.
.
In addition, I excluded chapters 9.5 "Floodplains", 20.5 "Shoreland",
22 "SUbdivisions", and 23 "Pools" from the total page count used in
calculating the quotation for the basic codification as we discussed
the possibility of having these chapters removed from the Code and
inserted into the separate zoning publication that the city has
prepared. The cost for adding each of these chapters to the Code is
indicated under the "Extras" section of the bid. Further, after
reviewing chapters 12 "Lakes", 14 "Mobile Homes", and 20 "Planning and
Zoning", I included them in the quotation for the basic codification
because their actual contents appear to fit the purpose of the main
Code as opposed to being in the separate zoning guide. Chapter 14
"Mobile Homes", however, could be split into two parts and the section
dealing with Mobile Home Parks could also be placed in the separate
zoning guide. I have indicated a price reduction should the city
decide to do this prior to the start of the recodification.
As we have discussed, the League's basic codification process includes
the following services:
a. Inputting of all data into Wordperfect.
b. Updating of all provisions to reflect current statutory and
case law.
c. Simplification of language where appropriate, and the .
conversion to gender neutral language wherever possible.
.
.
.
d. The suggesting of new provisions which the city should
consider including in the new Code, and the deletion of old
provisions which are no longer necessary or which may be
improper.
e. The integration of all ordinances passed since the last
codification.
f. The reorganization and restructuring of the Code into an easy
to use manual which utilizes a numbering system that allows for
the easy insertion of future ordinances. All sections are then
referenced in an easy to use detailed table of contents.
g. The submission of both a first and second draft copy of the
proposed new Code for the Council's and/or city attorney's
review and comments as to how they want the code customized to
meet the city's needs.
h. The delivery of one copy of the final Code bound in a three
ring binder, and the inclusion of a model ordinance that can be
used to adopt the new Code. A copy of the Code on computer
disk is also available upon request.
i. The maintaining of the Code on a computer disk in the League's
files to allow for easier future recodifications or partial
updates.
If the city accepts the League's bid, I estimate that work on the new
code would begin in late February or early March of 1994. As we have
discussed, an average code usually takes between 6 and 8 weeks to
complete a first draft. As Arden Hills' code is larger than an
average code, I would estimate that 8 weeks would be the approximate
turn around time for the first draft. Revisions and subsequent drafts
can usually be completed in a matter of just 2 to 4 weeks once they
have been received back from the city. Exact turn around times for
subsequent drafts, however, depend on several circumstances that make
it impossible to guarantee an exact time period. If a city has a
particular time concern, however, we will try whenever possible to
make special arrangements to ensure completion of of the code within
the city's needed timeframe.
If your city elects to accept the League's bid, please have the bid
signed as indicated and return it to me with all options requested
indicated on the form. I will then send you a formal contract to be
signed with which a five hundred dollar deposit will be required.
If you have any questions about this bid or the codification process,
please call me.
sincerely,
*-A--~~~
Kent Sulem
Codification Attorney
LEAGUE OF MINNESOTA CITIES' PROPOSAL FOR THE RECODIFICATION OF THE
CITY OF ARDEN HILLS' CITY CODE
.
BASIC CODIFICATION: $ 9,405
Recodify chapters 1 through 9, 10 through 20, 24 through 28, and
Appendix B of the current code and include a detailed Table of
Contents. Two drafts of proposed code to be provided, and one copy of
the final Code bound in a three-ring binder.
EXTRA SERVICES: (Please circle the desired services)
Recodification of Chapter 9.5 "Floodplains" ~
---- ~
: <S330.0~
Recodification of Chapter 22 "Subdivisions" : ~845.0~~
~1~
~O.OO ~,
($75.00 ~.
Recodification of Chapter 20.5 "Shoreland"
Recodification of Chapter 23 "Pools"
Index
Table of Statutory
References
Table of Comparison
Extra Copies of Bound Code (per copy)
Meetings with League Codification Attorney
(Per hour, plus all travel costs including
lodging and meals as necessary. )
Delete Chapter 14, Part II "Mobile Home
Parks" (transfer to zoning guide)
: $300.00
: C! 40.00"")
.
:u~
: ~redit
~
Payment Schedule:
Deposit (due at time contract signed)
First Installment (due upon completion
of first draft )
Second Installment (due upon comppletion
of second draft )
Third Installment (due upon completion
of final draft )
$500.00
: $ 60% of balance
$ 20% of balance
$ 20% of balance
.
.
.
.
"
Unless otherwise agreed upon by the League, the city's failure to
return a draft copy within nine months of its receipt shall be cause
for the entire value of the contract to become due immediately.
Acceptance of Bid:
The terms contained herein are accepted by the City of Arden Hills and
shall constitute a binding agreement between the City of Arden Hills
and the League of Minnesota cities. This agreement shall be further
documented by a formal Contract for codification Services which shall
set forth the terms accepted by this agreement.
On behalf of:
League of Minnesota cities
O)~~
Kent Sulem
Codification Attorney
City of Arden
By:
By:
and:
Its:
.
.
e
...-.JL*
~-
AMERICAJ\
1. l, LU~:i
February 2001
G'TV (\c:
.ill.....l;
Joseph Lynch
City Administrator
4364 West Round Lake Road
Arden Hills. MN 55112-5794
Dear Me. Lynch:
Please be advised that we are shipping via United Parcel Service 5 copies of the Arden Hills Code
of Ordinances.
YOll will note that the contents have not been inserted in the binders. We have determined that the
weight of the paper in the binders, combined with unreasonable handling by shipping companies, has resulted
in the metals in the binders becoming bent or otherwise damaged. We hope that this procedure meets with
your approval as it results in protection of the binders during shipment. To assemble the codes, simply
remove the cardboard from each band-wrapped code, open each binder and insert the band-wrapped material,
and then remove the band.
Copies of ordinances to be included in the code should be sent on a regular basis to our Ordinance
Acknowledgment Department so that supplements to the code can be prepared as the need arises.
Your assistance in the production of this code has been appreciated. We are pleased to provide the
new code and we look forward to continuing to serve you. If you have questions concerning the code or
invoice, please do not hesitate to contact our office.
Customer Service Department
AMERICAN LEGAL PUBLISHING
432 Walnut Street. 12th Floor. Cincinnati, Ohio 45202
www.amlegal.com. e-mail: customerservice@amlegal.com' fax: (513) 763-3562
(800) 445-5588
.
January 30, 2001
Joseph Lynch,
City Administrator
4364 West Round Lake Rd,
Arden Hills, MN 55112-5794
Re: Code of Ordinances
Dear :Mr. Lynch:
Enclosed is an agreement for supplementing the new Arden Hills Code of Ordinances
which will soon be completed. The cost is $18 per re-printed page of the code book. In other .
words, if a 5 page ordinance affects only 2 pages in the book, you pay for just those two pages.
Additionally, the League of Minnesota charges $75/hour to review the ordinances to make sure
there are no legal problems with them. Most codes are updated annually, but we can supplement
the code as often as you like.
There are other options in the contract for purchasing additional copies of the code and
also having it converted into the Folio Search and Retrieval computer program (sample disk
enclosed), plus having it posted to the internet. Let me know if you have any questions.
Best regards,
2~~~--
RAY G. BOLLHAUER, Esq.
.
432 Walnut Street. 12th Floor. Cincinnati, Ohio 45202
www.amlegal.com. e-mail: customerservice@amIegal.com' fax: (513) 763-3562
(800) 445-5588
618-763-8SG:.~ ~:
.
.
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SUPPLEMENT SERVICES AND COST SUMMARY
American Legal Publishing proposes to publish supplements to the Arden Hills Code of
Ordinances at the following price:
I) Includes
A) Five Copies of the supplement
B) Special Features:
1) Update Index
2) Tabular Matter (create Tables where appropriate)
(C) Freight/Shipping
(D) 8y," x 11" Format (single column print)
$18/reprinted page
(E) Legal Review of Ordinances by MN League of Cities
(maximum charge of $400)
$75/hour
II)
Time to Completion
Number of Days for Supplements
*excludes review time by League
within 45 days*
III) Optional Services
(A) Additional copies of code:
(B)
Folio VIEWS Search and Retrieval Software
(1) Your Code in Folio (one license included)
(2) On Site Installation & Training
(3) Phone Support
(4) Supplements of Folio
(page refers to printed supplement page)
$595
$695/ day + Travel Expenses
Inc1 uded
$1.95/page*
Minimum Charge per supplement:
Annul update
Update every 6 months
$195
$150 each
(5)
(6)
(7)
Additional network licenses
Additional CD's ($50 license fee and $10 pressing fee)
Code on internet
$50 each
$60 each
$200/year
IV) Terms:
Payment due upon receipt of supplement and invoice.
American Legal Publishing Corp.
432 Walnut Street, 12th Floor
Cincinnati, Ohio 45202
(League of Minnesota Cities)
City of Arden Hills
4364 W. Round Lake Rd.
Arden Hills, MN 55112
.
SUPPLEMENT SERVICE AGREEMENT
January 30, 2001
The City of Arden Hills, Minnesota (hereinafter referred to as "Municipality"), American Legal Publishing
Corporation, (hereinafter referred to as "Publisher"), and the League of Minnesota Cities (the "League")
agree as follows:
I. THE LEAGUE SHALL:
The League's codification attorney will:
a. Review all ordinances submitted for a code supplement for legal conformity to state
statutes and pertinent court cases.
b. Inform the city of state legislative changes and court cases affecting provisions of their
code.
II.
THE PUBLISHER SHALL:
.
EDITORIAL ANALYSIS
1. Examine the ordinances and other legislative material as submitted by the
Municipality.
2. Incorporate those materials to be included in the Code according to the subject matter
in the existing code, or where there is no existing legislation on the subject, at a logical
location in the Code.
3. Make necessary changes in wording of the materials to bring about uniformity of style
and to correct typographical errors;
4. Prepare a legislative history of each affected section citing the ordinance or resolution
number and date of passage of the ordinance or resolution;
5. Revise or make additional entries to chapter summaries, tables of special
ordinances, cross-reference tables, and general index as necessary to reflect the
incorporation of additional, changed or deleted material.
.
.
.
.
PRINTING
Deliver to the Municipality five printed copies of supplemental pages for the Code of
Ordinances. The printing, format, page size, and paper stock will match that of the
Municipality's present code. An instruction sheet for directing the placement of the new
pages will be provided.
SHIPPING AND DELIVERY
The Publisher shall ship at its cost by common carrier, the number of supplements ordered
and the Municipality may direct that different portions of the shipment be made at various
locations within the municipality at no additional cost. The Publisher shall ship the
supplement within 45 calendar days after receipt by Publisher of all materials necessary
for production of supplement.
III. THE MUNICIPALITY SHALL:
I. Provide a copy of the ordinances or resolutions passed subsequent to publication of
the previous Code supplement.
2. Pay to the Publisher the sum of $18 per re-printed page for the supplement, and $75
to the League for review of ordinances (maximum of $400).
3. All prices in this agreement may be adjusted at the time of invoicing for supplements
produced in the third, fourth, and fifth years of this agreement to reflect any decrease or
increase in the U.S. Consumer Price Index since the delivery of the first supplement. The
base for adjustment shall be the U.S. Consumer Price Index rate for the month in which
the first supplement under this agreement was delivered.
IV.
OPTIONAL SERVICES:
The Municipality, by the initials of the person executing the agreement on its behalf, exercises
the following options:
1.
Additional Copies of Code:
~
The City may purchase additional copies of the code at $60.00 per copy or $45 without
a binder.
I';
Number of codes .-
With Binders?@ or NO
2. Folio VIEWS Search and Retrieval Computer Program
(a)
The Publisher shall provide the Municipality's code in
the Folio format on diskette with complete instructions
and one copy of a manual for $595. (Phone support is free.)
2
(b) Supplements of Folio ($1.95/page*)
(page refers to printed supplement page)
Minimum Charge per supplement:
Annul update
Update every 6 months
.
$195
$150 each
(c) Additional Network License Fees for a one-time fee of $50 each.
Order: # of additional licenses
(d) Additional CDs for $60 each ($50 license fee and $10 pressing fee)
Order: # of additional CDs
(e) Optional On-Site Installation & Training
at $695/day + Travel Expenses.
(f) Code on the Internet (after Folio conversion) at $200 per year.
V. TERM AND TERMINATION:
The term of this agreement shall be for a period of five years from the date of the
execution of this agreement by the Municipality. However, the Municipality shall have
the right to terminate this supplemental service plan at any time after one year following
the date of the execution of this agreement by serving the Publisher with written notice .
of its intent to terminate. This written notice shall be sent by certified mail to Publisher
and shall be effective as to the next supplement to be produced, only if received by
Publisher at least ninety days before the projected delivery date of the next supplement.
Unless otherwise specifically agreed upon by the parties, the projected delivery date shaJl
be the anniversary of the date the Municipality executed this agreement.
VI. TRANSMITTAL AS OFFER:
The transmittal of this Agreement to the Municipality unexecuted by the Municipality is
an offer by the Publisher to perform the stated services at the price and upon the terms
and conditions herein and shall be subject to acceptance by the Publisher's receipt of the
agreement executed by the Municipality no later than May I, 200 I unless such date is
extended in writing by the Publisher.
IN WITNESS WHEREOF the parties to this contract have hereunto set their hands on the date(s)
indicated:
AMERICAN LEGAL PUBLISHING CORP.
BY
TITLE
TITLE
.
DATE
DATE
3
.
-
.
Saginaw Broadcasting Co. v. FCC, 96
F.2d 554 (D,C. Cir.), cerr. denied, 305
U.S. 613 (1938).
164
HANDBOOK FOR MINNESOTA CITIES
A preamble that summarizes the council's actions at the hearing
and states the purpose of the application;
.
. Findings of fact (individually numbered);
. Conclusions or reasons;
. A decision;
An opinion if any: and,
A copy of the transcript, tape recording or, at a minimum detailed
minutes that include all objections and rulings on them (if any).
The federal courts have suggested that a hearing body adhere to the
following sequence in arriving at a decision:
. Council takes and weighs the accuracy and credibility of
evidence;
. After careful consideration of this evidence, the body makes a
determination of facts that are of a basic or underlying nature;
. From the basic facts, the body makes findings or conclusions
often in the language of the statute or ordinance; and,
.
. From this finding, the council makes a decision following the
statutory criterion.
When a council prepares precise findings of relevant facts, a well-
reasoned decision results. When a council can demonstrate that its
conclusions are consistent with all of the facts in the record, its
decision is likely to be upheld if judicially challenged. Tbe record
should also demonstrate compliance with all constitutional
requirements, as well as all statutory and ordinance procedural
requirements. (Often, due process deficiencies, such as lack of
notice, provide grounds for appeal),
Motions, resolutions and
ordinances
Passing ordinances and resolutions
City councils enact policies through ordinances and resolutions. Any
member of the council, including the mayor, may introduce an
ordinance or resolution. When ordinances or resolutions are before
the council, the council may act upon them at once, refer them to a
.
~
,
~
Minn. Stat. ~ 471.705. subd. 1.
Minn. Stat. ~ 412.191, subd. 4.
See e.g., Hanson v. City of Granite
Falls. 529 N.W.2d 485 (Minn. App.
1995).
CHAPTER 7
committee for study and recommendation, postpone consideration to
some future time, or take any of the other subsidiary or privileged
mol ion actions. After the council has completed all consideration
and discussion of the matter, the presiding officer should read the
ordinance or resolution and call for a vote.
.
If the council decides to refer the matter to a committee, the
committee may conduct an investigation and recommend passage of
the ordinance or resolution in its original form, or in an amended
form, or rejection of the ordinance or resolution. Debate on the
ordinance or resolution may take place at the time of introduction,
while a committee is considering it, and after the committee has
reponed its findings and recommendations.
For an action to be legal it needs a proper motion, an actual vote, and
a record of the councilmembers voting for and against the proposal.
Many clerks repon the names of the members who take action at
each of these various steps, although the law only requires a record
of the third step.
Most resolutions and other procedural motions of the council must
have a majority of the votes cast for adoption. (For exceptions, see
Chan V.) To illustrate: if two members ofthe council vote in favor
of a resolution, one votes against it, and two abstain from voting--the
resolution passes.
.
Ordinances, on the other hand, must be enacted by "a majority vote
of all the members of the council," except where a larger number is
required by law. Therefore, on a five-person council, an ordinance
would need at least three favorable votes to pass.
Differences between ordinances, resolutions
and motions
A motion is a matter of parliamentary procedure. It is a proposal that
the council acts on through a resolution or an ordinance. Motions
may introduce ordinances and resolutions, amend them, and take any
other actions concerning them.
Any council enactment that regulates or governs people or propeny
and provides a penalty for its violation, is an ordinance. As a result,
the council must pass. in ordinance form, all police regulations for
public health, morals, economic well-being, welfare and safety. Any
regulations should be of general application within the city, and of a
permanent and continuing nature.
Ordinances may also provide permanent rules for the organization
and operation of the council.
.
]65
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Minn. Stat. ~ 412.022, subd. 1; Minn.
Stat. S 412.02, suM 6.
Lindahl v. Independent Sch. Dist, 306,
270 Minn. 164, 133 N.W.2d 23 (1965).
Minn. Stat. S 412.191, subd. 4; AG.
Op. 4720 (July 31, 1959).
Minn. Stat. S 412.221, subd. 33.
13A Dunnell Minn. Digesl Municipal
Corporations ~~ 4.0()"04.
166
HA)/OBOOK FOR MINNESOTA CITIES
If the slatutes require an action to be in ordinance form, the council
cannot validly perform the action by resolution. For example,
councils need to pass ordinances to establish a four-year term for the
mayor or to combine the office of clerk and treasurer.
e
Councils should use resolutions for any action of a temporary,
routine or administrative nature. If the council has a question about
the classification of a piece of legislative business, the city attorney
should be consulted. If the council has any doubt as to whether an
ordinance is necessary. it is best to proceed as if the action requires
an ordinance.
The courts often view proceedings that are in the form of motions
the council approves and records, to be equivalent to a resolution.
Motions are probably sufficient for most simple administrative acts.
Ordinances
Only the city council has the power to enact ordinances. In aJmost all
instances, ordinances do not need voter approvaJ. The statutes do not
authorize a council to seek voter consent to a proposed ordinance or
even to ask for an advisory opinion on its desirability. There is an
exception, however, that authorizes advisory elections when the
council is deciding whether the city should join a special district or
other independent governmental body having taxing powers. In
home rule charter cities, the charter may provide for voter approval
or advisory elections.
City councils can only deal with subjects that the Legislature has
expressly authorized them to act on or that directly relate to the
statutory grant. In some areas, statutory cities may enact ordinances
on subjects that state law already regulates, as long as the ordinances
are consistent with the state law.
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In addition, councils must adhere to the following general
requirements when enacting ordinances:
. Ordinances must be reasonably certain in their terms;
. Ordinances must be consistent with the Minnesota Constitution
and statutes;
. Ordinances must not limit or deny any common law or
constitutional rights;
. Ordinance provisions must not constitute an unreasonable
restraint of trade; and,
. Ordinance terms must be reasonable.
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Lorshbough v. Township of Buzzie, 258
N.W.2d 96 (Minn. 1977); Slale v.
Howard. 360 N.W.2d 637 (Minn. App.
1985).
Minn. Stat. ~ 412.191.subd. 4.
CHAPTER 7
.
When adopting an ordinance, city officials should be aware that the
city can be liable for not enforcing a police power measure contained
in the ordinance. (See Chapter 20.) The council can adopt an
ordinance to respond to a pre-existing problem or nuisance, and the
city may prosecute a person who violates an ordinance even if the
person began the activity prior to the existence of the ordinance.
Form, content and adoption of ordinances
Because ordinances have the force and effect of law, their form is of
utmost importance. While the law does not require an attorney to
draft .ordinances, their preparation should involve sound
understanding of the law, or they may be subject to a variety of legal
objections. The city should consult a competent attorney to help
prepare ordinances.
Ordinances must meet certain requirements and follow a certain
form. Charter cities should also look to their own charter provisions
for ordinance enactment.
Title
Every ordinance should have a title that describes its contents briefly
yet adequately. The phrases: "repealing ordinances inconsistent
herewith" and "providing penaJties for the violation thereof' should
not be part of the title.
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Number
Each ordinance should have an identifying number as part of its title.
Enacting clause
All ordinances, after a suitable title, should begin substantiaJly in this
form: "The City Council of _ ordains..."
Body
The text of the ordinance itself should be written in clear and brief
terms. If definitions are helpful, they should be in one beginning
section. The sections should be short to make subsequent
amendments easier and cheaper. All sections and subsections should
have a number and an identifying word or short title.
.
167
.
Minn. Stat. Ii 412.231;
Minn. Stat. Ii 169.89. suM 2.
A.G. Op. 477.18-34 (Sept. 20,1962);
A.G. Op. 59-A-9 (Apr. 13, 1957).
.
See 4 McQuillin, Municipal
Corporations ~ 13.42.
Minn. Stat. Ii 412.191. sub<!. 4.
,
HANDBOOK FOR MINNESOTA CITIES
Penalty
.
This section is for enforcement purposes. Cities may impose
maximum penalties of a $700 fine or 90 days in jail, or both. In
addition, the costs of prosecution may be added. The petty
misdemeanor law, however, limits a city's authority by setting a fine
limit of $200 for certain traffic offenses.
Closing
This should read:
"Passed by the (Name of City) Council this _ day of_, 19_."
If the council wants an effective date later than the date of
publication, this section should state the effective date.
Maps
If the ordinance refers to maps and they are an integral part of the
ordinance, the ordinance must include them. Because publishing
maps is expensive, some cities omit all reference to the map in the
ordinance and rely instead upon word descriptions. The city then
prepares a separate, unofficial map.
Deliberation
The council should discuss the ordinance according to the council's
rules before passing it, even though failing to abide by these rules
probably would not invalidate an ordinance if it meets statutory
requirements. The statutes do not specify that an ordinance in a
statutory city must have a certain number of readings, nor do they
require the council to consider it at more than one meeting. Unless
the council has rules to the contrary, it may pass an ordinance at the
same meeting at which it is introduced.
Passage
.
Except where the statutes require a larger majority, ordinances in
statutory cities must get a majority vote of all the members of the
council to pass. This means, in effect, if the council has five
members, at least three councilmembers must vote in favor of an
ordinance. Both the clerk and the mayor in Standard Plan cities have
the power to vote on ordinances. The mayor has no veto power.
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168
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-
Minn. Stat. !j 412.191. subd. 4;
Union Pub. Servo Co. v. Village of
Minnesota. 212 Minn. 92. 2 N,W.2d
555 (1942).
Minn. Stat. ~ 412.151, subd. I; Minn.
Stat.!j 412.191, subd. 4.
Minn. Stat. ~ 412.191, subd. 4; Minn.
Stat.!j!j 331A.02, 331A.04.
Minn. Stat.!j 412.191, subd. 4.
CHAPTER 7
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Attestation
After the council passes an ordinance, the mayor and the clerk must
sign it. Although not required by law, the clerk should also affix the
city seal. If either the mayor or clerk refuses to sign the ordinance, a
court order can require them to do so, If there is a question of
legality, the court will rule on that issue before issuing an order.
Effective date
Unless otherwise specified within the ordinance, an ordinance
becomes effective on the day following its publication in the official
newspaper.
Ordinance book
Each statutory city must maintain an ordinance book containing
copies of all ordinances passed by the council. Every ordinance must
be recorded in the ordinance book within 20 days of its publication,
The ordinance book is a public record and is evidence in court. If the
clerk uses printed copies of the ordinance clipped from the
newspaper, a printer's affidavit should be attached to each ordinance
in the book.
e
The city should have a numbering system adequate for indexing its
ordinances. In most small cities where the number of ordinances is
small, chronological order is satisfactory, When the number of
ordinances is large or when the city is recodifying its ordinances, a
more complicated system of decimal numbers might be advisable.
Publication of ordinances
The following publication requirements apply to statutory cities:
Every ordinance must be published once in the city's official
newspaper. To qualify as an official newspaper, the newspaper must
be a legal newspaper under state statute, and the council must have
designated it as the city's official newspaper. Cities usually publish
ordinances separately, but if the city publishes them in full as part of
the minutes, the publication meets all statutory requirements,
In the case of lengthy ordinances or ordinances which include charts
or maps, the city may publish the ordinance title and a summary of
the ordinance if the council determines that such publication would
clearly inform the public of the intent and effect of the ordinance.
.
169
.
.
.
Minn. Stal. ~ 412.191, suM 4.
Minn. Stal. ~ 412.191, sub<!. 4.
Minn. Stat. ~ 33IA.05. sub<!. 2(c); A.G.
Op. 277-B-4(Feb. 11, 1986).
Minn. Stat. @ 412.191. sub<!. 4.
W.H. Barber Co_ v. City of
Minneapolis, 227 Minn. 77, 34 N.W.2d
710 (1948).
Minn. Stal.@331A.05.sub<!.6.
Minn. Stal. ~ 471.62.
HANDBOOK FOR MINNESOTA CiTIES
A title and a summary may be published, only if directed by a four-
fifths vote of the council. Along with the title and summary, there
must be a notice that a printed copy of the ordinance is available for
inspection by any person during regular office hours at the city
clerk's office or other location designated by the council. A copy of
the entire text of the ordinance shall also be posted in the community
library. If there is no library, the entire text of the ordinance must be
posted in any other public location designated by the council.
.
Prior to publication of the tile and summary, the council shall
approve the text of the summary and determine that it clearly
informs the public of the intent and effect of the ordinance.
Publishing the title and summary shall be deemed to meet all legal
publication requirements as completely.as though the entire
ordinance had been published.
An ordinance must be published within 45 days after being passed.
Failure to publish within 45 days, however, will not necessarily
invalidate the ordinance.
The text of the summary shall be published in a font style no smaller
then brevier or eight-point type. Proof of publicationshaJl be
attached to and filed with the ordinanc.e. Proof of publication is an
affidavit of publication which the newspaper must furnish when it
sends its printing bill. The absence of an affidavit of publication,
however, does not invalidate an ordinance. The affidavit facilitates
proof of publication should anyone challenge that fact in a lawsuit.
Errors in the publication of an ordinance mayor may not affect the
validity of the ordinance, If the error is minor so that the correct
meaning is clear from the context, then the error has no effect upon
the ordinance's validity. When the error is more substantial,
however, the ordinance provision containing the error is ineffective
and void.
.
In home rule cities,.the charter can impose additional or special
qualifications for the publication requirements of ordinance notices
or proceedings.
Adoption by Reference
Statutory and charter cities can avoid publication requirements when
adopting certain complicated regulatory codes in ordinance form by
using the process of adoption by reference. In effect, cities can adopt
certain regulations by passing and publishing an ordinance that
identifies statute or other rule by name.
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170
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Minn. Stat. ~ 471.62.
Minn. Stat. ~ 471.62.
Minn. Stat. ~ 471.62.
A.G. Op. 59-A.9 (July 18. 1967);
A.G. Op. 59-A.9 (Mar. 27, 1956).
CHAPTER 7
.
Cities may adopt the following by reference:
. Minnesota statutes;
. State department administrative rules or regulations affecting the
city:
. The state building code and the uniform Hre code;
. Codes (or parts of codes) prepared for general distribution in
printed form as a standard or model by any governmental, trade or
professional association on the subject of building construction
(limited to the State building code); plumbing; electrical wiring;
flammable liquids; sanitary provisions; public health, safety or
welfare; and,
. Compilations or regulations or standards prepared by regional and
county planning agencies on the subject of planning, zoning,
subdivision regulation and housing regulation.
All other statutory publication requirements also apply. In addition,
prior to publication or posting, at least one copy of the incorporated
ordinance or code must be marked as the official copy and f1led in
the clerk's office for public use and examination. The clerk must
furnish a copy, at cosi, of any incorporated ordinance or code to any
person upon request.
Incorporation by reference does not authorize a city to adopt
ordinances on any subject that it does not have power by statute or
charter to legislate.
Codes, statutes, rules, regulations and ordinances the council adopts
by reference remain effective in their original form until the council
changes or repeals them. Any changes an issuing agency makes after
the city's adoption of the code, do not take effect automatically. The
city, when adopting the code by reference, cannot stipulate that any
future revisions are automatic. One exception is that future changes
in the building code automatically become part of the city's building
code. If the city wishes to incorporate later changes in any other
codes, it must pass an amending ordinance.
.
Upon request, the clerk must furnish a copy of any code adopted by
the city by reference. The clerk may levy a charge sufficient to cover
the cost of providing the copy.
.
171
.
,
.
HANDBOOK FOR MINNESOTA ClTIES
Alteration of ordinances
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Amendment
The council must follow the same procedures for amending an
ordinance as those followed for passing an ordinance. After the
amendment is passed by a majority of the council, it must be attested
to, published and included in the ordinance book. In addition, the
fonn of the amendment should be like new ordinances with respect
to title, enacting clause, body, closing and signatures. The council
cannot change an ordinance by resolution; it must pass an amending
ordinance.
If the ordinance is short or if the changes are numeroUs, the council
will usually re-pass the entire ordinance in its amended fonn,
repealing the old ordinance in a separate section. An optional form
would be to title the new ordinance as an amendment, and then recite
the entire ordinance as it would read after amendment.
If the ordinance to be amended is so long that the cost of publishing
it in its entirety would be prohibitive, the council may pass an
amending ordinance that sets forth only the sections that will change.
The council may include several amendments to the same ordinance
in different sections of the same amending ordinance. The council
should label an amending otdinanceas such, and should state the
ordinance and sections in the proposed change.
The council should avoid the practice of amending a single word 6r
picking out a single sentence from a paragraph. This practice
frequently leads to confusion and the possible invalidation of an
entire section of an ordinance. Abetter practice is to reprint the
section or subsection in full as it would read after amendment.
e
If the council wishes to re-number its present ordinances, it may pass
a re-numbering ordinance. The city must publish the re-numbering
ordinance, but it does not have to include the text of the old
ordinances.
Repeal
A city may repeal an ordinance only by passing another ordinance
stating the title,nurriber, subject and date of the ordinance being
repealed. The ordinance must explicitly statethat it is repealing the
ordinance. To repeal an ordinance the council must follow the same
requirements for adopting ordinances. The council can repeal any
number of ordinances in a single repealing ordinance.
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CHAPTER 7
.
Frequently when a council passes a new ordinance or revises an
ordinance, the new ordinance will contain provisions that are
inconsistent with or that replace similar provisions in an existing
ordinance. Some cities insert a provision in the new ordinance
repealing any or all ordinances or portions of ordinances inconsistent
herewith. Such a clause is a waste of time and print. A better practice
is to repeal, by name and number, any inconsistent provisions of
former ordinances. If this is impractical, it is best to say nothing
about the repeal of inconsistent ordinance provisions since the new
ordinance automatically supersedes all inconsistent provisions in
existing ordinances.
Codification of ordinances
Purposes of codification
Citizens have a right to know what their government--whether
national, state, or local--requires of them. This is fundamental due
process in our legal system. If a citizen is to know what the law is on
a particular matter, he or she must first know where to find it.
If a citizen is interested in knowing the city's current law on a
particular matter, where does the search begin? In the book covering
the minutes for the last 65 years? In the clerk's f1!es? In the basement
of city hall? Depending on the current state of affairs in the
particular city involved, the answer to any or all of these questions
could be "yes."
.
In assessing the need for codification, a city should begin by asking
the following questions: What condition are the ordinances in? Are
they organized in one place? Are they properly indexed? Are they
cross-referenced? Are they up-to-date? Are they internally
consistent? Are they in compliance with state and federal laws? Are
they complete?
A codification of city ordinances allows city officials to respond
affirmatively to all of these questions, A proper codification project
encompasses all of the following:
. Identification of conflicting ordinances, and repeal or re-drafting
of inconsistent or unclear ordinance provisions;
. Removal of archaic and unconstitutional ordinances;
. Development of a system that facilitates access to the city's laws
and provides for continuous updating;
. Development of comprehensive indexing and cross-referencing;
. Review of the entire body of city ordinances for omissions; and,
.
173
HAl',-DBOOK FOR M fNNESOT A CITIES
-
. Organization of city ordinances into an easy "to-use reference
book known as the city code.
A well-drafted city code helps a city operate efficiently and
effectively. Ordinances are grouped together by subject, not by the
chronological order in which they were passed. This eliminates the
need to sort through stacks of loose ordinances to find a regulation
on a particular subject.
e
Cities have a number of options for completing a codification of
ordinances. Occasionally. the city attorney or city clerk will do the
codification, but in many cases competing demands on their time
. make it difficult for them to do the project. Cities can hire private
consulting finns that specialize in charter revision and ordinance
codification.
The League of Minnesota Cities codification service is designed to
provide each city with a customized city code that meets the needs of
that panicular city by establishing an interactive worlQng
relationship between the League, the city council, the city attorney,
and any other city representatives the council chooses. The League
provides the following services as part of its codificatipn service:
. Sorting, integrating and organizing all current ordinances;
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. Updating all ordinances to reflect current state and federal laws;
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. Simplifying the language and using gender-neu[rallanguage;
. Suggesting new ordinances;
. Numbering all sections to allow the easy insertion of future
amendments;
. Submitting two full-text drafts for city review and approval; and,
. Delivering a final draft with a detailed table of contents. An
optional index is also available.
The League also offers assistance in drafting and reviewing
individual ordinances.
Minn. Stat. II 415.02.
Codification pr~edures
The council of a city may codify any general or special laws,
ordinances, resolutions, rules and bylaws in force in the city.
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.
174
.
Ordinance Codification Contract Costs
Contract Date 11/30/93
League of MN Cities
Base Contract Amount:
Addtl Contracted Services
Total Contract
$9,495.00
$1,360.00
$10,855.00
Payments
Down Pymnt & Pymnt prior '96
11/28/2001
$7,168.00
$3,707.00
$10,875.00
American Legal Publisbing
Publishing Cost
$926.00
.
Total Paid to Date
$11,801.00
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INVOICE # 1-00006416
PO #
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K,OK 2 3 ZOOl
ID# 246345 i:
Joseph Lynch
Arden Hills
4364 W Round Lake Rd
Arden Hills, MN 55112-3923
EN HillS
Ship To:
Arden Hills
4364 W Round Lake Rd
Arden Hills MN 55112-3923
United States
Invoice
Description Price Quantity Amount
Merchandise - Codification Contract 3,707.00 I $3,707.00
For: Joseph Lynch
Invoice Total $3,707.00
Amount Pre..:Paid $0.00
I T . ~1 "7n'1 Illl
Code Contract 11/30/93 base amount $9495.00. Additional services contracted $1360.00 Downpayment and
payment made 500.00+ 6668.00 Balance $3707.00 .
PLEASE REMIT TO:
LEAGUE OF MlNNESOT A CITIES
145 UNIVERSITY AVE. W.
ST. PAUL, MN 55103-2044
Judy Milligan. Account Clerk
phone: 651 215-4024
cmail: Jmilligan@lmnc.org
t!ax: 6512_1.5-410.2...
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INVOICE # 1-00006416
DATE Apri120.2001
10# 246345
Joseph Lynch
Arden Hills
4164 W Round Lake Rd
Ardell Hills. MN 55112-3923 United Slates
Thank you for your order!
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AMERICAN LEGAL
432 Walnut Street, Suite 1200
Cincinnati,OH 45202
1-800445-5588
Publishing Corporation
Billing Address:
City of Arden Hills
Shelia Stowell, Admin Secretary
4364 W. Round Lake Rd.
Arden Hills, MN 55112
Tenns: Due Upon Receipt
Customer lD: 00169
S hipped Via:
Qty.O<dered
e
Description
15
I
15 Arden Hills, MN Code of Ordinances with binder
Shipping I Handling
Please Return Copywirh Payment
Your Prompt Payment WIN Be Appreciated
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1.\\1000/ ~S-~D
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[nvoice Dale (nvoice No. Ship Date
10/8/01 28669
INVOICE
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Unit Price
60.00
26.00
Please Pay This
Amount
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P.O. #:
Tax
Total ($)
0.00
0.00
900.00
26.00
$926.00 ~
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Glenn A. Bemmac;
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:,teven H. Bruns'
Paul \V. Fahnin.g
Esther E. McGinnis
leffrey I. Cohen
PETERSON,
FRAM BERGMAN
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Suite ;00
SO East Fifth Street
St, Pewl, MN '5'il01.IIQi
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Direct Dial #(651) 290-6907
October 26,2001: .
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Joe Lynch
City Administrator
City of Arden Hills
1245 West Highway 96
Arden Hills MN 55112
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VIA FACSIMILE NO. 634-5137
AND U.S. MAIL
RE: Recodification
PF&B File No. 10450.990003
Dear Joe:
.
The City originally retained the League of Minnesota Cities to recodifY its regulations.
Apparently, the League of Minnesota Cities assigned the job to Arnerican Legal
Publications. I have not reviewed the contract between the City and American Legal
Publications. There may be specific contract provisions relating to the reproduction of the
recodified regulations. If a contract exists, I would like to review it.
Apart from any specific contract provisions, it is my understanding that the text of the
proposed recodification was the result of a collaboration between the League of Minnesota
Cities, American Legal Publications, the City Staff, the Planning Commission, and the City
Council. Essentially, existing regulations were modified and reformatted as a result of
nurnerous discussions.
.
Generally, a person can copyright material which is an original work of authorship.
"Originality" means that the work was independently created by the author and possesses
some minimal degree of creativity. Feiss Publications. Inc. v. Rural Teleohone Service
Companv. 111 S.Ct. 1282, 1287 (1991). If my understanding of the circumstances
surrounding the creation of the proposed recodification is correct and if contractual
provisions do not otherwise address the issue, it is my opinion that the proposed
recodification is (1) not material which can be copyrighted; (2) is material which can be
scanned into the City's word processing system; (3) is material which can be further
1\] ,....,..!.,<!-
October 26, 2001
Page 2
.
modified and updated as part of the City's records and (4) can be reproduced in any form
that the City deems appropriate.
At the present time, the City intends to recodify Chapters 1 through 11 and incorporate a
number of appendices. The following text or substantially sirnilar should be added to the
appendix section of the proposed recodification:
The following ordinances and franchise agreements are incorporated as part
of the recodified City Code and shall remain in full force and effect until
amended or repealed by appropriate action by the City Council.
A. Ordinance No. 311 Relating to Adult Uses adopted on
the _ day of
B.
Ordinance No. Relating to Zoning adopted on the
_ day of
.
C. Ordinance No, Relating to Signs adopted on the
day of
D. Ordinance No. Relating to Flood Plain
Managernent adopted on the day of
E. Ordinance No. Relating to Shore Land
Management adopted on the day of
F. Cable Communication Franchise Ordinance adopted on
the _ day of
.
"
.
.
.
.
October 26, 2001
Page 3
G. Gas Distribution Franchise Ordinance adopted on the
day of
H. Electrical Distribution Franchise Ordinance adopted on
the day of
It is not necessary for the City to include a "fee resolution" as part of its recodified
regulations. Resolutions represent City Council actions that are adopted, reviewed and
amended from time to time by a less formal process than is required to amend sections of
the City Code.
I am enclosing drafts of the Recodification Ordinance and the Recodification Ordinance
Summary. It is not necessary to hold a public hearing before adopting the Recodification
Ordinance, but the City may choose to do so. The Recodification Ordinance needs to be
approved by 3 affirmative votes of the City Council. The Recodification Ordinance
Sumrnary needs to be approved by 4 affirmative votes of the City Council.
I would like to review this information with you before it is placed on a City Council
agenda. Obviously, there may be some regulations that I have missed or that I have
mislabeled. Please contact me at your convenience.
Very truly yours,
;J ;r~-
Jg;?tilla
JPF:lk
Enclosures
,
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~~ILLS
.
MEMORANDUM
TO: Sheila Stowell, Administrative Secretary
SUBJECT: Recodification
/ .
FROM: Joe Lynch, City Administrator ?,/
DATE: November 6, 2001
We have received correspondence from City Attorney Filla on the recodification effort. Mr. Filla
responded to the questions about the ability to copy the material and reproduce it. He also
presents information on the ability to append the new code to include those sections related to the
code but not currently being planned to be adopted as part of the code. He further comments on
the fee resolution as part of the recodified regulations. As well, Mr. Filla, has enclosed a copy of .
the ordinance adopting the new municipal code and a summary ordinance for publication
purposes. I do not know ifthis was previously supplied by either the League of Minnesota Cities
or American Legal.
Please provide information to the City Council on the cost, if any, that the City will incur in
order to obtain the necessary electronic version of the recodification for us to be able to make
changes noted by City Council Member Rem, and comments and suggested changes made by
City Attorney Filla. As well, I would like you to outline the process necessary for the City
Council to adopt a new code including information about how and when it becomes effective,
and the intention for any new parts of the code or any ordinance adopted in 2000 or 2001 that
needs to be made a pa~this new code. Also indicate how this can best be accomplished. I
would like to present this information to the City Council at their meeting on Novembe([.Q / ~
2001. Please provide a draft memorandum for us to review for the City Council by Wednesday, '
November 7.
("'y
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("' 2001
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