DAR File No. 38701

Public Safety, Emergency Management

Rule R704-2

Statewide Mutual Aid Act Activation

Notice of Proposed Rule

(Amendment)

DAR File No.: 38701
Filed: 07/08/2014 07:24:44 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The purpose of this rule is to provide procedures for jurisdictions activating the Statewide Mutual Aid Act (SMAA) and for persons acting as agents of the state to use in mobilizing or demobilizing available assets in response to an intrastate or interstate disaster as provided in Title 53, Chapter 2, Part 2, Emergency Management Assistance Compact.

Summary of the rule or change:

This rule amendment updates statutory references, and clarifies definitions. It also clarifies procedures involving: requests for disaster assistance in a state of emergency; agents of the state; providing mutual aid; pre-mobilization of resources; mobilization of resources; demobilization of resources; reimbursement for rendering mutual aid; and reimbursable expenses.

State statutory or constitutional authorization for this rule:

• Section 53-2a-302

Anticipated cost or savings to:

the state budget:

This rule amendment updates statutory references, and clarifies definitions and procedures. As such, there is no anticipated costs or savings to the state budget.

local governments:

This rule amendment updates statutory references, and clarifies definitions and procedures. As such, there is no anticipated costs or savings to local government.

small businesses:

This rule amendment updates statutory references, and clarifies definitions and procedures. As such, there is no anticipated costs or savings to small businesses.

persons other than small businesses, businesses, or local governmental entities:

This rule amendment updates statutory references, and clarifies definitions and procedures. As such, there is no anticipated costs or savings to persons other than small businesses, businesses, or local government entities.

Compliance costs for affected persons:

This rule amendment updates statutory references, and clarifies definitions and procedures. As such, there is no compliance costs for affected persons.

Comments by the department head on the fiscal impact the rule may have on businesses:

I have reviewed this rule and found that there is no anticipated fiscal impact on businesses.

Keith D. Squires, Commissioner

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Public Safety
Emergency Management
Room 1110 STATE OFFICE BUILDING
450 N STATE ST
SALT LAKE CITY, UT 84114-1201

Direct questions regarding this rule to:

• Jerrianne Kolby at the above address, by phone at 801-209-7513, by FAX at , or by Internet E-mail at jkolby@utah.gov

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

09/02/2014

This rule may become effective on:

09/09/2014

Authorized by:

Kris Hamlet, Director

R704. Public Safety, [Homeland Security]Emergency Management.

R704-2. Statewide Mutual Aid Act Activation.

R704-2-1. Purpose.

The purpose of this rule is to [outline a process]provide procedures for jurisdictions activating the Statewide Mutual Aid Act (SMAA) and for persons [that are ]acting as agents of the state to use in mobilizing or demobilizing available assets in response to an intrastate or interstate disaster as provided in Title 53, Chapter 2, Part 2, Emergency Management Assistance Compact.

 

R704-2-2. Authority.

This rule is authorized by Section [53-2-506(1)(b)]53-2a-302.

 

R704-2-3. Definitions.

(1) Terms used in this rule are defined in Section [53-2-502]53-2a-302.

[(2) "Jurisdiction" means political subdivision as defined in Section 53-2-502(5); (9); and (10).

]([3]2) In addition to the terms defined in Section [53-2-502]53-2a-302:

(a) "agent of the state" means any person designated to represent the state;

(b) "authorized representative" means an officer or employee from a participating jurisdiction empowered to request, offer, or provide assistance on behalf of the chief executive officer;

(c) "committee" means the Statewide Mutual Aid Committee;

([c]d) "division" means the Utah Division of Emergency Management;

([d]e) "EMAC" means Emergency Management Assistance Compact, Utah Code Ann. [53-2-201 to 202]53-2a-402;

([e]f) "EMAC coordinator" means a designated division representative functioning as the coordinator of all Emergency Management Assistance Compact activities and actions between the states;

([f]g) "emergency manager" means a person designated by a jurisdiction to oversee preparedness, emergency or disaster response, mitigation, and recovery for its community;

[(g) "Form 100," SMAA Checklist for Requesting and Checklist for Responding, is a checklist provided to assist the jurisdictions in procedures to follow when enacting statewide mutual aid under the Act;

](h) "Form 101," SMAA Mission Request Form, is a required document[form] used to request resources;

(i) "Form 102A," Agent of the State of Utah - EMAC Agreement, is a required document that outlines liability, benefits, and financial responsibilities when [in deployment]deploying resources to another state;

(j) "Form 102B," Agent of the State of Utah - SMAA Agreement, is a required document that outlines liability, benefits, and financial responsibilities [within the state]associated with serving as an agent of the state;

(k) "Form 103," SMAA Pre-deployment Checklist for Personnel, is an optional document [to]that lists preparation steps [in preparation ]for deployment;

(l) "Form 104," SMAA Mobilization Sheet, is an optional document that outlines the steps and processes [needed at the time of]involved with deployment;

(m) "Form 105," SMAA Personnel Location, is an optional tracking tool [used to locate]for deployed personnel who are serving an SMAA mission assignment;

(n) "Form 106," SMAA Resource Availability Log, is an optional log that identifies available resources offered by supporting agencies in response to an event;

(o) "Form 107," SMAA Resource Tracking Form, is an optional tracking tool [used to identify and locate]for resources being utilized under an SMAA mission;

(p) "Form 108," SMAA Personnel Demobilization Schedule, is a required tracking tool [ of ]for personnel being released from their assigned mission duties;

([p]q) "Form 109," SMAA Demobilization/Return of Assets Guidelines, provides guidelines for the responding jurisdictions to use when[in] tracking assets used in an incident or event;

([q]r) "Form 110," SMAA Intergovernmental Reimbursement Form, is a required form that a jurisdiction uses to request reimbursement from the requesting jurisdiction;

([r]s) "Form 111," SMAA After Action/Corrective Action Report Survey, is a form that summarizes and analyzes performance in both exercise and actual events[,] for those who act as an agent of the state.[and] It may also evaluate achievement of the selected exercise objectives and demonstration of the overall capabilities being exercised;

([s]t) "Form 112," SMAA Demobilization Checklist, is an optional document that outlines the steps to follow in preparing to [leave the mission]depart;

([t]u) "Form 113," SMAA Activation Agreement, is a required document that shows [the]a jurisdiction's intent to activate the SMAA;

(v) "Form 114," SMAA Checklist for Requesting Reimbursement, is a list of the required steps to request reimbursement after the mission is complete;

(w) "Form 115," SMAA Required Forms and Optional Forms, is a list of forms that are required and forms that are only recommended for use;

(x) "Form 116," SMAA Timeline for Reimbursement, is a document that displays each step of the reimbursement process;

(y) "ICS Form 209," Incident Status Summary, is a form used for reporting information on significant incidents that requires inter-agency or intra-agency resource coordination;

([u]z) "ICS Form 221," Demobilization Checklist, is a FEMA form for tracking resources as they are released from deployment and return to their responding jurisdiction;

(aa) "jurisdiction" means a participating political subdivision as defined in subsection 53-2a-302(2);

([v]bb) "local to local" means assistance between [county/city ]jurisdictions [to another county/city jurisdiction ]that [may]do not utilize coordination from the state;

([w]cc) "mission number" means an assigned number [assigned ]that identifies a mission;

([x]dd) "SMAA" means Statewide Mutual Aid Act, Utah Code Ann. [53-2-501 to 510]53-2a-301 through 310;

([y]ee) "SMAA coordinator" means a designated [D]division representative functioning as the coordinator of [all ]Statewide Mutual Aid Act activities and actions between the participating jurisdictions when requesting assistance of the State;

([z]ff) "state EOC" means the State of Utah Emergency Operations Center facility operated by the division which assists state agencies and jurisdictions in coordinating information and resources when local emergency response and recovery resources require supplementation; and

([aa]gg) "state EOC manager" means a person designated to manage the State Emergency Operation Center.

 

R704-2-4. Requests for Disaster Assistance in a State of Emergency.

(1) When seeking to utilize the statewide mutual aid system for an emergency or disaster event, the chief executive officer or emergency manager of the requesting jurisdiction shall contact the division director or deputy director after they have made a written or oral declaration of emergency pursuant to Sections 53-2a-206 or 53-2a-208.[If an oral declaration is provided, it should be followed up with a written declaration within 24 hours.]

(a) The chief executive officer or designee of the requesting jurisdiction shall submit Form [100]101 to the [division director]responding jurisdiction within 24 hours of seeking assistance from the system for state resources or to receive assistance coordinating local to local assistance.

(2) Upon request by the requesting jurisdiction for state assistance, the SMAA coordinator or state EOC manager shall coordinate services and resources for the emergency or disaster event and shall:

(a) assign a mission number;

(b) post information on WebEOC; and

(c) seek needed equipment and personnel from a participating jurisdiction.

(3) Once a responding jurisdiction that is available to render aid has been identified, the participating jurisdictions shall complete and sign Form 113.

(a) [If urgency dictates]In urgent circumstances, the requesting jurisdiction and the responding jurisdiction may initially enter into a verbal agreement, but the agreement shall[must] be [put]memorialized in writing and signed by both jurisdictions no later than 48 hours after the verbal agreement.

(b) If unanticipated circumstances arise during the emergency or disaster event, the requesting and responding jurisdictions may amend or supplement Form 101.

(c) Any amendments or supplements to Form 101 shall be acknowledged by the participating jurisdictions with authorizing signatures.

 

R704-2-5. Agent of the State.

(1) At the request of the division, a jurisdiction may agree to provide an employee with the skills and expertise [of their personnel]desired to be deployed as an agent of the state for the purpose of rendering intrastate or interstate aid .[to a requesting jurisdiction whether it is in state or out of the state. The division will only provide logistics support to the agent of the state.]

(a) The governing authority of the employee serving as an agent of the state shall [sign]submit to the division either Form 102A or Form 102B [with the division ]in response to an intrastate or[/] interstate emergency or disaster.

(b) The responding jurisdiction's employee [shall be entitled to the same salary and benefits to which they would otherwise be entitled to and ]shall remain an employee of the responding jurisdiction [for all other purposes ]except that the supervision of [their]his or her duties during the period of assignment may be governed by agreement between the responding jurisdiction and the requesting jurisdiction and shall be entitled to the same salary and benefits to which they would otherwise be entitled to from the responding jurisdiction.

(c) The division assumes no responsibility for the responding jurisdiction's employee other than the coordination of their travel arrangements and[,] lodging[,] and per diem expenses, expect in exigent circumstances.

(d) Upon completion of [the]a mission, the agent of the state [will turn]shall submit Form 110 [in ]to the division. The division [will]shall then reimburse the responding jurisdiction [from the receipt of reimbursement from the requesting jurisdiction ]for the eligible expenses stated in subsection (c) incurred by the agent of the state.

 

R704-2-6. Procedures for Providing Mutual Aid.

(1) When providing assistance pursuant to the SMAA, the requesting jurisdiction shall control and supervise the personnel, equipment, and resources of any responding jurisdiction.

(a) The requesting jurisdiction shall advise supervisory personnel of the responding jurisdiction concerning assignments or mission tasks.

(b) While providing mutual aid, the incident commander or requesting jurisdiction[of the requesting jurisdiction] shall:

(i) maintain daily personnel time records, material records, and a log of equipment hours;

(ii) oversee the operation, control, and maintenance of the equipment and other resources furnished by the responding jurisdiction; and

(iii) report work progress to the responding jurisdiction.

(c) The responding jurisdiction [will]shall notify the requesting jurisdiction if the requested resources are donated or loaned.

(d) The responding jurisdiction may recall its personnel subject to providing a minimum of 24 hours advance notice of intent to withdraw personnel or resources from the requesting jurisdiction, unless circumstances make 24 hours advance notice impracticable or unreasonable.

(2) The responding jurisdiction may release personnel or resources for SMAA assistance after it has determined that its remaining resources are adequate to support its own normal operations[;].

(a) The requesting jurisdiction shall be responsible for providing food and housing for the personnel from the responding jurisdiction, beginning with the time of arrival at the designated location and until departure, unless otherwise indicated in Form 101.

(b) The requesting jurisdiction may request personnel who are self-sustaining, but must specify what resources it is able to provide to the responding jurisdiction.

(3) The requesting jurisdiction is responsible for coordinating communication between its own personnel and the personnel of the responding jurisdiction.

(a) The responding jurisdiction shall furnish equipment to communicate among its respective operating units.

(4) Each participating jurisdiction shall maintain its own equipment in safe and operational condition.

(5) The division shall receive and maintain an inventory of the state and local services, equipment, supplies, personnel, and other resources related to participation in [Title 53, Chapter 2 Part 5, Statewide Mutual Aid Act]the SMAA.

 

R704-2-7. Pre-Mobilization of Resources.

(1) The requesting jurisdiction shall submit Form 101 to the [division]responding jurisdiction to be kept as documentation. The required information includes:

(a) type of resources requested; and

(b) quantity of resources requested.

(2) The responding jurisdiction [will]shall confirm the following incident information:

(a) name of incident;

(b) location of incident;

(c) date and time the incident was declared; and

(d) current time of deployment of resources requested.

(3) The SMAA coordinator or EOC manager shall provide the following to a responding employee acting as an agent of the state:

(a) situation briefing;

(b) pre-deployment checklist; and

(c) travel information.[A situational briefing and Form 103 shall be given to responding personnel by the SMAA coordinator or state EOC manager if the request came through the SMAA or EOC channel.

(a) Travel information shall be provided by the SMAA coordinator or state EOC manager.

] (4) A requesting jurisdiction shall first use local agency resources prior to requesting resources through SMAA.

(5) The requesting jurisdiction shall specify a location for a staging area and assign a person to ensure the resources are ready to be released.

(a) If the requested resources are for equipment, the responding jurisdiction shall confirm its readiness to be deployed.

(6) The responding jurisdiction shall perform a communications check with all assigned communications equipment, prior to departure, to ensure compatibility with the requesting jurisdiction.

 

R704-2-8. Mobilization of Resources.

(1) Deployed personnel and resources from a responding jurisdiction [will]shall notify the [local ]point of contact for both the requesting jurisdiction[,] and the responding jurisdiction[,] of their arrival[. The notification will occur] at the point of assignment or staging area[, and the deployed personnel will then obtain a mission briefing. The division shall use Form 104 for each deployment of resources].

(2) The requesting jurisdiction [will]shall notify the responding jurisdiction if there is a change in assignments or locations for the requested resources.

(3) The division shall use Form 104 for each deployment of resources if state assistance was requested.

([3]4) [The division will track d]Deployed personnel may be tracked by using Form 105.

(a) [The division will track d]Deployed resources and available resources may also be tracked for the SMAA through Forms 106 and [Form ]107.

(5) The requesting jurisdiction shall provide a mission briefing to the deployed personnel from the responding jurisdiction.

 

R704-2-9. Demobilization of Resources.

(1) The requesting jurisdiction will be responsible for demobilization.

(a) After termination of the mission time, the requesting jurisdiction [will]shall release resources and return those resources to the responding jurisdiction according to the terms of Form 104, unless the circumstances of the incident make compliance with the terms impracticable or impossible.

(b) The requesting jurisdiction [will]shall debrief all personnel assigned to the incident prior to departure. The debriefing [will]shall include:

(i) confirmation of personnel's travel arrangements; and

(ii) review of personnel's responsibilities for demobilization[; and

(iii) use of ICS Form 221].

(2) Equipment issued to personnel from a responding jurisdiction shall be returned, and all documentation [will]shall be completed and submitted as required in Form 109.

(3) Personnel [and]from the responding jurisdiction [will]shall notify the requesting jurisdiction of the safe arrival of the deployed resources upon returning to their home [station]jurisdiction.

(4) The responding jurisdiction's returning [employee will]personnel shall complete and submit Form 111 to the division for all SMAA deployments if acting as an agent of the state.

 

R704-2-10. Reimbursement Procedures for Rendering Mutual Aid.

(1) A responding jurisdiction that seeks reimbursement shall provide notice to the requesting jurisdiction within 30 days of the termination of statewide mutual aid assistance.

(a) The notice of intent should include the following:

(i) Form 110;

(ii) a brief summary of the services provided by the responding jurisdiction; and

(iii) contact information for the designated person or financial representative responsible for the request.

(b) The responding jurisdiction [must use]shall reference the assigned mission number when seeking reimbursement from a requesting jurisdiction.

(c) In addition to the notice of intent to seek reimbursement, the responding jurisdiction shall provide the requesting jurisdiction and the SMAA coordinator , if the state was involved, with a copy of all documents related to deployment and reimbursement , including:

(i) Form 101 and any amendments or supplements;

(ii) the requesting jurisdiction's acknowledgement of the responding jurisdiction's notice of intent to seek reimbursement using Form 113;

(iii) any notices of dispute; and

(iv) any payments made by the requesting jurisdiction in response to the responding jurisdiction's request.

(2) The requesting jurisdiction shall acknowledge receipt, in writing, of the notice of intent to seek reimbursement from the responding jurisdiction.

(3) The SMAA coordinator shall record all documents related to deployment and reimbursement from the requesting jurisdiction personnel acting as an agent of the state.

(a) The SMAA coordinator shall coordinate with both jurisdictions to encourage and facilitate proper reimbursement, if needed.

(b) The SMAA coordinator may provide reminder notices in anticipation of due dates including the notifications required under Subsections (3) and (4).

(c) The division may designate a financial representative to monitor and provide guidance to participating jurisdictions concerning reimbursement.

(4) When the notification requirements of Subsection (3) have been met, the responding jurisdiction may submit a request for reimbursement to the requesting jurisdiction within 60 days of the termination of statewide mutual aid assistance.

(a) The request for reimbursement shall include a cover letter that summarizes the assistance provided under Form 101.

(b) The request for reimbursement shall also include the following:

[(i) a copy of Form 112 with authorizing signatures;

]([i]i) a comprehensive invoice listing resources provided with the total cost; and

([i]ii) supporting documentation including copies of individual invoices, travel claims, vouchers, and other similar items.

(c) The request for reimbursement shall also include a copy of any amendments or supplements to the original Form 101 and accompanied by the itemized costs and respective supporting documents.

(5) The requesting jurisdiction shall reimburse the responding jurisdiction no later than 30 days from the date of receiving the notice under Subsection (1) unless:

(a) either jurisdiction provides written notice to the other jurisdiction that disputes the reimbursement costs, or alleges noncompliance with the applicable procedures and criteria; or

(b) the jurisdictions agree to an extension for reimbursement.

(6) Disputes regarding reimbursement shall first be addressed between the responding jurisdictions and requesting jurisdiction within 30 days after either party provides notice of the dispute.

(a) The jurisdictions shall make a reasonable effort to resolve the dispute during the 30 day period.

(7) If a dispute cannot be resolved by the jurisdictions within 90 days after the notice of dispute, either party may submit the dispute to the [Statewide Mutual Aid Act Committee]committee.

(a) Requests to the committee must be made no later than 30 days after the end of 90-day period described in Subsection (7).

(b) The requesting jurisdiction shall submit the following documents to the committee for review:

(i) Form 110[,];

(ii) a concise narrative explaining the dispute[,]; and

(iii) the documents listed in Subsections (4)(a) through (c).

(c) The requesting and responding jurisdictions may submit other supporting evidence that is relevant to the dispute.

(d) The committee has 30 days to schedule the matter for a hearing.

(e) The committee chairperson shall select a quorum of seven committee members to participate in the hearing.

(f) Hearings are designated as informal adjudications pursuant to Utah Code Ann. Section 63G-4-202.

(g) The committee, by majority vote, shall issue a final written decision within 30 days of the hearing that includes findings of fact and its reasons for its decision.

 

R704-2-11. Waiver of Reimbursement.

(1) A responding jurisdiction may waive, in writing, any rights to reimbursement under Sections 53-2-507 and 53-2-508.

(2) Waiver of any reimbursable right shall specify each item waived in order to provide notice to the requesting jurisdiction and the SMAA coordinator, if applicable.

(3) Waiver of any reimbursable right shall be delivered to the requesting jurisdiction with a copy delivered to the SMAA coordinator, if applicable, no later than 90 days after the termination of statewide mutual aid assistance.

 

R704-2-12. Reimbursable Expenses.

(1) The requesting jurisdiction shall reimburse the responding jurisdiction for costs related to deployment pursuant to Form 101.

(a) In order to be eligible for reimbursement, all costs must be documented and sufficiently detailed in Form 101 and include supporting documentation.

(b) A jurisdiction that fails to submit all required reimbursement forms by due dates listed in this rule forfeits its right to reimbursement.

(2) Unless otherwise specified in Form 101, the responding jurisdiction shall continue to [pay]compensate its [employees]personnel according to [ordinances, rules, and regulations]its employment policies at the time of the event.

(a) The requesting jurisdiction shall reimburse the responding jurisdiction for agreed upon costs and expenses incurred during the event.

(3) The requesting jurisdiction shall reimburse the responding jurisdiction for use, damage, or loss of any equipment that the responding jurisdiction provided during the event, exercise, or drill.

(a) If practicable and at the request of the responding jurisdiction, the requesting jurisdiction may provide fuels, miscellaneous supplies, and minor repairs.

(4) Unless damage is caused by gross negligence, bad faith, or willful misconduct by the responding jurisdiction, the requesting jurisdiction shall reimburse the responding jurisdiction for all materials and supplies exhausted or damaged during the event.

(a) The parties may agree that the requesting jurisdiction may replace equipment, materials, and supplies with like, kind, and quality as determined by the responding jurisdiction.

 

KEY: Statewide Mutual Aid Act[, agent of the state], reimbursements

Date of Enactment or Last Substantive Amendment: [February 25, 2013]2014

Authorizing, and Implemented or Interpreted Law: [53-2-506(1)(b)]53-2a-302