Mutual Aid Handbook
MUTUAL AID AND INTERLOCAL AGREEMENT HANDBOOK JANUARY 2001
TABLE OF CONTENTS
SUBJECT PAGE
Preface........ .......... .......... .................... .......... .......... ......... .......... .......... .......... 1 Executive Summary .......... .................... .......... .......... ......... .......... .......... .......... 2 Mutual Aid and Interlocal Agreements .. .......... .......... ......... .......... .......... .......... 3 Distinguishing Features Between a Mutual Aid and Interlocal Agreement... .......... 4 Coordinating an Agreement .................. .......... .......... ......... .......... .......... .......... 5 Preparation of an Agreement................. .......... .......... ......... .......... .......... .......... 7 Mutual Aid Agreement Format ............... .......... .......... ......... .......... .......... .......... 9 Mutual Aid Agreement Example............. .......... .......... ......... .......... .......... .......... 11 Interlocal Agreement Format.................. .......... .......... ......... .......... .......... .......... 13 Interlocal Agreement Example ............... .......... .......... ......... .......... .......... .......... 15
PREFACE
Local governmental entities are encouraged to formulate Agreements either through a Mutual Aid or Interlocal Agreement to enhance their emergency planning and response capabilities. However, lack of clear lines of authority and responsibility frequently lead to a reduced capability to respond effectively.
This handbook explains the difference between Mutual Aid Agreements and Interlocal Agreements. It describes what each type of agreement is best suited to accomplish, what should be included in preparation of either agreement, and how to get an agreement executed.
This handbook can be used as a reference document for the development of either agreement. There are certain legal requirements under Washington law that must be followed in preparing these agreements (e.g., RCW 38.52.091 and RCW 39.34.030). While this handbook is intended to be helpful in preparing agreements, it cannot substitute for legal review of the final agreement. Therefore, any agreement should undergo a step-by-step legal review prior to final approval by the respective parties.
Questions, comments, and suggestions should be addressed to:
Washington Military Department Emergency Management Division Supervisor, Plans Section MS: TA-20, Building 20 Camp Murray, Washington 98430-5122 Phone: (253) 512-7000
EXECUTIVE SUMMARY
Mutual Aid and Interlocal Agreements exist to provide local jurisdictions with the opportunity to exchange services during an emergency or disaster.
A Mutual Aid Agreement is general in nature and is basically an understanding that support will be provided, if possible. The type of service to be provided is frequently open ended. A Mutual Aid Agreement is an understanding that,
my jurisdiction will assist your jurisdiction during an emergency. Give me a call, let me know what you need, and Ill see what we can do. In most circumstances Mutual Aid Agreements are required to be implemented before assistance is requested from the state.
An Interlocal Agreement is specific in perspective and it is more contractual in design. With an Interlocal Agreement, specific services are agreed upon to be provided under defined conditions. An Interlocal Agreement provides a much clearer understanding of what support may be received during an emergency or disaster, but is less flexible.
It is important to understand that both Mutual Aid and Interlocal Agreements are contracts and can say and do what the parties want and agree should be done. In preparing agreements, legal authorities of the jurisdictions, prosecuting attorneys, city attorneys, or hired counsel should play an important part in drafting the document. What is prepared and signed is a matter of coordination and agreement between the local jurisdictions and must comply with legal requirements for that jurisdiction. Once signed it is a contractual obligation.
MUTUAL AID AND INTERLOCAL AGREEMENTS
A Mutual Aid Agreement is a written understanding between local emergency management organizations to provide reciprocal emergency management aid and assistance. Such arrangements are authorized in Chapter 38.52.091 of the Revised Code of Washington. The Mutual Aid Agreements are to be consistent with the state Comprehensive Emergency Management Plan and program. In an emergency, each signatory local jurisdiction is responsible for providing assistance within their capabilities in accordance with the signed agreement.
The purpose of an Interlocal Agreement is to permit local jurisdictions to make the most efficient use of their powers by enabling them to cooperate with other local jurisdictions on a basis of mutual advantage. An Interlocal Agreement will allow the local jurisdictions to provide or receive services and facilities from other local jurisdictions. Interlocal Agreements are in effect a contract and are discussed in Chapter 39.34, Revised Code of Washington.
Common characteristics of Mutual Aid and Interlocal Agreements
Written understandings between at least two parties.
Establish an assisted relationship between the parties.
Document proof of the agreement and its contents.
Define the parties involved, identify respective responsibilities, define how and when they are to be implemented, who performs what and how, who pays for specific services, how long the agreement is in effect, how the agreements are terminated and who administers the agreements.
Provide for the utilization of county, city, or other organizations, resources to augment impacted or insufficient resources or capabilities of other jurisdictions or organizations, thus allowing for greater flexibility for all participants.
Limit costs by overcoming budgetary restrictions, equipment shortages and operations or capabilities limitations.
Provide liability protection to the participating parties.
Reduces the possibility of the duplication of services and equipment.
Enhance communication and cooperation between the participating parties.
Reduce the misunderstandings between participating parties, which often exist when assistance is requested or provided on an informal basis.
Provide a legal basis for a participating party to operate outside its jurisdiction.
Provide an agreement that spans changes in government when administrations change.
DISTINGUISHING FEATURES BETWEEN A MUTUAL AID AND INTERLOCAL AGREEMENT
A Mutual Aid Agreement:
Is imprecise in designating resources or capabilities needed or to be provided;
Is based on the concept that resources, materials or services are, in most circumstances, voluntarily provided by the parties to the agreement with the idea that there will be a reciprocal exchange of roughly comparable value, if and when required;
Is based on the idea that resources, materials or services provided would not result in profit to the providing party;
Commits participating parties to a mutually beneficial, cooperative agreement based on principles and concepts of contract law which support protecting lives and property;
Provides a mechanism for coping with emergency situations or events that allows maximum flexibility in the use of resources;
Can assure parties providing assistance that they may withhold all or part of their resources under certain conditions;
Should provide that a party requesting assistance will indemnify the party providing the assistance for any resulting liability.
An Interlocal Agreement:
Is very precise and identifies the specific service, activity, or undertaking the local jurisdictions are authorized by law to perform;
Emphasizes the fulfilling of the terms in the Interlocal Agreement rather than protecting lives and property;
Is based on the concept that one local jurisdiction pays for the provision of a service, activity, or undertaking;
Identifies the specific costs of the clearly defined resources, materials, or services;
Is based on the principles and concepts of contract law. Failure to provide the service, activity or undertaking would constitute, in most cases, a breach of contract;
Provides a mechanism to deal with day-to-day services, activities, or understandings, as opposed to emergencies or disasters, which occur on an unscheduled or infrequent basis;
Does not provide a flexible mechanism to respond to unusual situations not identified within the scope of the Interlocal Agreement.
COORDINATING AN AGREEMENT
There is no set manner in which either a Mutual Aid or Interlocal Agreement should be coordinated, however, it is absolutely essential that such agreements be properly coordinated. Each agreement is unique. This comes from the fact that there are different operating environments, needs, capabilities and organizational structures, even though the jurisdictions may be classed as federal, state, county, city, town, or district. The following are some general guidelines to follow:
1. Conduct a comprehensive local needs assessment.
If the assessment identifies local needs that cannot be met, or are only partially met, other jurisdictions or organizations may have the resources available. Determine who can satisfy those needs.
2. Determine if a Mutual Aid or Interlocal Agreement best meets the needs of the jurisdiction or organization.
The type of agreement will be determined by the intent and needs. A Memorandum of Understanding works well when a broad scope agreement is required to provide assistance during an emergency. An Interlocal Agreement may be preferred when clearly defined deliverables are required under specific conditions.
3. Contact the key staff personnel in the appropriate jurisdiction or organization.
Create a working group of key staff personnel who must be involved in drafting an agreement. Involve those individuals who have the authority and interest to enter into an agreement for that jurisdiction or organization.
4. Conduct meetings and discussions to get input on the agreement.
Representatives of various groups can identify the problems, find solutions and answer questions necessary to prepare a draft agreement for review by key officials. The language of the agreement should clearly reflect the intent of the parties. Special attention should be given to preparing the agreements so there are no misunderstandings and the intent and purpose is clear to all.
5. Conduct a review and incorporate comments into the agreement.
Once the first draft has been reviewed and revised by the work group, the agreement
should be submitted to the appropriate legal counsel for review and comment.
6. Revise the draft document and brief key officials.
Include necessary revisions suggested by legal counsel and present the final draft to key officials for comments. If the key officials change any of the legal counsel comments, the revised document will need a second legal review.
7. Prepare the final copy for signature.
Provide a copy for signature to the appropriate officials or representatives of the parties to the agreement. Ensure additional resolutions, ordinances or other supplemental documents required to implement the agreement are passed or adopted.
8. Exchange and file the signed agreement.
Each participating party must follow necessary legal requirements to comply with local policy and submit executed copies to the county auditor as per RCW 39.34.040, Law of 1995, Change 22. Participating parties are no longer required to submit executed copies to the Office of the Secretary of State.
PREPARATION OF AN AGREEMENT
As the participating jurisdictions come together to prepare the agreement, several things should be kept in mind:
An agreement creates an obligation;
It is a promise, or more often, a set of promises that the local jurisdictions make to each other;
These promises are enforceable by law;
It is important to understand that each jurisdiction entering into the agreement has a mutual responsibility to perform the agreement together.
Each participating jurisdiction should consult with the prosecuting attorney, city attorney, or other legal counsel for assistance and advice in the preparation and negotiation of the agreement.
The agreement consists of the agreement documents, prior documents and subsequent documents that clarify or amend it (e.g., letters, formal changes, resolutions, statutes, proclamations, ordinances, preambles, requests for assistance and responses).
The language of the agreement should clearly reflect the intent of the local jurisdictions. It should say what the signatories want and intend it to say. Questions may arise if two terms conflict, if a term is ambiguous, or if there is uncertainty about what a term means. Some recognized rules of interpretation have been established to assist in establishing the meaning of an agreement in these instances.
The purpose of the rules of interpretation is to determine the probable intent of the local jurisdictions at the time they entered into the agreement. The intent of the local jurisdictions is established by examining how the local jurisdictions expressed themselves through their words, actions, or inactions.
1. Common Sense
Common sense is the most important rule for interpreting agreements. The rules of interpretation are intended to reflect this. The words and acts of the local jurisdictions are interpreted in light of the meaning that the words or acts would have conveyed to any reasonable person standing in the place of the local jurisdictions at the time the agreement was executed.
2. Implied Legal Requirements
Though not written in the agreement documents, there are many other terms of an agreement implied by law. It is implied in every agreement that the local jurisdictions are dealing with each other in good faith and cooperation. It is implicit that the local jurisdictions are in agreement and will do nothing contrary to the goals of the agreement. Some implied terms can be changed if the local jurisdictions so indicate in the agreement document. An example of this is that the service provided by the aiding local jurisdiction will be the same as the service provided to the constituents of the aiding local jurisdiction. The local jurisdictions cannot alter federal or state safety standards for workers (unless they make the standards higher than the highest standard imposed by federal or state law).
3. Agreement Interpreted as a Whole
To interpret an agreement it should be read as a whole document. Particular words, phrases, or clauses are not read and interpreted alone. If possible, all provisions of an agreement are interpreted to have a meaning in harmony.
4. Custom and Usage
Government practice may be used in interpreting the agreement unless there is an expressed or explicit term within the agreement in conflict with the asserted customary practice or usage of the term. Thus, in the absence of such an expressed term, the standard of performance on which the agreement is to be based is that which is the usual standard in the particular jurisdictional entity.
5. Precedence of Words and Terms
The agreement generally sets forth the precedence or importance to be accorded to words and terms in case a conflict exists.
Where an agreement is made up of written, typed and printed terms and there is an inconsistency, the following order of precedence applies:
The written provisions take precedence over typewritten provisions and typewritten provisions take precedence over printed provisions. This order of precedence is established on the premise that it yields the most immediate language, which is normally, the language that the parties last put into the agreement.
As a general rule, where an agreement contains both general and special provisions relating to the same subject, the special provisions are controlling--unless the agreement states something to the contrary.
6. Ambiguities Construed Against the Drafter
The rule of interpretation is used as a rule of last resort. After applying the foregoing rules, if the meaning of the agreement is uncertain, clarify the ambiguous language by consulting the original jurisdiction drafting the language or drawing. This demonstrates the need for maintaining all correspondence.
7. Duty to Seek Clarification
A participating jurisdiction has a duty during the development phase to inquire about obvious ambiguities, omissions, or conflicts in the provisions.
MUTUAL AID AGREEMENT FORMAT
The following is a format for a Mutual Aid Agreement. Elements may be added, deleted and/or combined to fit the situation.
Preliminary - List the ordinances, resolutions, or executive orders implementing and putting into force the agreement. Items are provided by all parties to the agreement and should be limited to one or two pages.
Preamble to the Agreement - Provide a brief description to the agreement, to include background, need, purpose and what the agreement will provide (i.e., an executive summary).
Basic Document
Participating Parties - a precise description of the jurisdictions and/or private corporations entering into such an agreement along with the terms to be used to describe the entity throughout the document (i.e., the assisting and assisted jurisdictions).
Purpose - a brief, but comprehensive, general description of the assistance to be
rendered.
Authorization - reference is made to applicable specific federal, state and local laws,
codes, statutes, ordinances and/or resolutions.
Assistance to be Rendered - a more detailed description of goods and services to be rendered by the participating jurisdictions and the standard of goods and services to be provided.
Condition for Implementation - description of the conditions for requesting, offering and/or withdrawing support. The form in which the request or offer will be made should be stated.
Request for Assistance - description of the manner in which the requesting party will
make their request and the designation of the official authorized to make the request.
Command, Control, Coordination and Communication Responsibilities - conditions for implementing the agreement are described. How the personnel and equipment of the providing jurisdiction are described.
Post Response - describes the method by which the request for assistance and/or response to the request is terminated. This may include returning equipment, releasing personnel, acquiring property and holding and disposing of equipment and property.
Compensation - this is the local jurisdiction's agreement to seek or not to seek compensation for the services and goods provided and for the losses incurred. Wages, materials and equipment costs and, in particular, workers compensation should be addressed. For instance, if overtime costs are to be reimbursed, it should be clearly stated.
Insurance - who will, and what type of insurance coverage the agreeing parties will provide.
Liability - the responsibility for liabilities is stated.
Agreement Maintenance - establishes a regularly scheduled review of the agreement, specific operational procedures, procedure for resolving disagreement, developing possible changes to the agreement, or any other action that will facilitate the intent of the agreement.
Agreement Administration - a provision for administering the agreement and representing the local jurisdictions involved, along with any financing or budget requirements associated with the agreement.
Agreement not Exclusive - includes a statement that the agreement is not intended to be exclusive between the jurisdictions and that other agreements can be entered into by the participating parties.
Signature Blocks - a signature block for the key executive officials and the attesting official of all participating jurisdictions and authority, if necessary.
Mutual Aid Agreement #000000
MUTUAL AID AGREEMENT BETWEEN CITY OF FREDERICKSBURG AND SYCAMORE COUNTY, STATE OF WASHINGTON
This agreement is made and entered into this day of July 1, 2000 by and between the City of Fredericksburg and Sycamore County, state of Washington.
Operational Plan.
3. It is hereby understood that unless adopted Mutual Aid Operational Plans dictate otherwise, all services and/or resources provided under the terms of this Mutual Aid Agreement are furnished and/or supplied voluntarily and at the discretion of the furnishing agency. The furnishing agency shall have the primary interest of protecting the welfare of its own constituency and does not assume any responsibilities or liabilities in not providing resources and/or services to other parties of this agreement.
Mutual Aid Agreement #000000 Sycamore County and City of Fredericksburg Page 2 of 2
1 It is hereby understood that the agreements entered into hereunder and the corresponding Mutual Aid Operational Plans adopted shall not supplant existing mutual aid agreements nor deny the right of any party hereto to negotiate supplemental mutual aid agreements.
2 Mutual aid extended pursuant to this agreement shall be furnished in accordance
City of Fredericksburg
Sharie Post Date Mayor
INTERLOCAL AGREEMENT FORMAT
The following is a format for an Interlocal Agreement. It is the standard form used in the state for a contract agreement. In that all agreements are contractual in nature, it is important that their form and content be consistent with the standards of the parties to the agreement. The agreement should have the review and approval of the prosecuting attorney, city attorney, or whoever is appropriate to the jurisdictions.
Preliminary - identifies the parties to the agreement and provides a nonspecific purpose statement.
Basic Document
Funding - the amount of funds to be awarded to the contractor are included. Because of the nature of the situation that would require implementation of the agreement, the contract should have flexibility. It should permit the contractor to provide services but include a fiscal limit to maintain control of costs.
Service Provisions - statement of how the funds are to be used. A more detailed Scope of Work should be attached.
Agreement Period - the beginning and end date of the agreement. The end date can be left open and thus precludes having to renegotiate the agreement. It does place the contractor at a disadvantage because the costs are fixed.
Reimbursement Provisions - details of how the contractor must claim their funds, the time period in which the claim may be processed and settled and the last date by which a claim may be settled.
Recapture Provisions - in the circumstance that the jurisdiction is not satisfied that the
terms of the contract were met, the conditions for reclaiming funds is established.
Evaluation and Monitoring - defines the access the jurisdiction will have to the records
and files of the contractor.
Nondiscrimination Provision - establishes that the contractor will not discriminate against any employee paid by the jurisdiction and will comply with the terms of the Americans with Disabilities Act and others.
Agreement Modifications - describes the manner in which the Interlocal Agreement
may be modified.
Termination and Review of Agreement - the terms for terminating and reviewing the
agreement prior to the end of the agreement period.
Contractor not Employee of Jurisdiction - avoids conflict of interest. Neither the contractor nor contractor employees are to be a member of the jurisdiction negotiating the agreement.
Records, Documents and Reports - identifies the books, records, documents and
procedures that reflect costs.
Travel and Subsistence Reimbursement - establishes the rate of reimbursement for travel and per diem performed in support of the agreement. Commonly the state travel regulations are cited.
Special Provision - the jurisdiction does not waive any agreement rights because strict conformances of other provisions of the agreement have not been required.
Hold Harmless - the contractor will not hold the jurisdiction liable for damages incurred in the fulfillment of the agreement.
Governing Law and Venue - establishes that the laws of the state of Washington
govern the agreement.
Severability - if any portion of the agreement is determined to be invalid, it does not
invalidate the other conditions of the agreement.
Entire Agreement - states that the agreement is represented in its entirety and there are no other understandings in effect related to the subject of the agreement.
Agreement Administration - states the individuals by name or position who are
responsible to administer the agreement.
Attachments Scope of Work - a detailed statement of the service provisions of the agreement. Budget - a detailed statement and breakout of the total funds to be reimbursed to the
contractor.
Interlocal Agreement #000000
INTERLOCAL AGREEMENT BETWEEN OSWEGO COUNTY, WASHINGTON AND SYCAMORE COUNTY, WASHINGTON
This INTERLOCAL AGREEMENT, entered into by OSWEGO COUNTY (hereinafter referred to as the CONTRACTOR and SYCAMORE COUNTY (hereinafter referred to as the COUNTY),
4. REIMBURSEMENT PROVISIONS
The CONTRACTOR shall mail an invoice voucher to the COUNTY not later than fifteen
(15) working days after the termination of the emergency or disaster. Within twenty (20) days after receiving the voucher, the COUNTY shall remit to the CONTRACTOR a warrant covering the cost of the prior agreed upon activities.
5. RECAPTURE PROVISION
In the event that the CONTRACTOR fails to expend funds under this agreement in accordance with state laws and/or the provisions of this agreement, the COUNTY reserves the right to recapture funds in an amount equivalent to the extent of the noncompliance.
Interlocal Agreement #000000 Oswego County and Sycamore County Page 2 of 7
Such a right of recapture shall exist for a period not to exceed three years following agreement termination. Repayment by the CONTRACTOR of funds under this recapture provision shall occur within 30 days of demand. In the event that the COUNTY is required to institute legal proceedings to enforce the recapture provision, the COUNTY shall be entitled to its costs thereof, including reasonable attorney's fees.
6. EVALUATION AND MONITORING
the agreement shall be valid unless made in writing and signed by the parties hereto and that any oral understanding or agreements not incorporated herein, unless made in writing and signed by the parties hereto, shall not be binding.
9. SUBCONTRACTS
Except as otherwise provided herein, the CONTRACTOR shall not enter into subcontracts for any of the work contemplated under this agreement without obtaining prior written approval of the COUNTY.
Interlocal Agreement #000000 Oswego County and Sycamore County Page 3 of 7
10. TERMINATION OF AGREEMENT
a) If, through any cause, the CONTRACTOR shall fail to fulfill in a timely and proper manner its obligations under this agreement or if the CONTRACTOR shall violate any of its covenants, agreements, or stipulations of this agreement, the COUNTY shall thereupon have
The CONTRACTOR shall maintain books, records, documents, and other evidence and accounting procedures and practices, which sufficiently and properly reflect all direct and indirect costs of any nature, expended in the performance of this agreement. These records shall be subject at all reasonable times to inspection, review, or audit by COUNTY personnel and other personnel duly authorized by the COUNTY or the Office of the State Auditor. The CONTRACTOR will retain all books, records, documents, and other material relevant to this agreement for three years after expiration and the Office of the State Auditor, or any persons duly authorized by the COUNTY shall have full access to and the right to examine any of said materials during said period.
Interlocal Agreement #000000 Oswego County and Sycamore County Page 4 of 7
13. TRAVEL AND SUBSISTENCE REIMBURSEMENT
In the absence of provisions included herein, travel expenses shall be paid in accordance with rates set pursuant to Chapters 43.03.050 and 43.03.060 Revised Code of Washington as now existing or amended.
14. SPECIAL PROVISION
The COUNTY'S failure to insist upon the strict performance of any provision of this
deemed to exist or to bind any of the parties hereto.
19. AGREEMENT ADMINISTRATION a) CONTRACTORS representative shall be _________________________. b) COUNTYS representative shall be ______________________________.
Interlocal Agreement #000000 Oswego County and Sycamore County Page 5 of 7
IN WITNESS WHEREOF, the COUNTY and CONTRACTOR have executed this agreement as
of the date and year written below.
Person authorized to sign for COUNTY Title Organization
DATE: ________________________
Telephone of Agreement Administrator: Street or P.O. to send agreement City, WA Zip Code
______________________________ Person authorized to sign for CONTRACTOR Title Organization
DATE:
Interlocal Agreement #000000 Oswego County and Sycamore County Page 6 of 7
ATTACHMENT A
Interlocal Agreement #000000 Oswego County and Sycamore County Page 7 of 7
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