THE FEDERAL

LEGAL

LANDSCAPE

Report to the 

President’s Commission 

on Critical Infrastructure Protection

1997

This report was submitted to the President’s Commission on Critical Infrastructure Protection, and

informed its deliberations and recommendations. This report represents the opinions and

conclusions solely of its developers.

A “LEGAL FOUNDATIONS” STUDY

Report 2 of 12
ii

Contents

 Page

Acknowledgments______________________________________________1

Preface_______________________________________________________2

Introduction 4

Part One: The Critical Infrastructures 5

Overview 5

Information & Communications Infrastructure 6

Physical Distribution Infrastructure 9

Banking & Finance Infrastructure 10

Energy Infrastructure 11

Vital Human Services Infrastructure 14

Cross-Infrastructure Issues 16

Part Two: Summary of Agency Authorities 17

Central Intelligence Agency 17

Federal Bureau of Investigation 18

Department of Energy 20

Department of Transportation 23

Federal Emergency Management Agency 26

Department of Commerce 28
iii

Department of the Treasury 31

Department of Justice 33

National Security Agency 34

U.S. Customs Service 35

Bureau of Alcohol, Tobacco & Firearms 37

U.S. Secret Service 37

Department of Education 39

General Services Administration 39

Federal Communications Commission 42

U.S. Postal Service 47

Department of the Interior 48

Department of State 54

U.S. Information Agency 55

Nuclear Regulatory Commission 56

Federal Energy Regulatory Commission 57

Department of Agriculture 60

Securities and Exchange Commission 61

Board of Governors of the Federal Reserve 61

Federal Deposit Insurance Corporation 63

International Trade Commission 64

Conclusion 66

Table of Authorities 67
iv

Appendix – Federal Agency Contacts_______________________________79
1

Acknowledgments

7KH /HJDO )RXQGDWLRQV VHULHV RI UHSRUWV RI WKH 3UHVLGHQWaV &RPPLVVLRQ RQ

&ULWLFDO,QIUDVWUXFWXUH3URWHFWLRQ3&&,3UHVXOWHGIURPWKHFRQFHUWHGHIIRUWV

DQG KDUG ZRUN RI VHYHUDO LQGLYLGXDOV  7KH &RPPLVVLRQ JUDWHIXOO\

DFNQRZOHGJHV &RPPLVVLRQHU 6WHYDQ ' 0LWFKHOO DQG $VVLVWDQW *HQHUDO

&RXQVHO (OL]DEHWK $ %DQNHU IRU WKHLU OHDGHUVKLS DQG LPSRUWDQW

FRQWULEXWLRQV LQ GHYHORSLQJ WKH /HJDO )RXQGDWLRQV VHULHV RI UHSRUWV  7KHLU

UHVHDUFKZULWLQJDQGDQDO\WLFDOFRQWULEXWLRQVZHUHHVVHQWLDOWRWKHVXFFHVVRI

WKHHIIRUW

7KH&RPPLVVLRQDOVRDFNQRZOHGJHV/HH0=HLFKQHU(VTRI/HJDO1HW:RUNV

,QFRUSRUDWHG DQG KLV VWDII IRU FRQFHSWXDOL]LQJ DQG PDLQWDLQLQJ WKH OHJDO

LVVXHV GDWDEDVH DQG IRU SURYLGLQJ WLUHOHVV UHVHDUFK VXSSRUW  )LQDOO\ WKH

&RPPLVVLRQDFNQRZOHGJHVWKHFRQWULEXWLRQVRI6HQLRU&RQVXOWDQW3DXO%\URQ

3DWWDNIRUKLVGHIWHGLWLQJRIWKLVFRPSLODWLRQ
2

Preface

([HFXWLYH 2UGHU  HVWDEOLVKHG WKH 3UHVLGHQWaV &RPPLVVLRQ RQ &ULWLFDO

,QIUDVWUXFWXUH 3URWHFWLRQ 3&&,3 DQG WDVNHG LW ZLWK DVVHVVLQJ WKH

YXOQHUDELOLWLHV RI DQG WKUHDWV WR HLJKW QDPHG FULWLFDO LQIUDVWUXFWXUHV DQG

GHYHORSLQJ D QDWLRQDO VWUDWHJ\ IRU SURWHFWLQJ WKRVH LQIUDVWUXFWXUHV IURP

SK\VLFDO DQG F\EHU WKUHDWV  7KH ([HFXWLYH 2UGHU DOVR UHTXLUHG WKDW WKH

3&&,3 FRQVLGHU WKH OHJDO DQG SROLF\ LVVXHV UDLVHG E\ HIIRUWV WR SURWHFW WKH

FULWLFDO LQIUDVWUXFWXUHV DQG SURSRVH VWDWXWRU\ DQG UHJXODWRU\ FKDQJHV

QHFHVVDU\WRHIIHFWDQ\VXEVHTXHQW3&&,3UHFRPPHQGDWLRQV

7R UHVSRQG WR WKH OHJDO FKDOOHQJHV SRVHG E\ HIIRUWV WR SURWHFW FULWLFDO

LQIUDVWUXFWXUHV WKH 3&&,3 XQGHUWRRN D YDULHW\ RI DFWLYLWLHV WR IRUPXODWH

RSWLRQVDQGWRIDFLOLWDWHHYHQWXDOLPSOHPHQWDWLRQRI3&&,3UHFRPPHQGDWLRQV

E\ WKH )HGHUDO JRYHUQPHQW DQG WKH SULYDWH VHFWRU  7KH 3&&,3 UHFRJQL]HG

WKDWWKHSURFHVVRILQIUDVWUXFWXUHDVVXUDQFHZRXOGUHTXLUHFXOWXUDODQGOHJDO

FKDQJH RYHU WLPH  7KXV WKHVH DFWLYLWLHV ZHUH XQGHUWDNHQ ZLWK WKH

H[SHFWDWLRQWKDWPDQ\ZRXOGFRQWLQXHSDVWWKHOLIHRIWKH3&&,3LWVHOI

7KH /HJDO )RXQGDWLRQV VHULHV RI UHSRUWV DWWHPSWV WR LGHQWLI\ DQG GHVFULEH

PDQ\ RI WKH OHJDO LVVXHV DVVRFLDWHG ZLWK WKH SURFHVV RI LQIUDVWUXFWXUH

DVVXUDQFH7KHUHSRUWVZHUHXVHGE\WKH3&&,3WR LQIRUP LWVGHOLEHUDWLRQV

7KHVHULHVFRQVLVWVRIUHSRUWV

 /HJDO)RXQGDWLRQV6WXGLHVDQG&RQFOXVLRQV

 7KH)HGHUDO/HJDO/DQGVFDSH

 7KH5HJXODWRU\/DQGVFDSH

 /HJDO$XWKRULWLHV'DWDEDVH

 ,QIUDVWUXFWXUH3URWHFWLRQ6ROXWLRQV&DWDORJ

 0DMRU)HGHUDO/HJLVODWLRQ

 $GHTXDF\RI&ULPLQDO/DZDQG3URFHGXUH&\EHU

 $GHTXDF\RI&ULPLQDO/DZDQG3URFHGXUH3K\VLFDO

 3ULYDF\DQGWKH(PSOR\HU(PSOR\HH5HODWLRQVKLS

/HJDO,PSHGLPHQWVWR,QIRUPDWLRQ6KDULQJ

)HGHUDO*RYHUQPHQW0RGHO3HUIRUPDQFH

$SSURDFKHVWR&\EHU,QWUXVLRQ5HVSRQVH

DQGWZRVSHFLDOVWXGLHV
3

• ,QIRUPDWLRQ6KDULQJ0RGHOV

• 3ULYDWH,QWUXVLRQ5HVSRQVH

/HJDO)RXQGDWLRQV6WXGLHV DQG &RQFOXVLRQVLV WKH RYHUDOO VXPPDU\ UHSRUW

,WGHVFULEHV WKH RWKHU UHSRUWV WKHPHWKRGRORJLHVXVHG E\ WKH UHVHDUFKHUV WR

SUHSDUHWKHPDQGVXPPDUL]HVWKHSRVVLEOHDSSURDFKHVDQGFRQFOXVLRQVWKDW

ZHUH SUHVHQWHG WR WKH 3&&,3 IRU LWV FRQVLGHUDWLRQ  7KH VHULHV KDV EHHQ

VHTXHQFHG WR DOORZ LQWHUHVWHG UHDGHUV WR VWXG\ LQ GHWDLO D VSHFLILF DUHD RI

LQWHUHVW  +RZHYHU WR IXOO\ DSSUHFLDWH WKH VFRSH RI WKH WRSLFV VWXGLHG DQG

WKHLUSRWHQWLDOLQWHUDFWLRQDUHYLHZRIWKHHQWLUHVHULHVLVUHFRPPHQGHG
4

Introduction

7KLV UHSRUW UHSUHVHQWV WKH ILUVW HIIRUW RI LWV NLQG WR FKDUDFWHUL]H WKH OHJDO DQG

UHJXODWRU\ VWUXFWXUHV RI WKH FULWLFDO LQIUDVWUXFWXUHV DV WKH\ SHUWDLQ WR

LQIUDVWUXFWXUHDVVXUDQFH$VD ILUVWVWHSVXUYH\VZHUHVHQW WR WKH WHQDJHQFLHV

UHSUHVHQWHGRQWKH&RPPLVVLRQWKH'HSDUWPHQWVRI&RPPHUFH'HIHQVH(QHUJ\

-XVWLFH7UDQVSRUWDWLRQDQGWKH7UHDVXU\7KH&HQWUDO,QWHOOLJHQFH$JHQF\WKH

)HGHUDO %XUHDX RI ,QYHVWLJDWLRQ WKH )HGHUDO (PHUJHQF\ 0DQDJHPHQW $JHQF\

DQGWKH1DWLRQDO6HFXULW\$JHQF\7KHVXUYH\VDVNHGDJHQF\FRXQVHOWRLGHQWLI\

WKH OHJDODXWKRULWLHVDQGPHFKDQLVPVDVVRFLDWHGZLWK WKHLU DJHQF\ WKDW UHODWHG

WR LQIUDVWUXFWXUH DVVXUDQFH  7KH VXUYH\ DOVR DVNHG WKDW H[LVWLQJ RU SODQQHG

SURJUDPVUHODWHGWRLQIUDVWUXFWXUHDVVXUDQFHDQGRWKHUDJHQFLHVZLWKDVWDNHLQ

WKHDFWLYLWLHVEHLGHQWLILHG$IWHUWKHLQLWLDODJHQF\VXEPLVVLRQVZHUHUHFHLYHGLW

ZDV DSSDUHQW WKDW WKH IHGHUDO JRYHUQPHQWaV DXWKRULWLHV ZLWK UHVSHFW WR

LQIUDVWUXFWXUH DVVXUDQFH ZHUH VSUHDG DFURVV D YDVW QXPEHU RI DJHQFLHV DQG

GHSDUWPHQWV  $VVLVWDQFH ZDV WKHQ UHTXHVWHG IURP DQRWKHU WZHQW\ILYH IHGHUDO

RUJDQL]DWLRQV

7KHILUVWSDUWRIWKLVUHSRUWSURYLGHVDKLJKOHYHORYHUYLHZRIWKHOHJDOODQGVFDSH

RI HDFK RI WKHFULWLFDO LQIUDVWUXFWXUHV7KRXJK WKLV HIIRUWGRHV LQFRUSRUDWHVRPH

DGGLWLRQDOVRXUFHVLWUHOLHVSULPDULO\RQWKHVXEPLVVLRQVUHFHLYHGWKXVIRFXVLQJ

RQ WKH IHGHUDO JRYHUQPHQWaV OHJDO DQG UHJXODWRU\ DXWKRULWLHV  7KH UHSRUW WKHQ

SUHVHQWVWKHUHVXOWVRIWKHWZRVWDJHDJHQF\VXUYH\SURFHVV,WSURFHHGVDJHQF\

E\DJHQF\DQG LQVRPH FDVHV RIILFHE\RIILFHDQGGHVFULEHV HDFK RI WKH UHOHYDQW

ERG\aV DXWKRULW\ DQG MXULVGLFWLRQ DQG LWV FXUUHQW PHFKDQLVPV DQG SURJUDPV

UHODWLQJ WR LQIUDVWUXFWXUH DVVXUDQFH ,W DOVR DWWHPSWV WR LGHQWLI\ DXWKRULWLHV RU

PHFKDQLVPV DQG LQ VRPH LQVWDQFHV WR PHUHO\ VSRW LQIUDVWUXFWXUH DVVXUDQFH

UHODWHG LVVXHV 7KH HIIRUWV WR FKDUDFWHUL]H WKH OHJDO ODQGVFDSH RI LQIUDVWUXFWXUH

DVVXUDQFHKDVOHDGWRWKHLGHQWLILFDWLRQRIPDQ\ OHJDODQGSROLF\ LVVXHVDQGZLOO

KHOSGULYHWKHLPSOHPHQWDWLRQSURFHVVIRUWKH&RPPLVVLRQaVUHFRPPHQGDWLRQV

 

1

 Exec. Order 13010 (July 15, 1996); 61 Fed. Reg. 37347, 37348 (July 17, 1996).

2

 The PCCIP Legal Authorities Database includes a broader range of materials including

relevant authorities at federal, state, and international levels as well as materials from the

private sector.
5

Part One

The Critical Infrastructures

Overview

$QXPEHURIGLIILFXOWLHVDULVHLQDQ\HIIRUWWRFKDUDFWHUL]HWKH OHJDO ODQGVFDSHRI

LQIUDVWUXFWXUHDVVXUDQFH7KHILUVWDQGPRVWIXQGDPHQWDOFKDOOHQJHDULVHVZLWK

UHJDUGWR LGHQWLI\LQJDQGFROOHFWLQJ LQIUDVWUXFWXUHDVVXUDQFHUHODWHGDXWKRULWLHV

7\SLFDOO\DQDWWRUQH\FRQIURQWHGZLWKDUHVHDUFKSURMHFWZLOOEHDEOHWRUHFRJQL]H

WKHLVVXHDQGLGHQWLI\UHOHYDQWERGLHVRIODZ5HVHDUFKWKHQPD\FRQVLVWPHUHO\

RIW\SLQJDZRUGRUSKUDVHLQWRWKHVHDUFKHQJLQHRIDOHJDOGDWDEDVHRUHYHQWKH

,QWHUQHW+RZHYHUIRULQIUDVWUXFWXUHDVVXUDQFHWKHUHLVQRH[LVWLQJERG\RIODZ¥

QR NH\ZRUG XQGHU ZKLFK WR VHDUFK  7KH WDVN WKXV UHTXLUHV DQ XSIURQW

UHFRJQLWLRQRIWKHW\SHVRILVVXHVZKLFKPD\LPSDFWSRVLWLYHO\RUQHJDWLYHO\WKH

IXOILOOPHQWRIFHUWDLQLQIUDVWUXFWXUHDVVXUDQFHREMHFWLYHV

:LWK HLJKW LQIUDVWUXFWXUHV QDPHG LQ WKH ([HFXWLYH 2UGHU DQG WKH GLVSDUDWH

VXESDUWV FRQWDLQHG ZLWKLQ HDFK RI WKRVH FULWLFDO LQIUDVWUXFWXUHV WKH QH[W

FKDOOHQJH LV LQPDQ\ZD\V RQH RI VKHHU YROXPH0DVVLYH DPRXQWV RI ODZ KDYH

EHHQ SURPXOJDWHG DQG LPSOHPHQWHG XQGHU WKH DXVSLFHV RI WKH FULWLFDO

LQIUDVWUXFWXUHV1RQHRIWKHVH ODZVZHUHVSHFLILFDOO\GLUHFWHGDW §LQIUDVWUXFWXUH

DVVXUDQFH ̈ EXW PDQ\ LPSDFW GLUHFWO\ RQ LQIUDVWUXFWXUH DVVXUDQFH FRQFHUQV

3K\VLFDO VHFXULW\ LQIRUPDWLRQ VHFXULW\ UHOLDELOLW\ DQG VDIHW\ RI VHUYLFHV

HPHUJHQF\ DXWKRULWLHV ODZ HQIRUFHPHQW LQWHOOLJHQFH DQG GHIHQVH DFWLYLWLHV DUH

MXVW D IHZ RI WKH OHJDO FRQVLGHUDWLRQV ZKLFK VKRXOG EH WDNHQ LQWR DFFRXQW LQ

FRPSLOLQJWKHOHJDOODQGVFDSH

,Q RWKHU DUHDV WKH ODZ DQG WKXV WKH VWUXFWXUH DQG DVVXUDQFH OHYHO RI WKH

LQIUDVWUXFWXUHVDUHLQIOX[5HFHQWGHUHJXODWLRQDQGUHVWUXFWXULQJHIIRUWVLQVXFK

LQGXVWULHV DV WHOHFRPPXQLFDWLRQV DQG HOHFWULF SRZHU PD\ LPSDFW WKHVH

LQIUDVWUXFWXUHVa DELOLWLHV WR DGGUHVV LQIUDVWUXFWXUH DVVXUDQFH FRQFHUQV  ,W LV

GLIILFXOW WKRXJK WR DQDO\]H WKH LPSDFWV RI VXFK FKDQJHV RQ LQIUDVWUXFWXUH
6

DVVXUDQFH DQG WKH OHJDO ODQGVFDSH XQWLO WKH DXWKRULWLHV DQG PHFKDQLVPV KDYH

EHHQPRUHIXOO\LPSOHPHQWHG

7KLVSUHOLPLQDU\HIIRUWVKRXOGPDNHFOHDUHUWKHDUHDVZKHUHIHGHUDOLQYROYHPHQW

LVKLVWRULFDOO\DQGOHJDOO\SUHFHGHQWHGDQGWKRVHDUHDVZKLFKDUHEHWWHUOHIWWRWKH

VWDWHVDVVRFLDWLRQVDQG LQGLYLGXDORZQHUVDQGRSHUDWRUV,WPD\EHQHFHVVDU\

WR H[DPLQH WKHVH UROHV SDUWLFXODUO\ DV WKH\ HYROYH LQ WKLV DUHD RI LQFUHDVHG

FRPSHWLWLRQ GHUHJXODWLRQ DQG UHVWUXFWXULQJ LQ WKH IXWXUH  7KH FXUUHQW OHJDO

ODQGVFDSHRILQIUDVWUXFWXUHDVVXUDQFHDSSHDUVWRSURYLGHDULFKERG\RIUHVRXUFHV

WDSSHGDQGXQWDSSHGIRUPHHWLQJLQIUDVWUXFWXUHDVVXUDQFHREMHFWLYHV

Information and Communications

Infrastructure

7R WKH H[WHQW DQ\ RI WKH FULWLFDO LQIUDVWUXFWXUHV DUH RZQHG E\ WKH IHGHUDO

JRYHUQPHQW IXOO DXWKRULW\ H[LVWV WR SURWHFW WKHP IURP SRWHQWLDO WKUHDWV DQG

YXOQHUDELOLWLHV  ,I WKH LQIUDVWUXFWXUH LV SULYDWHO\ RZQHG D IHGHUDO UROH LV

JHQHUDOO\SUHPLVHGRQWKHLQIUDVWUXFWXUHVLQYROYHPHQWLQLQWHUVWDWHFRPPHUFH

7KLVLVWUXHLQWKHDUHDRIWHOHFRPPXQLFDWLRQV)RUH[DPSOHRQWKHJRYHUQPHQW

VLGH WKH *6$ DGPLQLVWHUV WKH IHGHUDO WHOHSKRQH V\VWHP XQGHU WKH )76 

SURJUDP  1&6 HQVXUHV WKH DYDLODELOLW\ RI WHOHFRPPXQLFDWLRQV VHUYLFH GXULQJ

HPHUJHQFLHVWKURXJK*(7616$LVFKDUJHGZLWKWKHVHFXULW\RIWKHJRYHUQPHQW

WHOHFRPPXQLFDWLRQV VHUYLFHV  3URJUDPV DUH LQ SODFH IRU RWKHU PHDQV RI

FRPPXQLFDWLRQVDVZHOODVVXFKDV17,$aVUROHLQVSHFWUXPDOORFDWLRQDQGXVHRI

VDWHOOLWHV IRU WKH JRYHUQPHQW DQG %/0aV HPHUJHQF\ UDGLR FDSDELOLWLHV  2WKHU

IHGHUDOJRYHUQPHQWDJHQFLHVDOVRSOD\PRUHQDUURZDQGGHILQHGUROHVVXFKDVWKH

866HFUHW6HUYLFHaVUROHLQLQYHVWLJDWLQJDFFHVVGHYLFHIUDXG

 

3

 See infra p. 37.

4

 See discussion of NSA authorities infra pp. 31-32.

5

 See infra p. 25.

6

 See infra p. 45.

7

 See infra p. 35.
7

The Federal Legal Landscape: Information & Communications

Telecom Telecom

Presidential Authorities

EO 12356

EO 124472

EO 12382

FCC

Communications Act of 1934

Telecom Act of 1996

NSA

Telecom Security

NCS

Federal Response Plan

Commerce-NIST

Computer Security Act of 1987

OMB

Circular A-130

Agency CIOs

ITMRA

NRIC

NSTAC

NTIA

NSTISSC

SPB

GSA

FTS 2000

Info Security Info Security

Law 

Enforcment Enforcment

DOJ

FBI U.S. Secret Service

Radio

BLM

GETSB

CIO Council

Title 18 U.S.C.

-XULVGLFWLRQ RYHU SULYDWHO\RZQHG FRPPXQLFDWLRQV PHGLD LV JLYHQ WR WKH )&&

EDVHG RQ WKH LQWHUVWDWH FRPPHUFH LPSOLFDWLRQV RI VXFK FRPPXQLFDWLRQV 7KH

H[DFW QDWXUH RI WKH )&&aV MXULVGLFWLRQ GRHV YDU\ GHSHQGLQJ RQ WKH

FRPPXQLFDWLRQVPHGLD LQTXHVWLRQ+RZHYHUWKH)&&aVJHQHUDOPDQGDWH LVWR

HQVXUH WKDWVDIHDQGUHOLDEOHFRPPXQLFDWLRQVVHUYLFHVDUHZLGHO\DYDLODEOH7R

DFFRPSOLVK WKLV PLVVLRQ WKH )&& KDV UHJXODWRU\ DXWKRULW\ WR LVVXH OLFHQVHV

PDNH DSSURSULDWH UHJXODWLRQV LVVXH ILQHV DQG RWKHU SHQDOWLHV  7KH )&& XVHV

PDQ\RIWKHVHDXWKRULWLHVWRHQVXUHWKHVDIHW\DQGUHOLDELOLW\RIFRPPXQLFDWLRQV

KRZHYHU WKHUH PD\ EH URRP IRU D JUHDWHU IRFXV RQ LQIUDVWUXFWXUH DVVXUDQFH

REMHFWLYHV ,Q DGGLWLRQ VWDWH 3XEOLF 8WLOLW\ &RPPLVVLRQV 38&V JHQHUDOO\

UHJXODWH IDFLOLW\DQGHTXLSPHQWVLWLQJDQGUDWHVHWWLQJ:KLOHWKH IRFXVRIERWK

WKH)&&DWWKHIHGHUDOOHYHODQGWKH38&VDWWKHVWDWHOHYHOKDYHWUDGLWLRQDOO\

EHHQ RQ SURYLGLQJ XQLYHUVDO VHUYLFH WKHVH ERGLHV DUH QRZ PRYLQJ WKHLU IRFXV

WRZDUG DFFHVV DQG FRQWLQXLW\ RI VHUYLFH  )RU H[DPSOH WKH )&& FKDUWHUHG

1HWZRUN 5HOLDELOLW\ DQG ,QWHURSHUDELOLW\ &RXQFLO FXUUHQWO\ KDV UHSRUWLQJ

UHTXLUHPHQWV LQSODFHIRURXWDJHVEXW LVFRQVLGHULQJZKHWKHUWKHWKUHVKROGV IRU

UHSRUWLQJVKRXOGEH FKDQJHG LQ OLJKW RI LQGXVWU\ UHVWUXFWXULQJDQGVHFXULW\DQG

UHOLDELOLW\ FRQFHUQV  $OVR WKH LPSDFW WKDW VRPH RI WKH SURYLVLRQV RI WKH

7HOHFRPPXQLFDWLRQV $FW RI  VXFK DV QHZ REOLJDWLRQV IRU LQWHUFRQQHFWLRQ

XQEXQGOLQJRIVHUYLFHVDQGUHVDOH RI LQIUDVWUXFWXUHDFFHVV RQ H[LVWLQJSURYLGHUV

RI ORFDOH[FKDQJHVHUYLFHVZLOOKDYH RQ LQIUDVWUXFWXUH REMHFWLYHV LVQRW\HWFOHDU

DQGPD\ GHSHQG RQ WKHPDQQHU RI )&& LPSOHPHQWDWLRQ D SURFHVV WKDW LV VWLOO

 

8

 See discussion of FCC authorities infra pp. 38-43.
8

XQGHUZD\  ,Q WKH PHDQWLPH QHZ WHFKQRORJLHV DUH EHLQJ LQWURGXFHG LQ WKH

FRPPXQLFDWLRQVDUHQDHYHU\GD\

)RU SURWHFWLRQ RI LQIRUPDWLRQ V\VWHPV VSHFLILFDOO\ PXFK WKH VDPH SDWWHUQ LV

IRXQG  *RYHUQPHQW V\VWHPV KDYH D ZLGH DQG GLYHUVH JURXS RI IHGHUDO HQWLWLHV

FKDUJHGZLWKVRPHDVSHFW RI WKHLUSURWHFWLRQDQGSURSHU IXQFWLRQLQJ1,67KDV

WKH SULPDU\ UHVSRQVLELOLW\ IRU VHWWLQJ VWDQGDUGV IRU LQIRUPDWLRQ VHFXULW\ EXW

RWKHU HQWLWLHV VXFK DV 16$ 63% &663$% &,2 &RXQFLO DQG *,76% SURYLGH

LQSXWV DQG SOD\ D UROH LQ IHGHUDO LQIRUPDWLRQ VHFXULW\ HQGHDYRUV  ,QGLYLGXDO

DJHQFLHVWKURXJKWKHLU&,2VDOVREHDUFRQVLGHUDEOHUHVSRQVLELOLW\IRUWKHLURZQ

V\VWHPV6RPHDJHQFLHVKDYH ULVHQ WR WKH FKDOOHQJHPRUH UHDGLO\ WKDQ RWKHUV

)&& IRU H[DPSOH KDV LWV RZQ FRPSXWHU HPHUJHQF\ UHVSRQVH FDSDELOLW\ DQG

FRQGXFWV§UHGWHDPLQJ ̈DFWLYLWLHV

,QFRQWUDVWWKHUHLVQRIHGHUDOJRYHUQPHQWIRFDOSRLQWIRUSULYDWHO\RZQHGFULWLFDO

LQIUDVWUXFWXUH LQIRUPDWLRQ VHFXULW\  1,67 DQG 16$ PD\ SURYLGH WHFKQLFDO

H[SHUWLVH EXW DQ\ UHJXODWRU\ UHTXLUHPHQWV DUH GHULYHG IURP WKH RYHUDOO

UHJXODWRU\ VFKHPH RI WKH RYHUVLJKW DJHQF\  )(5& IRU H[DPSOH UHTXLUHV

LQWHUVWDWH WUDQVPLWWHUV RI HQHUJ\ WR OLQN WR WKH 2$6,6 V\VWHP DQG KDV SXW LQ

SODFH UHTXLUHPHQWV IRU WKH VHFXULW\ RI WKDW V\VWHP  )HZ DJHQFLHV KDYH

PDQGDWHG VXFK UHTXLUHPHQWV WKRXJK WKH\ PRVW OLNHO\ KDYH WKH VWDWXWRU\

DXWKRULW\WRGRVRLQRUGHUWRSURWHFWWKHVDIHDQGSURSHURSHUDWLRQRIWKHFULWLFDO

LQIUDVWUXFWXUHVWKH\UHJXODWH

:KHWKHUJRYHUQPHQW RUSULYDWHFRPPXQLFDWLRQVV\VWHPV WZRQHHGVDUH FULWLFDO

WR LQIUDVWUXFWXUH DVVXUDQFH REMHFWLYHV¦ODZ HQIRUFHPHQW DQG HGXFDWLRQ DQG

DZDUHQHVV  7KH 6HFUHW 6HUYLFH WR D OLPLWHG H[WHQW DQG WKH 'HSDUWPHQW RI

-XVWLFH ERWK KDYH MXULVGLFWLRQ RYHU FULPHV LQ WKH FRPPXQLFDWLRQV

LQIUDVWUXFWXUH  (GXFDWLRQ HIIRUWV IRU SURSHU XVH RI FRPSXWHUV DQG FRPSXWHU

HWKLFV PD\ EH IXQGHG IRU WKH SULYDWH VHFWRU WKURXJK 'HSDUWPHQW RI (GXFDWLRQ

SURJUDPV230DQGLQGLYLGXDODJHQFLHVDUHJHQHUDOO\UHVSRQVLEOHIRUWUDLQLQJ

JRYHUQPHQWHPSOR\HHVRQVXFKWRSLFV

 

9

 See infra p. 27.

10 See discussion of FCC Computer Security Program infra pp. 42-43.

11 For further discussion of OASIS system and FERC regulations see infra p. 55.

12 See infra p. 34.

13 See FBI summary infra pp. 15-16.

14 See infra pp. 35-36.
9

Physical Distribution

7KH WUDQVSRUWDWLRQ LQIUDVWUXFWXUHaV OHJDO ODQGVFDSH LV SDUWLFXODUO\ GLIILFXOW WR

FKDUDFWHUL]H EHFDXVH RI WKH XQLTXH QDWXUH RI HDFK RI WKH YDULRXV  PRGHV RI

WUDQVSRUWDWLRQ LQYROYHG 5DWKHU WKDQ D FHQWUDOL]HG DQG FRKHVLYH VWUXFWXUH WKH

OHJDO ODQGVFDSH LV IUDJPHQWHG  7KH 'HSDUWPHQW RI 7UDQVSRUWDWLRQ LV LWVHOI

EURNHQ LQWR D QXPEHU RI LQGLYLGXDO DJHQFLHV WR DGGUHVV HDFK RI WKH PRGHV RI

WUDQVSRUW  7KHVH LQFOXGH WKH )HGHUDO 5DLOURDG $GPLQLVWUDWLRQ WKH )HGHUDO

$YLDWLRQ $GPLQLVWUDWLRQ WKH )HGHUDO +LJKZD\ $GPLQLVWUDWLRQ WKH )HGHUDO

7UDQVLW $GPLQLVWUDWLRQ WKH 6XUIDFH 7UDQVSRUWDWLRQ %RDUG WKH 86 &RDVW

*XDUG DQG WKH 0DULWLPH $GPLQLVWUDWLRQ 0RUH VSHFLDOL]HG IHGHUDO ERGLHV DOVR

H[LVW WR DGGUHVV VSHFLILF HOHPHQWV RI WKH WUDQVSRUWDWLRQ LQIUDVWUXFWXUH VXFK DV

WKH6W/DZHUHQFH6HDZD\7KLVPRGHVSHFLILFDSSURDFKWRJRYHUQDQFHLVHFKRHG

LQWKHVWDWHVWUXFWXUHVZKLFKUHJXODWHWUDQVSRUWDWLRQ

The Federal Legal Landscape: Physical Distribution

DOT

FAA

Aviation

FRA

Railroads

FTA

Mass Transit

Highways Highways

FHWA

Highways

USCG

Waterways

STB

Interstate 

Commerce

Maritime

Administration

Water Commerce & Ports

NRC

Transport of Transport of 

Nuclear Materials Nuclear Materials

State Transportation State Transportation

Authorities Authorities

St. Lawrence St. Lawrence

Seaway

Development Development

Corporation Corporation

FBI

Law 

Enforcement

NTSB

Accident Accident

Investigation Investigation

Customs Customs

GSA Federal Motor Federal Motor

 Vehicle Fleet Vehicle Fleet

Mass Transit Mass Transit Railroads Railroads Aviation

EPA DOE

Oil & Gas Transportation

RSPA

Pipelines

7KHQDWXUH RI WKHVH DJHQFLHVa DXWKRULWLHV RYHU WKHPRGHV RI WUDQVSRUWDWLRQ WKH\

FRQFHUQ DOVR GLIIHU WUHPHQGRXVO\  :KLOH DLU WUDQVSRUWDWLRQ LV PRUH KHDYLO\

UHJXODWHGE\WKH)$$WKH)HGHUDO+LJKZD\$GPLQLVWUDWLRQDQG)HGHUDO7UDQVLW

$XWKRULW\SOD\DPRUHLQIOXHQWLDOUROHWKURXJKJUDQWSURJUDPVDQGVWXGLHVDLPHG

 

15 See infra pp. 19-22 for further discussion of DOT authorities.
10

DW VDIHW\7KLVPD\ EH GXH WR WKHLQWUDVWDWHQDWXUH RIPDQ\ RI WKHVHPRGHV RI

WUDQVSRUWDWLRQQHFHVVLWDWLQJDPRUHVWDWHFHQWULFDSSURDFK WR RYHUVLJKW6WDWHV

DQG ORFDO JRYHUQPHQWV EHDU WUHPHQGRXV UHVSRQVLELOLW\ IRU WKH WUDQVSRUWDWLRQ

LQIUDVWUXFWXUHPXFKRILWEHLQJRZQHGE\WKRVHJRYHUQPHQWHQWLWLHV+LJKZD\V

DQG URDGV EULGJHV HYHQ DLUSRUWV DUH XVXDOO\ RZQHG DQG PDLQWDLQHG E\

PXQLFLSDORUVWDWHDXWKRULWLHV+RZHYHUWRWKHH[WHQWWUDQVSRUWDWLRQLQYROYHVD

VSHFLILFIHGHUDOO\UHJXODWHGPDWHULDOVXFKDVQXFOHDUPDWHULDOVDVWURQJ IHGHUDO

UROHZLOOEHGHILQHG IRU WKHDJHQF\SULPDULO\UHVSRQVLEOH IRUVXFK LWHPV¦LQ WKLV

FDVHWKH1XFOHDU5HJXODWRU\&RPPLVVLRQ

$QHIIHFWLYHOHJDOVWUDWHJ\IRULQIUDVWUXFWXUHDVVXUDQFHPD\QHHGWREHWDLORUHGWR

HDFK LQGLYLGXDO PRGH RI WUDQVSRUW  $XWKRULWLHV WR FRQGXFW LQVSHFWLRQV UHTXLUH

WUDLQLQJDQGVHFXULW\PHDVXUHVPD\H[LVWDWWKHIHGHUDORUVWDWHOHYHOIRUDQ\RI

WKH HOHPHQWV RI WKH WUDQVSRUWDWLRQ LQIUDVWUXFWXUH  7KHUHPD\ DOVR EH URRP IRU

LPSURYHPHQW LQ WKHLU FXUUHQW LPSOHPHQWDWLRQ  )RU H[DPSOH WKHUH DUH QR

VHFXULW\ UHJXODWLRQV IRU UDLO SDVVHQJHU WHUPLQDOV VLPLODU WR WKRVH IRU DLUSRUWV

,QDGGLWLRQWKHLPSDFWRILQIRUPDWLRQWHFKQRORJ\DQGDXWRPDWLRQZLOOKDYHWREH

FDUHIXOO\VWXGLHGWRGHWHUPLQHWKHSURSHUXVHRIOHJDODXWKRULW\IRULQIUDVWUXFWXUH

DVVXUDQFH REMHFWLYHV  (OHFWURQLF V\VWHPV DOUHDG\ FRQWURO DLU WUDIILF DQG UDLO

WUDIILFDQGDUHTXLFNO\PRYLQJLQWRXUEDQWUDIILFFRQWUROFHQWHUV

Banking and Finance

'HVSLWH WKH FRPSOH[ZHE RI ILQDQFLDO LQVWLWXWLRQV DQG RWKHU HQWLWLHV LQYROYHG LQ

WKH EDQNLQJ DQG ILQDQFH LQIUDVWUXFWXUH IHGHUDO UHJXODWLRQ DQG FRQWURO RI WKH

LQIUDVWUXFWXUH LV IDLUO\ WLJKWO\FHQWHUHGDQGPDLQWDLQHG7KH)HGHUDO5HVHUYH

DQG)',& UHJXODWHPDQ\ DVSHFWV RI WKH RSHUDWLRQV RI WKH EDQNV WKH\ RYHUVHH

7KHVH RUJDQL]DWLRQV KDYH DOUHDG\ KDG WR UHVSRQG WR LPSRUWDQW LQIUDVWUXFWXUH

UHODWHG FRQFHUQV WKURXJK WKHLU UHJXODWRU\ VWUXFWXUH ZLWK WKH LQFUHDVLQJ

SRSXODULW\ RI HOHFWURQLF FRPPHUFH  7KH )HGHUDO )LQDQFLDO ,QVWLWXWLRQV

([DPLQDWLRQV&RXQFLOLVZRUNLQJWRVWDQGDUGL]HWKHSUDFWLFHVDPRQJWKHIHGHUDO

UHJXODWRUVUHJDUGLQJHOHFWURQLFIXQGWUDQVIHUV

 

16 See infra pp. 55-52.

17 See Argonne National Laboratory, Overview of the Impacts of Regulatory Agency

Practices on Critical Infrastructure Protection, Prepared for PCCIP § 7 (July 15, 1997).

18 Id.

19 See infra pp. 57-58.

20 See infra pp. 58-59.

21 See infra p. 59.
11

The Federal Legal Landscape: Banking and Finance

Thrifts Thrifts

Taxes & Tax Incentives Taxes & Tax Incentives

 State Chartered State Chartered Insured Banks Insured Banks

Fed Reserve Member Fed Reserve Member

Banks Bn

Federally-Chartered Federally-Chartered

Banks

Securities

Exchange 

Commission

Law

Enforcement Enforcement

Securities & Exchanges Securities & Exchanges

NYSE, AMEX, NASD, CBOT NYSE, AMEX, NASD, CBOT

National Banks National Banks

Credit Unions Credit Unions

Office 

Comptroller

of Currency

Federal 

Reserve FDIC

Financial Markets

Working Group

IRS

OTS

NCUA

Federal Financial Institutions

Examination Council

Insurance Insurance

Department of 

Treasury

FBI

DOJ

FTC

CFTC

U.S. Secret

Service

ATF

FinCen

State Banking Commissioners State Banking Commissioners

7KH6(&DOVRKDVWKHQHFHVVDU\DXWKRULW\WRUHVSRQGWRLQFLGHQWVGLVUXSWLQJWKH

WUDGLQJRIVHFXULWLHVWKRXJKLWKDVQRW\HWEHHQIRUFHGWRLQYRNHVXFKDXWKRULW\

7KH 'HSDUWPHQW RI 7UHDVXU\ KDV DWWHPSWHG WR SOD\ DQ LQWHJUDWLQJ UROH IRU LWV

PDQ\ FRQVWLWXHQWV2&& )',& ,56¦WKURXJK VXFK HIIRUWV DV WKH )LQDQFLDO

0DUNHWV :RUNLQJ *URXS ZKLFK LV GHVLJQHG WR VKDUH LQIRUPDWLRQ DQG WR ILQG

VROXWLRQVWRYDULRXVSUREOHPVLQWKHEDQNLQJDQGILQDQFHDUHD7KLVJURXSKDV

ODWHO\ EHJXQ WR IRFXV RQ LQIUDVWUXFWXUH DVVXUDQFHUHODWHG WRSLFV VXFK DV

GLVUXSWLRQV7KH6HFUHW6HUYLFHKDV MXULVGLFWLRQ RYHU FULPHV LQYROYLQJ FXUUHQF\

DQGRWKHUILQDQFLDOLQVWUXPHQWV7KH)%,DQG'HSDUWPHQWRI-XVWLFHDOVRKDYH

MXULVGLFWLRQRYHUIHGHUDOFULPHVLQWKHEDQNLQJDQGILQDQFHLQIUDVWUXFWXUH

Energy

$VZDVGHPRQVWUDWHG LQWKHWHOHFRPPXQLFDWLRQVDUHQD IHGHUDODXWKRULW\GLIIHUV

FRQVLGHUDEO\ IURP JRYHUQPHQW WR SULYDWHO\ RZQHG V\VWHPV  '2( KDV WKH

VWDWXWRU\ DXWKRULW\ WR UHTXLUH JRYHUQPHQW HQHUJ\ IDFLOLWLHV WR PHHW DQ\

 

22 See infra pp. 56-57 for discussion of SEC authorities.

23 See infra p. 28.

24 See infra pp. 34-35 for discussion of Secret Service jurisdiction.

25 See infra pp. 15-16.
12

UHTXLUHPHQWV QHFHVVDU\ WR PHHW LQIUDVWUXFWXUH DVVXUDQFH REMHFWLYHV   :KLOH

WKHVHFXUUHQWO\ LQYROYHVRPHSK\VLFDOVHFXULW\ UHTXLUHPHQWV LW LVQRW RWKHUZLVH

FOHDUWRZKDWH[WHQWVXFKREMHFWLYHVDUHFXUUHQWO\WDNHQLQWRDFFRXQW

%RWK'2(DQG)(5&KDYHVLJQLILFDQWDXWKRULW\RYHU LQWHUVWDWHHQHUJ\ IDFLOLWLHV

HYHQ LI SULYDWHO\ RZQHG 6WDWH 38&V KDYH MXULVGLFWLRQ RYHU UHWDLO VDOH RI

HOHFWULFLW\  7KLV LQFOXGHV WKH DXWKRULW\ WR LVVXH SHUPLWV DQG VHW VWDQGDUGV IRU

FRQVWUXFWLRQ  7KLV DXWKRULW\ GLIIHUV GHSHQGLQJ RQ WKH HQHUJ\ VRXUFH  ,Q IDFW

QXFOHDUHQHUJ\LVUHJXODWHGDWWKHIHGHUDOOHYHOE\WKH15&DOPRVWH[FOXVLYHO\

The Federal Legal Landscape: Energy

Department of 

Energy

Government-Owned Facilities

Power Marketing

Administrations

Alaska Power Authority

Bonneville

Western Area

Southeastern

Southwestern

Electric Electric 

Nuclear Nuclear

Federal Energy

Regulatory Commission

NRC

North Amercian North Amercian

Electric Reliability Electric Reliability

Council Council

State Public State Public

Utility Commissions Utility Commissions Hydroelectric Hydroelectric DOI

Army Corps USCG

of Engineers

Dept. of Agriculture

Gas & Oil Gas & Oil

DOT

USCG USCG

Tennessee Valley

Authority

DOI

EPA

*HQHUDOO\ IHGHUDO HQHUJ\ UHJXODWRUV KDYH OLFHQVLQJ DXWKRULW\ DELOLW\ WR LPSRVH

UHSRUWLQJ UHTXLUHPHQWV DQG WR FRQGXFW LQYHVWLJDWLRQV DQG WR PDNH UHJXODWLRQV

IRU RSHUDWLRQ RI HQHUJ\ IDFLOLWLHV  7KH '3$ SURYLGHV SRZHUV WR DVVLVW LQ

UHFRQVWLWXWLRQ IROORZLQJ DQ HPHUJHQF\  $QG VSHFLILF SRZHUV VXFK DV RUGHULQJ

LQWHUFRQQHFWLRQ RU H[SDQGHG VHUYLFH DQG WDULII UHYLHZ FRXOG EH XVHG IRU

 

26 Government-owned energy facilities are discussed infra pp. 16-17.

27 See infra pp. 16-19 (discussion of DOE authorities) and pp. 53-56 (discussion of FERC

authorities).

28 See discussion of NRC authorities infra pp. 51-52.

29 See, e.g., discussion infra p. 17.
13

LQIUDVWUXFWXUHDVVXUDQFHREMHFWLYHV:KLOHVXIILFLHQWDXWKRULW\LVLQSODFHWKH

IHGHUDOJRYHUQPHQWKDVQRW\HWUHTXLUHGVXEVWDQWLDOSK\VLFDORUIRUWKDWPDWWHU

F\EHUVHFXULW\PHDVXUHVIRUQRQQXFOHDUHQHUJ\IDFLOLWLHV

3LSHOLQHV SRVH PRUH FRPSOH[ OHJDO TXHVWLRQV WKDQ GR RWKHU W\SHV RI HQHUJ\

UHODWHG LQIUDVWUXFWXUHV)(5&KDV DXWKRULW\ RYHU WKH LQWHUVWDWH WUDQVSRUWDWLRQ

DQG VDOH RI JDV DQG RLO7KH 'HSDUWPHQW RI 7UDQVSRUWDWLRQ LV UHVSRQVLEOH IRU

WKH VDIHW\ DQG FRQVWUXFWLRQ VWDQGDUGV IRU SLSHOLQHV LQFOXGLQJ WKRVH ZKLFK

WUDQVSRUWRLODQGJDV7KH(3$DOVRKDVDUROHLQWKHWUDQVSRUWDQGVWRUDJHRI

RLO DQG JDV %HIRUH LQIUDVWUXFWXUH DVVXUDQFH REMHFWLYHV UHODWHG WR SLSHOLQHV DUH

LPSOHPHQWHGWKHUROHVRIWKHVHDJHQFLHVVKRXOGEHFODULILHG

7KHUH LV VXIILFLHQW DXWKRULW\ DW WKH IHGHUDO OHYHO WR HQKDQFH LQIUDVWUXFWXUH

DVVXUDQFHZLWKLQWKHHQHUJ\LQIUDVWUXFWXUH+RZHYHUDVWKHLQGXVWU\FRQWLQXHV

LWVPRYH WRZDUGFRPSHWLWLRQ LQ HOHFWULFJHQHUDWLRQ FDUHIXO FRQVLGHUDWLRQPXVW

EH JLYHQ WR XVLQJ WKRVH DXWKRULWLHV WR HQVXUH WKDW LQIUDVWUXFWXUH DVVXUDQFH

REMHFWLYHVDUHPHW ,QDGGLWLRQ WR'2()(5& DQG15&XQLTXH UROHV DUH DOVR

SOD\HGE\ WKH'HSDUWPHQW RI$JULFXOWXUH LQGHYHORSPHQW RIXQLYHUVDOVHUYLFH LQ

UXUDO DUHDV %/0 LQ WKH SURWHFWLRQ RI XWLOLWLHV RQ SXEOLF ODQGV DQG OHDVLQJ RI

ODQGV IRU SURGXFWLRQ RI RLO DQG JDV VWDWH SXEOLF XWLOLW\ FRPPLVVLRQV DQG

DVVRFLDWLRQV VXFK DV WKH 1RUWK $PHULFDQ (OHFWULF 5HOLDELOLW\ &RXQFLO 1(5&

1(5& D YROXQWDU\ DVVRFLDWLRQ RI XWLOLWLHV IRUPHG LQ  LV EHFRPLQJ DQ

LQFUHDVLQJO\ LPSRUWDQW SUHVHQFH LQ WKH HQHUJ\ LQGXVWU\  1(5& MXVW UHFHQWO\

YRWHGIRULWVUHOLDELOLW\VWDQGDUGVWREHREOLJDWRU\IRULWVPHPEHUV7KHUROHVRI

WKHVWDWH38&VZLOODOVREH LPSRUWDQW WR IROORZDV WKH LQIUDVWUXFWXUHXQGHUJRHV

WKLV FKDQJH  'XH WR WKLV IUDJPHQWDWLRQ RI WKH MXULVGLFWLRQ RYHU WKH HQHUJ\

LQIUDVWUXFWXUH DOO RI WKHVH OHJDO DQG UHJXODWRU\ HQWLWLHV VKRXOG EH WDNHQ LQWR

DFFRXQWZKHQHYDOXDWLQJWKHOHJDOODQGVFDSH

 

30 The potential uses for such regulatory authorities are discussed within the FERC summary.

See infra pp. 53-56.

31 See infra p. 55.

32 See infra p. 19.

33 See discussion of Department of Agriculture programs infra p. 56.

34 See infra p. 47.

35 NERC is discussed extensively in Argonne National Labs’ Regulatory Landscape Report

to the President’s Commission on Critical Infrastructure protection. See supra note 16 § 4.
14

Vital Human Services

( Including Emergency Services and Continuity of

Government Services )

9LWDO +XPDQ 6HUYLFHV UHIHUV WR D ZLGH UDQJH RI DFWLYLWLHV DW IHGHUDO VWDWH DQG

ORFDO OHYHOVWKDWDUHERWKFUXFLDOIRUHYHU\GD\ OLIHDQGQHHGHG LQWKHHYHQWRIDQ

HPHUJHQF\  7KH UHVSRQVLELOLWLHV IRU SURYLVLRQ RI VHUYLFHV UHODWHG WR SROLFH ILUH

DQG PHGLFDO FDUH EHORQJ SULQFLSDOO\ WR ORFDO DQG VWDWH JRYHUQPHQWV  8QGHU

XQLTXH FLUFXPVWDQFHV VXFK DV D PDMRU GLVDVWHU WKDW VWUDLQV VWDWH UHVSRQVH

FDSDELOLWLHV WKH )HGHUDO JRYHUQPHQW KDV WKH DXWKRULW\ WR UHVSRQG XQGHU WKH

6WDIIRUG $FW   (PHUJHQF\ IXQFWLRQV DUH DGPLQLVWHUHG E\ )(0$ EXW LQYROYH

PDQ\ RI WKH IHGHUDO DJHQFLHV XQGHU D PDQDJHPHQW VWUXFWXUH VHW RXW LQ WKH

)HGHUDO 5HVSRQVH 3ODQ  2WKHU DYHQXHV VXFK DV WKH 1XQQ/XJDU'RPHQLFL

:HDSRQV RI0DVV 'HVWUXFWLRQ OHJLVODWLRQ RI  SURYLGH WUDLQLQJ RU DFFHVV WR

HTXLSPHQWIRUILUVWUHVSRQGHUV

The Federal Legal Landscape: Vital Human Services

Law Enforcement Law Enforcement

Emergency Response Emergency Response

Lead Agencies

Federal Response Plan

Lead Agencies

Federal Response Plan

HHS- CDC HHS- CDC

NCS

Telecom

Continuity of Government Continuity of Government

Services Services

Agency

Contingency

Plans

Agency

Contingency

Plans

GSA

Facilities

Supplies

GSA

Facilities

Supplies

EPA Clean Water Act

Safe Drinking Water Act

EPA

Clean Water Act

Safe Drinking Water Act

DrinkingWater DrinkingWater

USGS USGS

ATF

explosives

DOJ

Title 18 U.S.C.

Secret Service

Access Devices, Telecom,

Currency, Protection of

President & V.President

State & Local Police Terrorism Annex

USCG USCG NRC

Radiological

Hazmat FCC

Emergency Alert System

FCC

Emergency Alert System

FBI Title 18 U.S.C.

Customs borders

DOD

Training State & Local

Responders:

Nunn-Lugar-Domenici

DOD

Training State & Local

Responders:

Nunn-Lugar-Domenici

FEMA

Stafford Act

DPA

FEMA

Stafford Act DOI DPA DOI

Treasury

Financial

Management Service

Treasury

Financial

Management Service

NIST

Computer Security

State & Local

Fire, Rescue & Medical

7KH JRYHUQPHQW KDV SODQQHG IRU FRQWLQXLW\ RI LWV RZQ FRPPXQLFDWLRQV

FDSDELOLWLHV WKURXJK *6$ 1&6 DQG RWKHU DYHQXHV IRU WKH SURYLVLRQ RI

WHOHFRPPXQLFDWLRQVVHUYLFHGXULQJDQHPHUJHQF\7KH)HGHUDO5HVSRQVH3ODQ

 

36 See infra pp. 23-24.

37 See infra p. 37.
15

DQG RWKHU GRFXPHQWV GLYLGH UHVSRQVLELOLWLHV GXULQJ HPHUJHQFLHV DPRQJ WKH

IHGHUDO DJHQFLHV  ,W LV QRW FXUUHQWO\ FOHDU ZKHWKHU WKH IHGHUDO JRYHUQPHQW KDV

DGHTXDWHO\ WDNHQ LQWR DFFRXQW LQWHUGHSHQGHQFLHV DPRQJ WKH FULWLFDO

LQIUDVWUXFWXUHVLQLWVRZQSODQQLQJIRUHPHUJHQFLHV

,QGLYLGXDODJHQFLHVLQDGGLWLRQWR*6$KDYHWDNHQPHDVXUHVLQWKHZDNHRIWKH

2NODKRPD &LW\ ERPELQJ WR LQFUHDVH SK\VLFDO VHFXULW\ RI WKHLU IDFLOLWLHV DQG WR

SUHSDUH IRU HPHUJHQFLHV  6RPH DJHQFLHV KDYH SUHSDUHG HYDFXDWLRQ SODQV DQG

SODQV IRU UHFRQVWLWXWLRQ DIWHU DQ LQFLGHQW  'LVSDULWLHV EHWZHHQ DJHQFLHV DUH

VLPLODU WR WKRVH LQ WKH DUHD RI LQIRUPDWLRQ VHFXULW\ ZKHUH VRPH DUH ZHOO

SUHSDUHGWRKDQGOHDFRQWLQJHQF\DQGRWKHUVKDYHQRWWDNHQWKHQHHGIRUVHFXULW\

SUHFDXWLRQV DQG DGYDQFHG SODQQLQJ DV VHULRXVO\  $V SURYLVLRQ RI JRYHUQPHQW

VHUYLFHV PRYHV LQFUHDVLQJO\ §RQOLQH ̈ DJHQFLHV WKDW SURYLGH VXFK VHUYLFHV ZLOO

XQGRXEWHGO\IHHOSUHVVXUHWRHQVXUHWKHLQWHJULW\DQGUHOLDELOLW\RIWKRVHVHUYLFHV

IURP SRWHQWLDO F\EHUUHODWHG GLVUXSWLRQV  +RZHYHU QR JRYHUQPHQW HQWLW\ KDV

FOHDU DQG DXWKRULWDWLYH HQIRUFHPHQW DXWKRULW\ RYHU WKH LPSOHPHQWDWLRQ RI VXFK

UHTXLUHPHQWV

,I D FULWLFDO LQIUDVWUXFWXUH LQFLGHQW UHDFKHV D OHYHO ZKHUH LW LPSDFWV QDWLRQDO

LQWHUHVWV VHYHUDO IHGHUDO PHFKDQLVPV DQG DXWKRULWLHV DUH DSSOLFDEOH  &URVV

LQIUDVWUXFWXUH VHUYLFHV VXFK DV ODZ HQIRUFHPHQW DQG LQWHOOLJHQFH DUH LPSRUWDQW

SDUWV RI DYHUWLQJQDWLRQDO VHFXULW\ OHYHO LQFLGHQWV SHUWDLQLQJ WR LQIUDVWUXFWXUHV

7KH )%, DQG &,$ KDYH DGHTXDWH DXWKRULW\ WR LQFOXGH WKH FULWLFDO

LQIUDVWUXFWXUHV ZLWKLQ WKH DPELW RI WKHLU QRUPDO LQYHVWLJDWRU\ DQG LQWHOOLJHQFH

UHODWHG IXQFWLRQV  ,Q IDFW WKH )%, KDV WDNHQ VHYHUDO VWHSV WR LPSURYH LWV

DZDUHQHVVDQGDELOLW\WRUHVSRQGWRFULWLFDO LQIUDVWUXFWXUH LQFLGHQWVVXFKDV WKH

.H\ $VVHW3URJUDP DQG WKH &,7$& ZKLFK KRXVHV WKH ,QIUDVWUXFWXUH 3URWHFWLRQ

7DVN )RUFH  7KH 'HSDUWPHQW RI 6WDWH &XVWRPV )HGHUDO (PHUJHQF\

0DQDJHPHQW $JHQF\ 6HFUHW 6HUYLFH WKH SURVHFXWRUV RI WKH 'HSDUWPHQW RI

-XVWLFHDQGRWKHUVPD\DOVREHLQYROYHGLQDQLQIUDVWUXFWXUHUHODWHGLQFLGHQW

7KH IHGHUDO JRYHUQPHQW SOD\V RQO\ D OLPLWHG UROH LQ SURWHFWLRQ RI WKH GULQNLQJ

ZDWHUVXSSO\/RFDO*RYHUQPHQWVDQGVWDWH38&VDUHWKHSULPDU\DXWKRULW\IRU

SURWHFWLRQ RI WKH GULQNLQJ ZDWHU VXSSO\  +RZHYHU WKH (3$ KDV D VWURQJ UROH

UHODWHG WR NHHSLQJ GULQNLQJ ZDWHU VDIH DQG FOHDQ  7KH (3$ VHWV VWDQGDUGV

DGRSWHG DQG IROORZHG E\ PRVW ORFDO ZDWHU LQIUDVWUXFWXUH RSHUDWRUV  7KHVH

VWDQGDUGVJHQHUDOO\DGGUHVVLVVXHVVXFKDVYXOQHUDELOLW\WRLQGXVWULDORUQDWXUDO

 

38 See, e.g., summary of U.S. Postal Service authorities and mechanisms infra p. 44.

39 See discussion of FBI authorities infra pp. 15-16.

40 See discussion of CIA authorities infra pp. 14-15.

41 See infra pp. 15-16 for further discussion of these FBI programs.

42 See supra note 16 at 97 (discussion of EPA role in drinking water infrastructure).
16

FRQGLWLRQV EXW GR QRW DGGUHVV LQWHQWLRQDO VDERWDJH RI GULQNLQJ ZDWHU TXDOLW\

0RQLWRULQJ RI ZDWHU TXDOLW\ ZLOO OLNHO\ FRQWLQXH WR H[SDQG XQGHU WKH H[LVWLQJ

OHJDO UHJLPH  7KH 86 *HRORJLFDO 6XUYH\ DOVR UXQV D 1DWLRQDO:DWHU 4XDOLW\

$VVHVVPHQW SURJUDP  7KH %XUHDX RI 5HFODPDWLRQ DOVR LV LQYROYHG LQ ZDWHU

RSHUDWLRQV WKRXJK XVXDOO\ RQO\ DW WKH RQVHW RI GHYHORSPHQW RI D SURFHVVLQJ

RSHUDWLRQ

Cross-Infrastructure Issues

0DQ\RIWKHOHJDODXWKRULWLHVFROOHFWHGGXULQJWKHVXUYH\SURFHVVGRQRWILWQHDWO\

LQWR RQH RI WKH FULWLFDO LQIUDVWUXFWXUHV UDWKHU WKH\ FXW DFURVV DOO RI WKH

LQIUDVWUXFWXUHVLQVSHFLDOZD\V/DZHQIRUFHPHQWDQGLQWHOOLJHQFHIXQFWLRQVDUH

WZRVXFKH[DPSOHVZKLFKDUHZHOOGRFXPHQWHGZLWKLQWKHDJHQF\VXEPLVVLRQV

+RZHYHU WKHUH DUH RWKHU H[DPSOHV WKDW SHUYDGH WKH ZD\ DOO RI WKH IHGHUDO

DJHQFLHVVXUYH\HGDUHFDUU\LQJRXWWKHLUPLVVLRQVEXWZHUHQRW LQFOXGHGZLWKLQ

WKH DJHQF\ VXEPLVVLRQV 5HFHQW §5HLQYHQWLQJ *RYHUQPHQW ̈ LQLWLDWLYHV VXFK DV

WKH *RYHUQPHQW 3HUIRUPDQFH DQG 5HVXOWV $FW WKH ,QIRUPDWLRQ 7HFKQRORJ\

0DQDJHPHQW 5HIRUP $FW DQG RWKHU DXWKRULWLHV WKDW VHHN WR LQFOXGH ULVN

PDQDJHPHQW WHFKQLTXHV LQ WKH UHJXODWRU\ VWUXFWXUH VHW RXW D QHZ ZD\ RI

FRQGXFWLQJ JRYHUQPHQWEXVLQHVV7KHVHDFWVVHW WKH WRQH IRU IXWXUH OHJDODQG

UHJXODWRU\ HIIRUWV UHODWHG WR LQIUDVWUXFWXUH DVVXUDQFH

 

43 See infra p. 46.

44 See infra pp. 48-49.

45 See, e.g., infra pp. 14-15 (CIA); pp. 15-16 (FBI); pp. 33-34 (U.S. Secret Service); pp. 31-

32 (Customs Service); pp. 32-33 (ATF).

46 Pub. Law No. 103-62 (1993).

47 Pub. Law No. 104-106 (1996).

48 See, e.g., Pub. Law No. 104-304 (1996) (Accountable Pipelines Safety and Partnership Act

of 1996); see also supra note 16 at 54-55.
17

Part Two

Summary of Agency Authorities

Central Intelligence Agency

7KH &,$ KDV WKH DXWKRULW\ WR XQGHUWDNH LQWHOOLJHQFH DQG FRXQWHULQWHOOLJHQFH

JDWKHULQJDQGGLVVHPLQDWLRQDFWLYLWLHVLQYROYLQJDQ\RIWKHFULWLFDOLQIUDVWUXFWXUHV

WRWKHH[WHQWWKDWWKHUHLVIRUHLJQLQWHOOLJHQFHLQYROYLQJWKRVHLQIUDVWUXFWXUHV,I

WKH LQYHVWLJDWLRQ RU JDWKHULQJ RI VXFK LQWHOOLJHQFH DQG FRXQWHULQWHOOLJHQFH LV WR

WDNHSODFHZLWKLQWKH8QLWHG6WDWHVWKH&,$HIIRUWVPXVWEHFRRUGLQDWHGZLWKWKH

)HGHUDO %XUHDX RI ,QYHVWLJDWLRQ7KH &,$ GRHV QRW KDYH SROLFH VXESRHQD ODZ

HQIRUFHPHQW RU LQWHUQDO VHFXULW\ SRZHUV+RZHYHU D UHFHQW DPHQGPHQW WR WKH

1DWLRQDO 6HFXULW\ $FW DOORZV WKH ,QWHOOLJHQFH &RPPXQLW\ WR FROOHFW LQIRUPDWLRQ

DEURDG DERXW QRQ86 SHUVRQV LQ RUGHU WR VXSSRUW D 86 ODZ HQIRUFHPHQW RU

FRXQWHULQWHOOLJHQFHLQYHVWLJDWLRQXSRQUHTXHVWRID86ODZHQIRUFHPHQWDJHQF\

 

49 The National Security Act of 1947, 50 U.S.C. §§ 401 et seq., and the Central Intelligence

Agency Act of 1949, 50 U.S.C. §§ 403a et seq., define the CIA’s authority with regard to

collection of intelligence data. Executive Order 12333 (1981), however, contains the specific

scope of the intelligence activities in which the CIA may engage and limits those activities to

the gathering of “foreign intelligence” and “counterintelligence.” “Foreign intelligence” is

specifically defined in the Executive Order as “information relating to the capabilities,

intentions and activities of foreign powers, organizations or persons, but not including

counterintelligence except for information on international terrorist activities.” Exec. Order

12333 § 3.4(d). The Executive Order also defines counterintelligence as “information

gathered and activities conducted to protect against espionage, other intelligence activities,

sabotage, or assassinations conducted for or on behalf of foreign powers, organizations or

person, or international terrorist activities, but not including personnel, physical, document or

communications security programs.” Exec. Order 12333 § 3.4(a).

50 Exec. Order 12333 § 1.8(a) & (c).  See also infra pp. 15-16 (Federal Bureau of

Investigation Summary). Similarly, the FBI, which is tasked with collecting

counterintelligence primarily within the United States, must coordinate counterintelligence

gathering outside the U.S. with the CIA. Exec. Order 12333 § 1.14(a) & (b).

51 50 U.S.C. § 403-3(d)(1).

52 50 U.S.C. § 403 (1996).
18

$FWXDOPHFKDQLVPVLQSODFHUHODWLQJWRWKHYDULRXVLQIUDVWUXFWXUHVDUHOLPLWHGWR

WKH SURWHFWLRQ DQG UHFRQVWLWXWLRQ RI &,$aV RZQ WHOHFRPPXQLFDWLRQV SRZHU

HPHUJHQF\VHUYLFHVDQGFULWLFDOJRYHUQPHQWRSHUDWLRQV7KH&,$PD\HQJDJHLQ

FRYHUW DFWLRQV WR §LQIOXHQFH SROLWLFDO HFRQRPLF RU PLOLWDU\ FRQGLWLRQV DEURDG ̈

ZLWK WKH DSSURYDO RI WKH 3UHVLGHQW  7KH 'LUHFWRU RI WKH &HQWUDO ,QWHOOLJHQFH

'&,SOD\VDSLYRWDOUROHLQLQWHOOLJHQFHFRPPXQLW\VLWWLQJRQWKH&RPPLWWHHRQ

7UDQVQDWLRQDO 7KUHDWV DSSURYLQJ DVVLJQPHQW RI IXQGV XQGHU WKH 1DWLRQDO

)RUHLJQ ,QWHOOLJHQFH 3URJUDP DQG FRRUGLQDWLQJ UHODWLRQVKLSV ZLWK IRUHLJQ

JRYHUQPHQWV,QDGGLWLRQWKH'&,UHSRUWVWR&RQJUHVVRQSRWHQWLDOWKUHDWVWR

WKHQDWLRQDO LQIRUPDWLRQ LQIUDVWUXFWXUH IURP IRUHLJQSRZHUVDQGVHPLDQQXDOO\

UHSRUWV WR &RQJUHVV RQ IRUHLJQ QDWLRQVa DFTXLVLWLRQ RI WHFKQRORJ\ UHODWLQJ WR

ZHDSRQVRIPDVVGHVWUXFWLRQDQGDGYDQFHGFRQYHQWLRQDOPXQLWLRQV

Federal Bureau of Investigation

7KH)HGHUDO %XUHDX RI ,QYHVWLJDWLRQ )%, KDV EHHQ GHOHJDWHG WKH DXWKRULW\ WR

LQYHVWLJDWH DOO FULPHV DJDLQVW WKH 8QLWHG 6WDWHV ,Q IXOILOOLQJ LWV VWDWXWRU\

PDQGDWH WKH%XUHDX LV WDVNHGZLWK DFWLQJ DV WKH OHDG DJHQF\ LQ DOO FULPHV IRU

ZKLFK LW KDV FRQFXUUHQW RU SULPDU\ MXULVGLFWLRQ DQG ZKLFK LQYROYH WHUURULVW

DFWLYLWLHV  ,Q DGGLWLRQ )%, LV WR WDNH FKDUJH RI LQYHVWLJDWLRQV LQYROYLQJ

HVSLRQDJH VDERWDJH VXEYHUVLYH DFWLYLWLHV DQG UHODWHG PDWWHUV 7KH RQO\

VXEVWDQWLDO OLPLWV RQ WKH VFRSH RI WKH )%,aV LQYHVWLJDWRU\ DXWKRULW\ RYHU

YLRODWLRQVRIIHGHUDOODZFRPHIURPVSHFLILFJUDQWVRILQYHVWLJDWRU\SRZHUWRRWKHU

LQYHVWLJDWLYHDJHQFLHV$PRQJVXFKSURYLVLRQVLV([HFXWLYH2UGHUZKLFK

UHTXLUHV WKDW WKH )%, FRQGXFW FRXQWHULQWHOOLJHQFH RXWVLGH WKH 8QLWHG 6WDWHV LQ

 

53 50 U.S.C. § 413b(a) & (e).

54 50 U.S.C. § 402(I)(1) (1996).

55 50 U.S.C. § 403-3(c).

56 50 U.S.C. § 403-4(e).

57 H.R. 3259 §§ 310 & 711.

58 28 U.S.C. § 533 vests the Attorney General with the power to appoint officials to “detect

and prosecute crimes against the United States.” The Attorney General has delegated the

investigatory authority to the FBI. 28 C.F.R. Part 0.85(a).

59 28 C.F.R. Part 0.85 defines “terrorist activities” as “unlawful use of force and violence

against persons or property to intimidate or coerce a government, the civilian population, or

any segment thereof, in furtherance of political or social objectives.”

60 See 28 C.F.R. part 0.85(a).
19

FRRUGLQDWLRQ ZLWK WKH &,$   7KH )%, VXJJHVWV WKDW  86&   LV

VXIILFLHQWO\ EURDG WKDW LW PD\ EH H[WHQGHG EH\RQG IHGHUDO FULPHV LQ WKDW LW

FRQWDLQV D SURYLVLRQ WR GHDO ZLWK §XQDQWLFLSDWHG H[LJHQW FLUFXPVWDQFHV ̈  ,Q

FRPELQDWLRQ WKH YDULRXV IHGHUDO VWDWXWHV DGGUHVVLQJ SURWHFWLRQ RI

LQIUDVWUXFWXUHVDQG WKHDXWKRUL]DWLRQ WR FRQGXFW FRXQWHULQWHOOLJHQFHDFWLYLWLHV

ZKLFKVSHFLILFDOO\LQFOXGHSURWHFWLRQRIFHUWDLQLQIUDVWUXFWXUHVSURYLGHDEURDG

EDVLVIRU)%,LQYROYHPHQWLQLQIUDVWUXFWXUHDVVXUDQFH

7KH EURDG QDWXUH RI WKH )%,aV DXWKRULW\ LV HYLGHQW IURP WKH YDULHW\ RI

PHFKDQLVPV FXUUHQWO\ LQ SODFH ZLWKLQ WKH %XUHDX DLPHG DW LQIUDVWUXFWXUH

DVVXUDQFH  7KH 6WUDWHJLF ,QWHOOLJHQFH 2SHUDWLRQV &HQWHU DOORZV WKH )%, WR

PRQLWRU LQFLGHQWVDQGFRRUGLQDWHUHVSRQVHVRQDQDWLRQDODQGSRWHQWLDOO\ZRUOG

ZLGH OHYHO   7KH )%, KDV GHYHORSHG SODQV WR GHDO ZLWK XQFRQYHQWLRQDO FULVLV

VLWXDWLRQV LQFOXGLQJ D 1XFOHDU 7HUURULVP 5HVSRQVH 3ODQ D &KHPLFDO%LRORJLFDO

,QFLGHQW &RQWLQJHQF\ 3ODQ WKH &ULWLFDO ,QFLGHQW 5HVSRQVH *URXS DQG WKH

+RVWDJH 5HVFXH 7HDP  7KH &RPSXWHU ,QWUXVLRQ DQG ,QIUDVWUXFWXUH 7KUHDW

$QDO\VLV &HQWHU ZDV HVWDEOLVKHG WR KDQGOH FRPSXWHUFRPPXQLFDWLRQV UHODWHG

LQIUDVWUXFWXUH DVVXUDQFH LVVXHV EXW LWV UROH KDV EHHQ H[SDQGHG WR GHYHORS WKH

H[SHUWLVHQHFHVVDU\WRGHDOZLWKDQ\ LQIUDVWUXFWXUH WKUHDW,QDGGLWLRQ WR WKHVH

SURJUDPV WKH )%, KDV GHYHORSHG DQ ,QIUDVWUXFWXUH 9XOQHUDELOLW\.H\ $VVHW

3URJUDP DV D FRXQWHU WHUURULVPPHFKDQLVP8QIRUWXQDWHO\ WKLV SURJUDP KDV

QRW UHDFKHG LWV IXOO SRWHQWLDO DQG FXUUHQWO\ KDV DQ RXWRIGDWH GDWDEDVH RQ WKH

NH\DVVHWVDQGDQLQVXIILFLHQWZDUQLQJV\VWHPWRDOHUWWKHJHQHUDOSXEOLF

 

61 Exec. Order 12333 § 1.14(b).

62 See FBI Authorities for Critical Infrastructure Incident Response 1, fn. 1 (October 11,

1996).

63 Examples of such statutes include: 18 U.S.C. § 1030(a)(5)(A) (computer fraud and related

activities); 18 U.S.C. § 2511 (interception of communications); 18 U.S.C. §§ 793-94

(espionage); 18 U.S.C. § 641 (theft of government property); 18 U.S.C. § 2153 (sabotage).

64 The National Security Threat List (1995) includes foreign power sponsored or coordinated

intelligence activities directed at denial of communications services, unauthorized monitoring

of communications systems, unauthorized disclosure of information on a communications

system, etc.

65 See FBI Authorities for Critical Infrastructure Incident Response at 6-7.
20

Department of Energy

Electrical Power Systems

7KH 'HSDUWPHQW RI (QHUJ\ '2( KDV VWDWXWRU\ DXWKRULW\ WR LPSOHPHQW

PHDVXUHVIRUSURWHFWLRQRIWUDQVPLVVLRQDQGUHODWHGIDFLOLWLHVWKHPLQLPL]DWLRQRI

FRQVHTXHQFHV RI DWWDFN DQG UHFRQVWLWXWLRQ IROORZLQJ DWWDFN IRU '2(RZQHG

IDFLOLWLHV   7KLV DXWKRULW\ LV YHVWHG LQ ILYH GLIIHUHQW 3RZHU 0DUNHWLQJ

$GPLQLVWUDWLRQV 3:$V $ODVND 3RZHU $XWKRULW\ %RQQHYLOOH 3RZHU

$GPLQLVWUDWLRQ 6RXWKHDVWHUQ 3RZHU $GPLQLVWUDWLRQ DQG :HVWHUQ $UHD 3RZHU

$GPLQLVWUDWLRQ 6RXWKZHVWHUQ 3RZHU $GPLQLVWUDWLRQ ZKLFK GHYHORSHG WKH

PHFKDQLVPV IRUXVLQJ WKHLU LQIUDVWUXFWXUHDVVXUDQFHDXWKRULW\ RQDQ LQGLYLGXDO

EDVLV  ,Q DGGLWLRQ WKH 'HIHQVH 3URGXFWLRQ $FW RI  PD\ EH XVHIXO LQ WKH

FDVHRIDQHQHUJ\HPHUJHQF\,WDOORZV WKH3UHVLGHQW WRUHTXLUHSHUIRUPDQFH RI

FRQWUDFWV RQ D SULRULW\ EDVLV DQG WR DOORFDWH PDWHULDOV DQG UHVRXUFHV DV

§QHFHVVDU\ RU DSSURSULDWH WR SURPRWH WKH QDWLRQDO GHIHQVH ̈  86& DSS 

F DXWKRUL]HV WKH 3UHVLGHQW WR PDNH WKH SULRULWL]DWLRQ RI FRQWUDFWV RU

DOORFDWLRQRIUHVRXUFHVLQRUGHUWRPD[LPL]HGRPHVWLFHQHUJ\VXSSOLHV)HDWXUHV

RIWKH'3$VXFKDV9ROXQWDU\$JUHHPHQW$XWKRULW\DQGWKH'3$ORDQDQGJUDQW

IXQGFRXOGDOVREHXVHGIRULQIUDVWUXFWXUHDVVXUDQFH

:KLOH '2( KDV QR VSHFLILF DXWKRULW\ IRU LQIUDVWUXFWXUH DVVXUDQFH RYHU QRQ

)HGHUDOIDFLOLWLHVWKHUHDUHWZRVWDWXWHVZKLFKSRWHQWLDOO\FRXOGEHXVHGIRUVXFK

SXUSRVHV  7KH 3XEOLF 8WLOLWLHV 5HJXODWRU\ 3ROLFLHV $FW 3853$ JLYHV '2(

DXWKRULW\ WR JDWKHU LQIRUPDWLRQ DQG PDNH UHFRPPHQGDWLRQV WR LQGXVWU\

UHJDUGLQJ HOHFWULF HQHUJ\ WUDQVPLVVLRQ V\VWHP UHOLDELOLW\   ([HFXWLYH 2UGHU

 DOORZV FRQGLWLRQV WR EH DWWDFKHG §DV WKH SXEOLF LQWHUHVWPD\ UHTXLUH ̈ WR

SHUPLWV IRU HOHFWULFDO SRZHU WUDQVPLVVLRQ DFURVV WKH 86 ERUGHU   6WDWXWRU\

YHKLFOHV DYDLODEOH IRU WKH UHFRQVWLWXWLRQ RI HOHFWULFDO SRZHU V\VWHPV LQFOXGH WKH

 

66 This authority is held by various Power Marketing Administrations (PWAs) and is

contained in their respective enabling acts. See 16 U.S.C. § 832 et seq; 16 U.S.C. § 838; 16

U.S.C. § 837-837h; 16 U.S.C. § 839; 43 U.S.C. § 620 et seq.; 16 U.S.C. § 837g-1; 16 U.S.C.

§ 825s.

67 50 U.S.C. app. § 2061 et seq.

68 50 U.S.C. app. § 2071(a).

69 16 U.S.C. § 824-2(b).

70 Exec. Order 10485 § 1(a)(3).
21

'HIHQVH 3URGXFWLRQ $FW RI  DQG WKH )HGHUDO 3RZHU $FW  7KH ODWWHU

DXWKRUL]HV '2( WR RUGHU WHPSRUDU\ LQWHUFRQQHFWLRQV JHQHUDWLRQ DQG

WUDQVPLVVLRQRIHOHFWULFHQHUJ\LQHPHUJHQF\VLWXDWLRQV

'2( DOVR KDV DXWKRULW\ ZLWK UHVSHFW WR QXFOHDU HQHUJ\ IDFLOLWLHV  7KH $WRPLF

(QHUJ\$FWRI $($SURYLGHVWKHJHQHUDODXWKRULW\ IRUPDLQWHQDQFHDQG

SURWHFWLRQ RI QXFOHDU IDFLOLWLHV RZQHG E\ WKH 8QLWHG 6WDWHV DQG XQGHU '2(

FRQWURO  7KH $($ DOORZV WKH '2( WR SURPXOJDWH UHJXODWLRQV DQG RUGHUV WR

SURWHFWUHDODQGSHUVRQDOSURSHUW\UHVWULFWGDWDJXDUGDJDLQVW ORVVRUGLYHUVLRQ

RIVSHFLDOQXFOHDUPDWHULDODQGJRYHUQGHVLJQORFDWLRQDQGRSHUDWLRQVUHODWHGWR

VXFK IDFLOLWLHV  ,QFOXGHG DPRQJ WKHVH SRZHUV LV D OLPLWHG DUUHVW DXWKRULW\ DQG

DXWKRUL]DWLRQ WR DOORZ FHUWDLQ HPSOR\HHV WR FDUU\ ILUHDUPV  7KH $($ DOVR

DXWKRUL]HV WKH 3UHVLGHQW WR XVH WKH SRZHUV RI DQ\ JRYHUQPHQW DJHQF\ DV

QHFHVVDU\ WR SURWHFW DJDLQVW XQODZIXO GLVVHPLQDWLRQ RI UHVWULFWHG GDWD DQG WR

VDIHJXDUG'2(IDFLOLWLHVHTXLSPHQWPDWHULDOVDQGRWKHUSURSHUW\'2(QXFOHDU

IDFLOLWLHV DUH DOVR SURWHFWHG XQGHU WKH $($ IURP XQDXWKRUL]HG SKRWRJUDSK\

PDSSLQJRUGUDZLQJV7KH3UHVLGHQWaVSRZHUVLQHPHUJHQF\VLWXDWLRQVXQGHUWKH

'HIHQVH3URGXFWLRQ$FWH[WHQGWRQXFOHDUIDFLOLWLHVERWKXQGHU'2(FRQWURODQG

SULYDWHDQGPD\ EHXVHG WR UHHVWDEOLVK YLWDO FDSDELOLWLHV'2(KDVQR IXUWKHU

DXWKRULW\ RYHU QRQIHGHUDO QXFOHDU IDFLOLWLHV WR UHTXLUH LQIUDVWUXFWXUH DVVXUDQFH

PHDVXUHVEXWWKH1XFOHDU5HJXODWRU\&RPPLVVLRQGRHVKDYHVXFKDXWKRULW\

2WKHU JRYHUQPHQW HQWLWLHV ZLWK D VWDNH LQ HOHFWULFDO SRZHU V\VWHPV SURWHFWLRQ

LQFOXGH 7KH )HGHUDO (QHUJ\ 5HJXODWRU\ &RPPLVVLRQ WKH 7HQQHVVHH 9DOOH\

$XWKRULW\ WKH 'HSDUWPHQW RI WKH ,QWHULRU DQG WKH 86 $UP\ &RUSV RI

(QJLQHHUV

Gas and Oil Storage and Transportation

:LWKUHVSHFWWR'2(RZQHG IDFLOLWLHVWKH(QHUJ\3ROLF\DQG&RQVHUYDWLRQ$FW

DQG WKH 'HSDUWPHQW RI (QHUJ\ 2UJDQL]DWLRQ $FW DXWKRUL]H WKH 6HFUHWDU\ RI

(QHUJ\ WR HVWDEOLVK RSHUDWH DQG SURWHFW WKH SK\VLFDO VHFXULW\ RI WKH 6WUDWHJLF

3HWUROHXP 5HVHUYH 635 RLO VWRUDJH DQG WUDQVSRUWDWLRQ V\VWHPV LQ /RXLVLDQD

DQG7H[DV7KHDXWKRULW\WRSURWHFWWKH635LQFOXGHVWKHSRZHUWRWDNHDFWLRQWR

GHWHUWUHVSDVVDWWKRVHIDFLOLWLHV7KH6HFUHWDU\RI(QHUJ\DOVRKDVDXWKRULW\WR

 

71 16 U.S.C. § 791a et seq.

72 42 U.S.C. § 2011 et seq.

73 42 U.S.C. §§ 6231-6241.

74 42 U.S.C. §§ 7270a-7270b.

75 The statute conferring authority to make regulations prohibiting trespass, 50 U.S.C. §

7270b(a), and the regulations that actually prohibit trespass, 10 C.F.R. § 1048.5, define

trespass slightly differently. The Secretary of Energy is given the broad power to issue
22

RSHUDWH DQG SURWHFW WKH 1DYDO 3HWUROHXP DQG 2LO 6KDOH 5HVHUYHaV RLO DQG JDV

SURGXFWLRQ V\VWHPV LQ &DOLIRUQLD 8WDK DQG :\RPLQJ  :LWK UHVSHFW WR

UHHVWDEOLVKLQJYLWDOFDSDELOLWLHVUHODWHGWRJDVDQGRLOVWRUDJHDQGWUDQVSRUWDWLRQ

WKH'HIHQVH3URGXFWLRQ$FWRIPD\EHXVHG LQPXFKWKHVDPHZD\DVZLWK

HOHFWULFDOSRZHUV\VWHPV

'2( KDV QR VSHFLILF DXWKRULW\ WR UHTXLUH LQIUDVWUXFWXUH DVVXUDQFH PHDVXUHV RI

QRQIHGHUDO IDFLOLWLHV+RZHYHU WKH1DWXUDO*DV$FWXQGHUZKLFK'2(KDV WKH

SRZHUWRJUDQWSHUPLWVIRULPSRUWDQGH[SRUWRIQDWXUDOJDVPD\KDYHSRWHQWLDO

XVHVIRU LQIUDVWUXFWXUHDVVXUDQFHPHDVXUHV LQWKDW LWDOORZVWKH)HGHUDO(QHUJ\

5HJXODWRU\&RPPLVVLRQ)(5&WRJUDQWWKHSHUPLWVVXEMHFWWRFRQGLWLRQVDQG

PRGLILFDWLRQV WKDW LW GHHPV QHFHVVDU\ RU DSSURSULDWH  6LJQLILFDQW VWDWXWRU\

DXWKRULW\LVLQSODFHIRUWKHUHHVWDEOLVKLQJRIYLWDOFDSDELOLWLHVRIWKHJDVDQGRLO

HQHUJ\ LQIUDVWUXFWXUH  7KH 'HIHQVH 3URGXFWLRQ $FW RI  DV ZLWK HOHFWULFDO

V\VWHPV JLYHV WKH 3UHVLGHQW DXWKRULW\ WR FUHDWH SULRULWLHV IRU FRQWUDFW

SHUIRUPDQFH DQG DOORFDWLRQ RI UHVRXUFHV XQGHU DSSURSULDWH FRQGLWLRQV7KH $FW

DOVRIDFLOLWDWHVFRRSHUDWLRQEHWZHHQJDVDQGRLOVHUYLFHFRPSDQLHVLQWKHFDVHRI

HPHUJHQF\ E\ SURYLGLQJ D OLPLWHG DQWLWUXVW GHIHQVH IRU LQGXVWU\ SDUWLFLSDQWV

YROXQWDULO\KHOSLQJWKH86ZLWKHPHUJHQF\SUHSDUHGQHVV7KHVDPH$FWDOVR

SURYLGHVWKH3UHVLGHQWZLWKWKHDXWKRULW\ WR WUDLQDQG HPSOR\SHUVRQV IURP WKH

SULYDWHVHFWRUWRIDFLOLWDWHSODQQLQJIRUDQGUHVSRQGLQJWRHPHUJHQFLHV,QWKH

FDVH RI DQ H[LVWLQJ RU LPPLQHQW §VHYHUH QDWXUDO JDV VKRUWDJH HQGDQJHULQJ WKH

VXSSO\ RI QDWXUDO JDV ̈ WKH 3UHVLGHQW LV DXWKRUL]HG WR DSSURYH SXUFKDVHV RI

QDWXUDO JDV DQG WR DOORFDWH VXSSOLHV RI QDWXUDO JDV LQ LQWHUVWDWH FRPPHUFH

8QGHU LGHQWLFDO FLUFXPVWDQFHV WKH 3UHVLGHQW LV DOVR DXWKRUL]HG WR SURKLELW WKH

EXUQLQJ RI QDWXUDO JDV E\ HOHFWULFDO SRZHU SODQWV RU PDMRU IXHOEXUQLQJ

LQVWDOODWLRQV  7KH 3RZHUSODQW DQG ,QGXVWULDO )XHO 8VH $FW DOORZV WKH

3UHVLGHQWFRQWURORYHUWKHDOORFDWLRQDQGEXUQLQJRIFRDOGXULQJ§DVHYHUHHQHUJ\

VXSSO\LQWHUUXSWLRQ ̈

 

regulations relating to “the entry upon or carrying, transporting, or otherwise introducing or

causing to be introduced any dangerous weapon, explosive, or other dangerous instrument or

material likely to produce substantial injury or damage to persons or property.” The actual

regulation prohibiting trespass addresses “willful unauthorized entry” and “willful

unauthorized introduction of weapons or dangerous materials.”

76 41 U.S.C. § 251 et seq.

77 See infra p. 53-56 discussing FERC’s authorities.

78 15 U.S.C. § 717b(a).

79 50 U.S.C. app. § 2158.

80 50 U.S.C. app. § 2160.

81 15 U.S.C. §§ 3362-3363.

82 15 U.S.C. § 717z & 16 U.S.C. § 2601 et seq.

83 42 U.S.C. § 8301 et seq.
23

Department of Transportation

7KH 2IILFH RI ,QWHOOLJHQFH DQG 6HFXULW\ 2,6 RSHUDWHV XQGHU WKH 6HFUHWDU\ RI

7UDQVSRUWDWLRQDQGLVFKDUJHGZLWKDVVHVVLQJLQWHOOLJHQFHLQIRUPDWLRQUHODWLQJWR

ORQJWHUP WUDQVSRUWDWLRQVHFXULW\GHYHORSLQJ SROLFLHV DQG VWUDWHJLHV IRU GHDOLQJ

ZLWK WKUHDWV WR WUDQVSRUWDWLRQ VHFXULW\ FRRUGLQDWLQJ FRXQWHUPHDVXUHV ZLWK

DSSURSULDWH )HGHUDO GHSDUWPHQWV DQG VHUYLQJ DV WKH SULPDU\ OLDLVRQ ZLWK WKH

LQWHOOLJHQFH DQG ODZ HQIRUFHPHQW FRPPXQLW\  7KH  SULPDU\ ODZ HQIRUFHPHQW

DJHQF\XQGHU WKH'HSDUWPHQW RI7UDQVSRUWDWLRQ LV WKH &RDVW*XDUGZKLFKKDV

MXULVGLFWLRQRYHUHQIRUFHPHQWRIFULPLQDO ODZVRYHUWKHKLJKVHDVDQGZDWHUVRI

WKH8QLWHG6WDWHV

Telecommunications

7KH&RDVW*XDUGDQGWKH)HGHUDO+LJKZD\$GPLQLVWUDWLRQKDYHLQWHUQDODQGRU

GHSDUWPHQWZLGH FRPSXWHU VHFXULW\ PHDVXUHV LQ SODFH  7KH 6DLQW /DZUHQFH

6HDZD\'HYHORSPHQW&RUSRUDWLRQ 6/6'&KDV HVWDEOLVKHG DQ2SHUDWLRQV DQG

&RQWLQJHQF\ 3ODQ FRQFHUQLQJ VHFXULW\ DQG GLVDVWHUEDFNXS UHFRYHU\  7KH )$$

DOVRKDV DQ LQWHUQDO VHFXULW\ SURJUDP IRU LWV FRPSXWHU V\VWHPV DV UHTXLUHG WKH

&RPSXWHU6HFXULW\$FWRI

Gas and Oil Storage and Transportation

7KH 6HFUHWDU\ RI 7UDQVSRUWDWLRQ KDV WKH VWDWXWRU\ DXWKRULW\ WR SUHVFULEH

PLQLPXPVDIHW\VWDQGDUGVIRUWUDQVSRUWDWLRQRIJDVDQGKD]DUGRXV OLTXLGVDQG

IRU RSHUDWLRQ RI SLSHOLQH IDFLOLWLHV JHQHUDOO\  7KH 5HVHDUFK DQG 6SHFLDO

3URJUDPV $GPLQLVWUDWLRQ 563$ LV FKDUJHG ZLWK UHJXODWLQJ SLSHOLQHV DQG KDV

LPSOHPHQWHGQXPHURXVUHJXODWLRQVWRWKDWHQG563$KDVLQSODFHUHTXLUHPHQWV

IRU GHVLJQ DQG LQVWDOODWLRQ RI SLSH FRPSRQHQWV RSHUDWLRQ DQG PDLQWHQDQFH

SURFHGXUHV DGGUHVVLQJ FRQWLQXLQJ VXUYHLOODQFH DQG HPHUJHQF\ UHVSRQVH OLQH

SDWUROOLQJWUDLQLQJILUHILJKWLQJHTXLSPHQWDQGVHFXULW\DQGGDPDJHSUHYHQWLRQ

SURJUDPV  6LPLODU VWDWXWRU\ DXWKRULW\ DQG UHJXODWRU\ UHTXLUHPHQWV H[LVW IRU

 

84 Pub. Law No. 100-235.

85 49 U.S.C. § 60102.

86 See, e.g., 49 C.F.R. Part 192, subpart D; 49 C.F.R. §§ 195.116, 195.254, & 195.258 (design

and installation of components); 49 C.F.R. § 192.613; 49 C.F.R. § 192.615; 49 C.F.R. §

195.402 (c)-(d) (surveillance and emergency response); 49 C.F.R. §§ 192.705 & 192.721 (line

patrol); 49 C.F.R. § 195.403 (training); 49 C.F.R. §§ 195.430 & 195.436 (firefighting and

security); 49 C.F.R. §§ 192.614 & 195.442 (damage prevention).
24

OLTXHILHG QDWXUDO JDV SLSHOLQH IDFLOLWLHV DV ZHOO  7KH 2IILFH RI 3LSHOLQH 6DIHW\

236 LV FKDUJHG ZLWK HQIRUFLQJ SLSHOLQH VDIHW\ PHDVXUHV  $PRQJ WKH

HQIRUFHPHQW PHDVXUHV DYDLODEOH WR 236 DUH FLYLO SHQDOWLHV FRPSOLDQFH RUGHUV

DQGKD]DUGRXVIDFLOLW\RUGHUV,QDGGLWLRQ86&PDNHVLWDFULPHWR

NQRZLQJO\DQGZLOOIXOO\GDPDJHRUGHVWUR\RUDWWHPSW WRGDPDJH RUGHVWUR\DQ

LQWHUVWDWHWUDQVPLVVLRQRUKD]DUGRXVOLTXLGSLSHOLQHIDFLOLW\236FRRUGLQDWHVLWV

WUDQVSRUWDWLRQVDIHW\UHVSRQVLELOLWLHVZLWKWKH'HSDUWPHQWRI(QHUJ\&XUUHQWO\

236 LVZRUNLQJWRGHYHORSDFRQWLQJHQF\SODQWRDGGUHVVVHFXULW\DQGWHUURULVP

LVVXHV ZLWKLQ WKH '27 DV ZHOO DV SDUWLFLSDWLQJ LQ LQWHUDJHQF\ VHFXULW\

LQIRUPDWLRQPHHWLQJV

7KH &RDVW *XDUG DOVR KDV DXWKRULW\ RYHU WKH WUDQVSRUWDWLRQ RI RLO DQG JDV DV

ZHOODVRWKHUKD]DUGRXVOLTXLGVWRWKHH[WHQWWKH\DUHWUDQVSRUWHGRYHUWKHKLJK

VHDV  6DIHW\ UHJXODWLRQV LQFOXGH DGGLWLRQDO UHTXLUHPHQWV IRU YHVVHOV WKDW

WUDQVSRUW RLO RUKD]DUGRXVPDWHULDO LQEXONDV FDUJR RU FDUJR UHVLGXH LQFOXGLQJ

GRXEOH KXOO UHTXLUHPHQWV  7KH &RDVW *XDUG KDV DOVR LPSOHPHQWHG UHJXODWLRQV

DQGUHTXLUHPHQWVUHJDUGLQJWKHWUDQVSRUWDWLRQRIRLODVSDUWRIDQHQYLURQPHQWDO

LQLWLDWLYHDQGRLOSROOXWLRQUHVSRQVH

6/6'&DOVRKDVDQHPHUJHQF\UHVSRQVHSODQLQSODFHIRUHYHQWVVXFKDVRLOVSLOOV

WKDWDIIHFWWKH6W/DZUHQFH6HDZD\

Transportation

7KH &RDVW *XDUGaV UROH LQ WKH SURWHFWLRQ RI WKH WUDQVSRUWDWLRQ LQIUDVWUXFWXUH

UHODWHVSULPDULO\WRERDWLQJ7KH&RDVW*XDUG&RPPDQGDQWKDVDXWKRULW\RYHU

ERDWLQJ VDIHW\ DQG PD\ VHW DQG UHTXLUH FRPSOLDQFH ZLWK PDQXIDFWXULQJ

UHTXLUHPHQWV DQG VWDQGDUGV  %RWK FLYLO SHQDOWLHV DQG FULPLQDO VDQFWLRQV DUH

DYDLODEOH DV HQIRUFHPHQW PHFKDQLVPV  7KH &RDVW *XDUG PD\ HQJDJH LQ

VXUYHLOODQFHDQGERDUGLQJDFWLYLWLHVWRPRQLWRUFRPSOLDQFH

7KH )HGHUDO +LJKZD\ $GPLQLVWUDWLRQ )+:$ KDV D WKUHHSDUW UROH LQ

WUDQVSRUWDWLRQ LQIUDVWUXFWXUH DVVXUDQFH  )+:$ SURYLGHV IHGHUDO ILQDQFLDO

DVVLVWDQFH WR 6WDWHV IRU FRQVWUXFWLRQ DQG LPSURYHPHQW RI KLJKZD\V LW

DGPLQLVWHUV WKHKLJKZD\EULGJH LQVSHFWLRQ DQG UHKDELOLWDWLRQ SURJUDP DQG WKH

HPHUJHQF\UHOLHISURJUDPWRDVVLVW LQWKHUHSDLURUUHFRQVWUXFWLRQRI)HGHUDODLG

KLJKZD\VDQG FHUWDLQ IHGHUDO URDGV$VSDUW RI WKH(PHUJHQF\5HOLHI3URJUDP

)+:$PD\SURYLGHIXQGLQJIRUHPHUJHQF\UHOLHIDIWHUVHULRXVGDPDJH LVFDXVHG

 

87 See 49 U.S.C. § 60103; 49 C.F.R. Part 193.

88 49 C.F.R. Part 190.

89 See, e.g., 33 U.S.C. § 1225, 1231; 46 U.SC. § 3306; 46 U.S.C. § 3703; 49 U.S.C. app. §§

1801-19.
25

WR KLJKZD\V URDGV DQG WUDLOV WKDW KDV RFFXUUHG DV WKH UHVXOW RI D QDWXUDO

GLVDVWHURUFDWDVWURSKLFIDLOXUHIURPDQ\H[WHUQDOFDXVH

7KH1DWLRQDO+LJKZD\7UDIILF 6DIHW\ $GPLQLVWUDWLRQ 1+76$ LV FKDUJHG ZLWK

VHWWLQJDQG HQIRUFLQJVDIHW\VWDQGDUGV IRUPRWRU YHKLFOHV DQGPDNLQJ JUDQWV WR

VWDWHV WR KHOS RUJDQL]H KLJKZD\ VDIHW\ SURJUDPV LQ RUGHU WR UHGXFH GHDWKV

LQMXULHVDQGHFRQRPLFORVVHVUHVXOWLQJIURPPRWRUYHKLFOHFUDVKHV

:KLOH WKH )HGHUDO 7UDQVLW $GPLQLVWUDWLRQ )7$ GRHV QRW FXUUHQWO\ KDYH DQ\

PHDVXUHVLQSODFHVSHFLILFDOO\DGGUHVVLQJLQIUDVWUXFWXUHDVVXUDQFHWKHVWDWXWRU\

JUDQWV RI DXWKRULW\ WR WKH 6HFUHWDU\ RI 7UDQVSRUWDWLRQ UHODWLQJ WR WKH )7$

PLVVLRQDUHEURDGHQRXJKWRHQFRPSDVVLQIUDVWUXFWXUHDVVXUDQFHPHDVXUHV

86&SURYLGHVWKHJHQHUDODXWKRULW\IRUWKH6HFUHWDU\RI7UDQVSRUWDWLRQ

WRPDNHJUDQWVIRUFULPHSUHYHQWLRQDQGVHFXULW\*UDQWVDUHDOVRDXWKRUL]HGIRU

PDVV WUDQVSRUWDWLRQ VHFXULW\ SURMHFWV VXFK DV LQFUHDVHG OLJKWLQJ DW WUDQVLW

VWDWLRQV FDPHUD VXUYHLOODQFH DQG HPHUJHQF\ SKRQHV  7KH 9LROHQW &ULPH

&RQWURO DQG /DZ (QIRUFHPHQW $FW RI  PDNHV DYDLODEOH XS WR WHQ PLOOLRQ

GROODUVLQJUDQWVIRUWKHVHVDPHSXUSRVHV

6/6'&KDVDQHPHUJHQF\UHVSRQVHSODQLQSODFHWRGHDOZLWKGDPDJHWRWXQQHOV

XQGHUWKHFDQDOVRUYHVVHODFFLGHQWVLQWKH6HDZD\

7KH 0DULWLPH $GPLQLVWUDWLRQ 0$5$' FRQGXFWV D SUHSDUHGQHVV SURJUDP IRU

LQGXVWULDO PRELOL]DWLRQ RI DOO PDWHULDOV UHODWHG WR VKLSSLQJ YLD YROXQWDU\

DJUHHPHQWV ZLWK YHVVHO DQG HTXLSPHQW RZQHUV  'XULQJ QDWLRQDO VHFXULW\

HPHUJHQFLHV 0$5$' LV FKDUJHG XQGHU WKH 'HIHQVH 3URGXFWLRQ $FW ZLWK

FRQWUROOLQJSRUWV,QDGGLWLRQ0$5$'PDLQWDLQVWKH1DWLRQDO'HIHQVH5HVHUYH

)OHHW ZKLFK ZKHQ FDOOHG WR GXW\ RSHUDWHV XQGHU WKH 1DY\ DQG LV DQ HVVHQWLDO

SDUW RI WKH QDWLRQDO GHIHQVH ZDWHUERUQH VXSSO\ QHWZRUN  0$5$' LV DOVR

UHVSRQVLEOH IRUGHYHORSPHQWDQGPDLQWHQDQFH RI WKH0HUFKDQW0DULQHDW OHYHOV

VXIILFLHQW WR FDUU\ WKH QDWLRQaV ZDWHUERUQH FRPPHUFH DV ZHOO DV IRUHLJQ

FRPPHUFH DQG WR DFW DV D PLOLWDU\ DX[LOLDU\ GXULQJ D QDWLRQDO HPHUJHQF\

0$5$' FKDLUV WKH 6HFUHWDU\ RI 7UDQVSRUWDWLRQaV $G +RF :RUNLQJ *URXS RQ

0DULWLPH 6HFXULW\ $ZDUHQHVV DQG SURGXFHV WKH0DULWLPH 6HFXULW\ 5HSRUW RQ D

TXDUWHUO\EDVLV7RJHWKHUZLWK6HFUHWDU\RI'HIHQVH0$5$'ZRUNVWRSURPRWH

DQG GHYHORS SRUWV DQG WUDQVSRUWDWLRQ IDFLOLWLHV LQ FRQQHFWLRQ ZLWK ZDWHU

FRPPHUFHDQGWRDOOHYLDWHSRUWFRQJHVWLRQ

 

90 23 U.S.C. § 125; 23 C.F.R. Part 668.

91 The FTA provides financial and planning assistance for the design, building, and operation

of rail, bus and paratransit systems.

92 See 49 U.S.C. § 5307(d)(1)(J)(i).

93 49 U.S.C. § 13931.
26

7KH )HGHUDO 5DLOURDG $GPLQLVWUDWLRQ )5$ KDV WKH UHVSRQVLELOLW\ IRU WKH

HVWDEOLVKPHQWRIVDIHW\VWDQGDUGVIRUUDLOURDGVDVZHOODVLQYHVWLJDWRU\DXWKRULW\

RYHUUDLODFFLGHQWV7KH)5$KDVDWZRSDUWUROHLQWUDQVSRUWDWLRQLQIUDVWUXFWXUH

DVVXUDQFH  )LUVW GXULQJ QDWLRQDO HPHUJHQFLHV WKH )5$ LV UHVSRQVLEOH IRU WKH

DFTXLVLWLRQ RI WUDQVSRUWDWLRQ UHTXLUHPHQWV ,Q GRLQJ VR WKH)5$PD\ GUDZ RQ

WKH 3UHVLGHQWaV SULRULWL]DWLRQ DXWKRULW\ XQGHU WKH 'HIHQVH 3URGXFWLRQ $FW  ,Q

DGGLWLRQ WKH )5$ KDV EHHQ DFWLYH LQ D FRXQWHUWHUURULVP HIIRUW GHVLJQHG DW

SURWHFWLQJ WKH UDLO V\VWHP IURP DWWDFN  &ULPLQDO VWDWXWHV DUH DOUHDG\ LQ SODFH

ZKLFK SURKLELW WDUJHWLQJ RI RUJDQL]DWLRQV HQJDJHG LQ LQWHUVWDWH FRPPHUFH RU

SURSHUW\ RI WKH8QLWHG6WDWHV7KURXJK WKH 5DLOURDG3ROLFH 5XOH LPSOHPHQWHG

XQGHU WKH &ULPH &RQWURO $FW RI  UDLOURDG SROLFH RIILFHUV DUH DXWKRUL]HG WR

HQIRUFHWKHODZVRIDQ\VWDWHZKHUHWKHLUHPSOR\HURZQVSURSHUW\VRORQJDVWKHLU

HQIRUFHPHQW DFWLRQ LV IRU WKH OLPLWHG SXUSRVH RI SURWHFWLQJ UDLOURDG SURSHUW\

SHUVRQQHOSDVVHQJHUVRUFDUJR7KH)5$KDVDOVRGUDIWHGDQDQWLWHUURULVPELOO

WRDIIRUGWKHUDLOV\VWHPJUHDWHUSURWHFWLRQIURPWHUURULVWDWWDFN

7KH )HGHUDO $YLDWLRQ $JHQF\ )$$ LV DXWKRUL]HG WR DGRSW DQG HQIRUFH

UHDVRQDEOH UXOHV UHJXODWLRQV RUGHUV DQG PLQLPXP VDIHW\ VWDQGDUGV IRU FLYLO

DYLDWLRQ  7KH )$$ KDV DOVR EHHQ JUDQWHG DXWKRULW\ RYHU UHJXODWLRQ DQG

HQIRUFHPHQW RI VFUHHQLQJ SURFHGXUHV RI DLU SDVVHQJHUV DQG FDUJR IRU ZHDSRQV

RYHUDOO IHGHUDO UHVSRQVLELOLW\ IRU DLU SLUDF\ DLUSRUW VHFXULW\ LQFOXGLQJ IRUHLJQ

DLUSRUWVWUDQVSRUWDWLRQRIKD]DUGRXVPDWHULDOVDQGGUXJWUDIILFNLQJ

Water Supply Systems

8QGHU WKH )HGHUDO :DWHU 3ROOXWLRQ &RQWURO $FW DQG WKH &RDVW *XDUGaV IHGHUDO

ODZ HQIRUFHPHQW DFWLYLWLHV'27PD\KDYH VRPH UHVSRQVLELOLW\ IRU DVVXULQJ WKH

VDIHW\RIWKHZDWHUVXSSO\

Federal Emergency Management

Agency (FEMA)

)(0$XQOLNHPDQ\ RI WKH RWKHUDJHQFLHVGLVFXVVHG LVQRWD UHJXODWRU\DJHQF\

DQG UHOLHV SULPDULO\ RQ JUDQWV WR HOLFLW FRPSOLDQFH ZLWK LWV SURJUDPV  )(0$aV

SURJUDPV DUH QRW OLPLWHG WR GLVDVWHU UHVSRQVH DQG LQGHHG HQFRPSDVV

SUHSDUDWLRQ PLWLJDWLRQ DQG FRRUGLQDWLRQ DFWLYLWLHV )(0$aV SUHSDUHGQHVV DQG

PLWLJDWLRQ DXWKRULW\ DQG DFWLYLWLHV PD\ EH PRUH EHQHILFLDO WR LQIUDVWUXFWXUH

DVVXUDQFHREMHFWLYHVWKDQLWVGLVDVWHUUHOLHIIXQFWLRQ

)(0$ LVDXWKRUL]HG WRVWXG\DQGGHYHORS HPHUJHQF\SUHSDUHGQHVVPHDVXUHV WR

SURWHFW OLIH DQG SURSHUW\ LQFOXGLQJ UHVHDUFK DQG VWXG\ RI WKH §EHVW PHWKRGV RI
27

WUHDWLQJ WKH HIIHFWV RI KD]DUGV ̈ §GHYHORSLQJ VKHOWHU GHVLJQV ̈ DQG §GHYHORSLQJ

HTXLSPHQW RU IDFLOLWLHV DQG HIIHFWLQJ WKH VWDQGDUGL]DWLRQ WKHUHRI WR PHHW

HPHUJHQF\ SUHSDUHGQHVV UHTXLUHPHQWV ̈ 7KLV JUDQW RI SRZHU LV SDUWLFXODUO\

EURDGZKHQ WKHVWDWXWRU\GHILQLWLRQV RI §KD]DUG ̈DQG §HPHUJHQF\SUHSDUHGQHVV ̈

DUHFRQVLGHUHG$§KD]DUG ̈LVGHILQHGDVDQHPHUJHQF\RUGLVDVWHUUHVXOWLQJIURP

HLWKHUDQDWXUDOGLVDVWHURUDQDFFLGHQWDORUKXPDQFDXVHGHYHQW ̈§(PHUJHQF\

3UHSDUHGQHVV ̈GHILQHGLQWKHVDPHVHFWLRQLQFOXGHVDOODFWLYLWLHV§WRSUHSDUHIRU

RUPLQLPL]HWKHHIIHFWVRIDKD]DUGXSRQWKHFLYLOLDQSRSXODWLRQWRGHDOZLWKWKH

LPPHGLDWH HPHUJHQF\ FRQGLWLRQVZKLFKZRXOG EH FUHDWHG E\ WKH KD]DUG DQG WR

HIIHFWXDWH HPHUJHQF\ UHSDLUV WR RU WKH HPHUJHQF\ UHVWRUDWLRQ RI YLWDO XWLOLWLHV

DQG IDFLOLWLHV GHVWUR\HG RU GDPDJHG E\ WKH KD]DUG ̈ 6SHFLILF PHDVXUHV

PHQWLRQHG LQ WKH VWDWXWH LQFOXGH  GHYHORSPHQW RI RUJDQL]DWLRQV RSHUDWLRQDO

SODQV DQG WUDLQLQJ DQG UHFUXLWPHQW RI SHUVRQQHO FRQWURO RI WUDIILF ILUH UHVFXH

DQGPHGLFDOVHUYLFHVPRQLWRULQJIRUGDQJHURIVSHFLDOZHDSRQVXQH[SORGHGERPE

UHFRQQDLVVDQFH DQG HVVHQWLDO UHSDLU RU UHVWRUDWLRQ RI YLWDO IDFLOLWLHV ,Q

DGGLWLRQ WKH SRZHUV JUDQWHG WR WKH 'LUHFWRU RI )(0$ IRU HPHUJHQF\

SUHSDUHGQHVVPHDVXUHV LQFOXGH FRRUGLQDWLRQ DPRQJ IHGHUDO DJHQFLHV SURPRWLQJ

GHYHORSPHQW RI LQWHUVWDWH FRPSDFWV IRU GLVDVWHU UHVSRQVH DQG GHYHORSPHQW RI

HPHUJHQF\FRPPXQLFDWLRQVDQGZDUQLQJV\VWHPV

:KHQDQDUHDLVGHFODUHGDGLVDVWHUE\WKH3UHVLGHQW)(0$LVDXWKRUL]HGE\WKH

6WDIIRUG $FW WR PDNH JUDQWV WR WKH VWDWHV RI XS WR  SHUFHQW RI WKH FRVW RI

PHDVXUHVGHVLJQHGWRVXEVWDQWLDOO\UHGXFHWKHULVNRIIXWXUH ORVV LQWKDWDUHD 

$GGLWLRQDOO\ )(0$ PD\ WDNH DSSURSULDWH DFWLRQ WR PLWLJDWH IXWXUH KD]DUGV

ZKHQ LW PDNHV HPHUJHQF\ UHSDLUV WR RU UHEXLOGV EXLOGLQJV GDPDJHG E\

GLVDVWHU  )(0$ KDV VWDWXWRU\ DXWKRULW\ IRU  PLWLJDWLRQ RI IORRGDQG

HDUWKTXDNHKD]DUGVDQGIRUGDPVDIHW\

)(0$ LVDXWKRUL]HGE\WKH3UHVLGHQWWRFRRUGLQDWHUHYLHZDQGHYDOXDWHSODQV

IRUHPHUJHQF\SUHSDUHGQHVVE\H[HFXWLYHDJHQFLHV7KLVFKDUJH LQFOXGHVVXFK

 

94 42 U.S.C. § 5196(e).

95 42 U.S.C. 5195a(a)(1).

96 Id. § 5195a(a)(3).

97 Id.

98 See 42 U.S.C. § 5196(c), (g) & (h).

99 42 U.S.C. § 5170.

100 Id. § 5171(c).

101 42 U.S.C. § 4001 et seq.

102 42 U.S.C. § 7701 et seq.

103 33 U.S.C. § 467h.

104 See Exec. Order 12148 (1979).
28

IDFHWV RI HPHUJHQF\ SUHSDUHGQHVV DV ZDUQLQJ V\VWHPV VWDWH HPHUJHQF\

SUHSDUHGQHVV SODQV DQG SODQQLQJ WR UHGXFH WKH FRQVHTXHQFHV RI WHUURULVW

LQFLGHQWV:LWKUHVSHFWWRQDWLRQDOVHFXULW\SUHSDUHGQHVV)(0$LVWRZRUNZLWK

WKH1DWLRQDO6HFXULW\&RXQFLODQGFRRUGLQDWHDFWLYLWLHVZLWKIHGHUDODJHQFLHVDQG

VWDWHDQGORFDOJRYHUQPHQWV

)(0$ LV DOVR FKDUJHG ZLWK UHVSRQGLQJ WR GLVDVWHUV E\ UHQGHULQJ DVVLVWDQFH WR

VWDWH JRYHUQPHQWV DQG  RWKHU IHGHUDO DJHQFLHV LQ WKH IROORZLQJ FLUFXPVWDQFHV

)(0$ PD\ DVVLVW D IHGHUDO DJHQF\ GXULQJ D GLVDVWHU E\ PDNLQJ UHSDLUV WR

)HGHUDOIDFLOLWLHV,QDGGLWLRQ)(0$PD\UHQGHUGLVDVWHUDVVLVWDQFHZKHQWKH

3UHVLGHQW GHWHUPLQHV WKDW WKHUH LV DQ HPHUJHQF\ LQ DQ DUHD ZKHUH WKH 8QLWHG

6WDWHVH[HUFLVHVH[FOXVLYHRUSUHHPLQHQWUHVSRQVLELOLW\

Department of Commerce

7KH 'HSDUWPHQW RI &RPPHUFH KDV OLPLWHG EXW LPSRUWDQW OHJDO DXWKRULW\ IRU

SURWHFWLQJ FULWLFDO QDWLRQDO LQIUDVWUXFWXUHV ,WV UROH LQ LQIUDVWUXFWXUH DVVXUDQFH

LQPDQ\ LQVWDQFHV LVUHODWHGWRWKHH[SRUWRISURGXFWV7KH'HSDUWPHQWSOD\VD

FUXFLDO UROH LQ FRQWLQXLW\ RI JRYHUQPHQW VHUYLFHV WKURXJK LQWHUQDO DQG H[WHUQDO

UHJXODWLRQVUHJDUGLQJLQIRUPDWLRQDQGWHFKQRORJ\VHFXULW\

Telecommunications

7KH 1DWLRQDO 7HOHFRPPXQLFDWLRQV DQG ,QIRUPDWLRQ $GPLQLVWUDWLRQ 17,$ LV

DXWKRUL]HG WR DVVLJQ UDGLR IUHTXHQFLHV WR IHGHUDOO\RZQHG V\VWHPV XQGHU 

86&  E$    7KLV SRZHU LV DGPLQLVWHUHG WKURXJK WKH 2IILFH RI

6SHFWUXP0DQDJHPHQW$OOJRYHUQPHQW IUHTXHQFLHVDUHFROOHFWHG LQDGDWDEDVH

FDOOHGWKH*RYHUQPHQW0DVWHU)LOH*0)7KLVGDWDEDVHZLOOEHGXSOLFDWHGDQG

VWRUHG LQ DQ DGGLWLRQDO ORFDWLRQ LQ RUGHU WR FUHDWH UHGXQGDQF\  17,$ GRHV QRW

DOORZUHPRWHDFFHVVWRLWVPDLQIUDPHLQRUGHUWRSURWHFWWKLVGDWDEDVH

([HFXWLYH 2UGHU  JRYHUQV PDQDJHPHQW DQG DOORFDWLRQ RI

WHOHFRPPXQLFDWLRQV UHVRXUFHVGXULQJERWKQRQZDUWLPHDQGZDUWLPH FULVHV DQG

HPHUJHQFLHV7KH-RLQW7HOHFRPPXQLFDWLRQV5HVRXUFHV%RDUG-75%DVFUHDWHG

E\ WKH 2IILFH RI 6FLHQFH DQG 7HFKQRORJ\ 3ROLF\ 2673 ZLWKLQ WKH ([HFXWLYH

2IILFH RI WKH 3UHVLGHQW LV JLYHQ WKH SULPDU\ DXWKRULW\ IRU PDQDJLQJ

 

105 See Exec. Order 12656 (1988).

106 42 U.S.C. § 5171.

107 42 U.S.C. § 5191(b).
29

WHOHFRPPXQLFDWLRQV UHVRXUFHV GXULQJ QRQZDUWLPH HPHUJHQFLHV  17,$ LV D

PHPEHURIWKH-75%7KHWHOHFRPPXQLFDWLRQVIXQFWLRQIRUWKH1DWLRQDO6\VWHP

IRU(PHUJHQF\&RRUGLQDWLRQ16(&LVSHUIRUPHGE\-75%

'XULQJZDUWLPH17,$PD\ZRUNZLWKWKH1DWLRQDO6HFXULW\&RXQFLO16&DQG

2673LQDGYLVLQJWKH3UHVLGHQWZLWKUHJDUGWRUDGLRVSHFWUXPSULRULWLHV7KH

17,$ (PHUJHQF\ 5HDGLQHVV 3ODQ IRU 8VH RI WKH 5DGLR 6SHFWUXP LV FXUUHQWO\

XQGHU UHYLHZ  7KH SODQ DGGUHVVHV DFWLRQV WKDW PD\ EH WDNHQ WR SUHSDUH IRU

UHVSRQG WR RU UHFRYHU IURP DOO HPHUJHQF\ VLWXDWLRQV  3DUW ,,, RI WKH SODQ ZLOO

FRQWDLQWHOHFRPPXQLFDWLRQVVHUYLFHSULRULWLHVIRU5DGLRFRPPXQLFDWLRQVIRUXVHLQ

D3UHVLGHQWLDOO\GHFODUHG HPHUJHQF\XQGHU WKH &RPPXQLFDWLRQV $FW RI  DV

DPHQGHG

8QGHU WKH &RPPXQLFDWLRQV 6DWHOOLWH $FW RI  17,$ PD\ PDNH

UHFRPPHQGDWLRQV WR WKH 3UHVLGHQW WR HQVXUH WKH DYDLODELOLW\ DQG DSSURSULDWH

XWLOL]DWLRQ RI WKH FRPPXQLFDWLRQV VDWHOOLWH V\VWHP IRU JHQHUDO JRYHUQPHQW

SXUSRVHV  1R PHFKDQLVPV DUH FXUUHQWO\ LQ SODFH IRU PDNLQJ RU LPSOHPHQWLQJ

UHFRPPHQGDWLRQV

7KH%XUHDXRI([SRUW$GPLQLVWUDWLRQ%;$WKURXJKWKH'HIHQVH3ULRULWLHVDQG

$OORFDWLRQV 6\VWHP '3$6 DGPLQLVWHUV WKH 'HIHQVH 3URGXFWLRQ $FW '3$ DV

DPHQGHGE\WKH6WDIIRUG$FW8QGHUWKHDXWKRULW\RIWKHVHVWDWXWHV'3$6PD\

VHW SULRULWLHV LQ FRQWUDFWV DQG RUGHUV IRU LQGXVWULDO UHVRXUFHV WR PHHW QDWLRQDO

GHIHQVH UHTXLUHPHQWV  §1DWLRQDO GHIHQVH ̈ DV GHILQHG E\ WKH 6WDIIRUG $FW

LQFOXGHVFLYLO§HPHUJHQF\SUHSDUHGQHVV ̈7KXVSULRULW\IRUJRYHUQPHQWFRQWUDFWV

DQGRUGHUVPD\EHXVHGWRSUHSDUHIRUUHVSRQGWRRUUHFRYHU IURPERWKQDWXUDO

DQGKXPDQPDGHGLVDVWHUV

Electrical Power Systems

7KH%;$PD\XVHLWVSRZHUXQGHUWKH'3$IRUFUHDWLQJSULRULW\IRUJRYHUQPHQW

FRQWUDFWVDQGRUGHUVIRULQGXVWULDOUHVRXUFHVIRUQDWLRQDOGHIHQVHUHTXLUHPHQWVWR

UHFRQVWLWXWHFULWLFDOLQIUDVWUXFWXUHVDIWHUDWWDFN7KH6HFUHWDU\RI&RPPHUFHKDV

DGGLWLRQDODXWKRULW\XQGHUWKH,QWHUQDWLRQDO(PHUJHQF\(FRQRPLF3RZHUV$FW

WR LPSRVHH[SRUWFRQWUROVRQGXDOXVH LWHPV$GXDOXVH LWHP LV RQH WKDWKDV

 

108 Exec. Order 12472 § 2(c).

109 47 U.S.C. § 606.

110 47 U.S.C. § 721(a)(6).

111 50 U.S.C. § 1701 et seq.

112 The structure of these export controls is based on a prior law, since lapsed, the Export

Administration Act of 1979 (EAA), 50 U.S.C. app. § 2401 et seq. The International
30

ERWK SRWHQWLDO FRPPHUFLDO DQG PLOLWDU\ DSSOLFDWLRQV  7KH H[SRUW FRQWUROV DUH

DGPLQLVWHUHGE\ WKH %;$ DQGPD\ EHXVHG WR SURWHFWQDWLRQDO VHFXULW\ IRUHLJQ

SROLF\ DQG GRPHVWLF VKRUWDJHV  &XUUHQW UHJXODWLRQV LQ SODFH LQFOXGH H[SRUW

FRQWUROV IRU PRVW W\SHV RI ZHDSRQU\ FUXGH RLO DQG H[SRUWV WR FRXQWULHV

VXSSRUWLQJWHUURULVWRUJDQL]DWLRQV

Gas and Oil Storage and Transportation

6HH GLVFXVVLRQ RI SULRULWLHV LQ FRQWUDFWV XQGHU (OHFWULFDO 3RZHU 6\VWHPV VXSUD

S

Transportation

6HHGLVFXVVLRQRISULRULWLHVLQFRQWUDFWVXQGHU(OHFWULFDO3RZHU6\VWHPVVXSUD

S

Water Supply Systems

6HHGLVFXVVLRQRISULRULWLHVLQFRQWUDFWVXQGHU(OHFWULFDO3RZHU6\VWHPVVXSUD

S

Continuity of Government Operations

7KH 'HSDUWPHQW RI &RPPHUFH KDV PHDVXUHV LQ SODFH IRU WKH FRQWLQXLW\ RI LWV

VSHFLILFJRYHUQPHQWVHUYLFHV7KH%XUHDXRI&HQVXVDQGWKH1DWLRQDO7HFKQLFDO

,QIRUPDWLRQ 6HUYLFH KDYH PHFKDQLVPV LQ SODFH IRU WKH FRQWLQXLW\ RI WKHLU RZQ

IXQFWLRQVDQGIRUWKHSURWHFWLRQRIWKHLQIRUPDWLRQWKH\VWRUH&HQVXVKDVWKUHH

EDVLFPHFKDQLVPV IRU SURWHFWLQJ LQIRUPDWLRQ DQG HQVXULQJ FRQWLQXHG RSHUDWLRQ

86&HQVXUHVWKHFRQILGHQWLDOLW\RIGDWDVXEPLWWHGWR&HQVXVIURPSXEOLF

GLVFORVXUH,QDGGLWLRQWKH%XUHDXKDVDSODQIRUWKHSURWHFWLRQRIYLWDOUHFRUGV

7KHVH UHFRUGV LQFOXGH SODQV DQG SURFHGXUHV IRU DFFRPSOLVKPHQW RI PLVVLRQ

VWDQGE\ HPHUJHQF\GRFXPHQWV DQG GHOHJDWLRQV RI DXWKRULW\ OLQHV RI VXFFHVVLRQ

SURJUDP GRFXPHQWDWLRQ DQG EXGJHW HVWLPDWHV YLWDO $'3 UHFRUGV SURJUDPV

VRIWZDUH VSHFLILFDWLRQV FXVWRPHU GLUHFWRULHV DQG PDLOLQJ OLVWV VXUYH\ GHVLJQV

GHPRJUDSKLF DQG HFRQRPLF GDWD &XUUHQW 3RSXODWLRQ 6XUYH\ &HQVXV RI

0DQXIDFWXULQJDQGJHRJUDSKLFDQGFDUWRJUDSKLFUHIHUHQFHILOHV&HQVXVDOVRKDV

DGLVDVWHUUHFRYHU\FRQWLQJHQF\SODQ,W LVGHVLJQHGWRHQVXUHFRQWLQXHGQRUPDO

RSHUDWLRQGXULQJHPHUJHQFLHV7KHSODQ LQFOXGHVDQXPEHURIHOHPHQWVVXFKDV

SULRULWLHVHPHUJHQF\FKDLQRIFRPPDQGFRPSXWHUV\VWHPLQIRUPDWLRQDSODQIRU

 

Emergency Economic Powers Act (IEEPA), 50 U.S.C. § 1701 et seq., has replaced the EAA as

the relevant legal authority, but the implementing regulations have remained unchanged.

113 See 15 C.F.R. Part 730.
31

GHDOLQJZLWKSK\VLFDOGLVUXSWLRQV LQFOXGLQJHOHFWULFSRZHUGHVFULSWLRQVRIDODUP

V\VWHPVDQGWKHIXQFWLRQVRIWKHYDULRXVSRVWGLVDVWHUWHDPVWKDWDUHQHHGHGIRU

UHFRYHU\

7KH1DWLRQDO,QVWLWXWHRI6WDQGDUGVDQG7HFKQRORJ\ 1,67SOD\VDNH\UROH LQ

VHWWLQJJRYHUQPHQWZLGHVWDQGDUGVDQGJXLGHOLQHVWRDVVLVW)HGHUDODJHQFLHVLQ

SURWHFWLQJWKHLULQIRUPDWLRQWHFKQRORJ\UHVRXUFHVXQGHUDXWKRULW\JUDQWHGE\WKH

,QIRUPDWLRQ7HFKQRORJ\0DQDJHPHQW 5HIRUP $FW RI  DQG WKH &RPSXWHU

6HFXULW\$FWRI7KHODWWHUFKDUJHV1,67ZLWKFUHDWLQJFRPSXWHUVHFXULW\

VWDQGDUGV IRU WKH IHGHUDO JRYHUQPHQW 7KH 2IILFH RI 0DQDJHPHQW DQG %XGJHW

&LUFXODU 1R $ PDQGDWHV WKDW JRYHUQPHQW DJHQFLHV IROORZ WKH 1,67

VWDQGDUGV  1,67 LV JLYHQ DGGLWLRQDO DXWKRULW\ WR FRQGXFW UHVHDUFK DQG

GHYHORSPHQWWRFRRUGLQDWHHIIRUWVZLWKRWKHUDJHQFLHVDQG WRDVVLVW WKHSULYDWH

VHFWRU DVQHFHVVDU\ WR HIIHFWXDWH WKH JRDOV RI WKH &RPSXWHU 6HFXULW\ $FW0RVW

UHFHQWO\ 1,67 KDV HQWHUHG LQWR D SDUWQHUVKLS DUUDQJHPHQW ZLWK WKH 1DWLRQDO

6HFXULW\ $JHQF\ WR HVWDEOLVK WHVWLQJ PHWKRGV DQG REMHFWLYH PHDVXUHV IRU

FRPSXWHU VHFXULW\ SURGXFWV DQG WR DFFUHGLW SULYDWH ODEV WR FHUWLI\ VXFK

SURGXFWV

7KH17,$ DOVRKDV D &RQWLQXLW\ RI2SHUDWLRQV3ODQZKLFK LV FXUUHQWO\ LQ GUDIW

IRUP  ,W ZDV FUHDWHG SXUVXDQW WR 'HSDUWPHQW $GPLQLVWUDWLYH 2UGHU 

)HEUXDU\    $GGLWLRQDO UHTXLUHPHQWV IRU 17,$aV FRQWLQXLW\ SODQ FRPH

IURP )HGHUDO 3UHSDUHGQHVV &LUFXODU  ZKLFK UHTXLUHV WKDW 17,$ EH DEOH WR

IXQFWLRQRXWRIWKUHHORFDWLRQVLQFDVHRIHPHUJHQFLHV

Department of the Treasury

7KH 'HSDUWPHQW RI WKH 7UHDVXU\aV OHJDO DXWKRULW\ UHOHYDQW WR LQIUDVWUXFWXUH

DVVXUDQFH LV FRQFHQWUDWHG LQ WKH DUHD RI EDQNLQJ DQG ILQDQFH  7KH 7UHDVXU\aV

DXWKRULW\DQG UHVSRQVLELOLW\ IRU WKH IHGHUDO JRYHUQPHQWaV ILQDQFLDO WUDQVDFWLRQV

ERWK SD\PHQWV DQG FROOHFWLRQV DOVR LPSDFWV WKH FRQWLQXLW\ RI JRYHUQPHQW

RSHUDWLRQV

 

114 Pub. Law No. 104-106.

115 Pub. Law No. 100-235.

116 See also discussion of NSA authorities and the National Information Assurance

Partnership infra p. 31.
32

Banking and Finance

7KH 'HSDUWPHQW RI WKH 7UHDVXU\ FDQ LQIOXHQFH RU FRQWURO WKH HIILFLHQF\ DQG

VHFXULW\ RI WKH ILQDQFLDO PDUNHWSODFH WKURXJK GLIIHUHQW PHFKDQLVPV  7KH

3UHVLGHQWaV:RUNLQJ*URXSRQ)LQDQFLDO0DUNHWV)0:*FUHDWHGE\([HFXWLYH

2UGHULVFKDLUHGE\WKH6HFUHWDU\RIWKH7UHDVXU\7KH)0:*IDFLOLWDWHV

LQIRUPDWLRQH[FKDQJHDPRQJWKHJRYHUQPHQWDJHQFLHVZLWKUHVSRQVLELOLW\IRUWKH

ILQDQFLDOPDUNHWV DQG UHJXODWLRQ RI VHFXULWLHV DQG FRPPRGLW\ ILUPV DQG EDQNV

)0:*KDVDOUHDG\EHJXQ WR IRFXV RQGLVUXSWLRQV RI ILQDQFLDOPDUNHWV RUPDMRU

PDUNHW SDUWLFLSDQWV IURP ERWK SK\VLFDO DQG F\EHU FDXVHV  7KH *URXS LV LQ D

SRVLWLRQERWK WRPLWLJDWH WKH HIIHFWV RIGLVUXSWLRQ DQG WRZRUN WR OLPLW V\VWHPLF

ULVN DQG ORZHU WKH GDPDJH WKDW DFFRPSDQLHV GLVUXSWLRQ:KLOH)0:* KDV QR

VWDWXWRU\DXWKRULW\RILWVRZQLWLVQRQHWKHOHVVLQWKHSRVLWLRQWRLQIOXHQFHSROLF\

ZLWKUHJDUGWREDQNLQJDQGILQDQFHLQIUDVWUXFWXUHDVVXUDQFH

7KURXJK LWV VWDWXWRU\ DXWKRULW\ WR UHJXODWH JRYHUQPHQW VHFXULWLHV EURNHUV DQG

GHDOHUV WKH7UHDVXU\PD\ EH DEOH WR HQDFWPHDVXUHV IRU JUHDWHU LQIUDVWUXFWXUH

DVVXUDQFH  &XUUHQWO\ 7UHDVXU\ KDV UHFRUGNHHSLQJ DQG UHSRUWLQJ UHTXLUHPHQWV

LQ SODFH LQ DGGLWLRQ WR UXOHV UHJDUGLQJ ILQDQFLDO UHVSRQVLELOLW\ DQG UHODWHG

SUDFWLFHV  7KH 7UHDVXU\ VXEPLVVLRQ VXJJHVWV WKDW WKH UHFRUGNHHSLQJ DQG

UHSRUWLQJ UHTXLUHPHQWV DQG LWV VWDWXWRU\ DXWKRULW\ PD\ EH EURDG HQRXJK WR

LPSRVHVWDQGDUGVIRUSURWHFWLRQRILQIRUPDWLRQDQGWHOHFRPPXQLFDWLRQVV\VWHPV

Continuity of Government Operations

7UHDVXU\ KDV WZR IXQFWLRQV WKDW UHODWH WR WKH FRQWLQXLW\ RI JRYHUQPHQW

RSHUDWLRQV LQ WKH IDFH RI LQIUDVWUXFWXUH GLVUXSWLRQ  )LUVW WKH 'HSDUWPHQW RI

7UHDVXU\ LV FKDUJHG ZLWK WKH LVVXDQFH RI 7UHDVXU\ GHEW ZKLFK LV DGPLQLVWHUHG

WKURXJK WKH %XUHDX RI 3XEOLF 'HEW  7KH 7UHDVXU\aV DXWKRULW\ LQ WKLV DUHD LV

GHULYHGIURPDYDULHW\RIVWDWXWRU\VRXUFHVLQFOXGLQJ86&HWVHTDQG

 86&    6HFRQG WKH )LQDQFLDO 0DQDJHPHQW 6HUYLFH )06 ORFDWHG

ZLWKLQ7UHDVXU\ LV UHVSRQVLEOH IRUPDNLQJ SD\PHQWV IRU JRYHUQPHQW SURJUDPV

DQG SURYLGLQJ WKH V\VWHP IRU FROOHFWLQJ JRYHUQPHQW UHFHLSWV LQFOXGLQJ IHGHUDO

WD[HV  %RWK RI WKHVH IXQFWLRQV UHO\ H[WHQVLYHO\ RQ WKH )HGHUDO 5HVHUYH %DQNV

7KHEDQNVXVHGE\WKH)LQDQFLDO0DQDJHPHQW6HUYLFHDUHUHTXLUHGE\DJUHHPHQW

WR FRPSO\ ZLWK WKH &RPSXWHU 6HFXULW\ $FW RI  DQG UHODWHG VWDQGDUGV DQG

JXLGHOLQHV)06FRQGXFWVDXGLWVWRHQVXUHFRPSOLDQFHZLWKWKHVHUHTXLUHPHQWV

 

117 The Treasury submission notes that FMWG can wield influence both by raising visibility

of an issue and through the rule making roles of its member agencies. The members of

FMWG include: the Board of Governors of the Federal Reserve System, the Securities and

Exchange Commission, and the Commodity Futures Trading Commission. Other agencies

that participate in FMWG meetings include: the Comptroller of the Currency, the Federal

Deposit Insurance Corporation, Federal Reserve Bank of New York, the National Economic

Council, and the Council of Economic Advisors.
33

Department of Justice

7KH'HSDUWPHQWRI-XVWLFH'2-SOD\VDXQLTXHUROHLQLQIUDVWUXFWXUHDVVXUDQFH

8QOLNHPDQ\ RI WKH RWKHU DJHQFLHV DQG GHSDUWPHQWV VXUYH\HGZKLFKKDYH UROHV

UHODWLQJ WR SDUWLFXODU LQIUDVWUXFWXUHV WKH 'HSDUWPHQW RI -XVWLFH DQG  WKH

$WWRUQH\*HQHUDODUH H[SHFWHG WRSOD\DSULPDU\ UROH LQ UHVSRQGLQJ WR WHUURULVW

LQFLGHQWVXQGHUDXWKRULWLHVVXFKDV3UHVLGHQWLDO'HFLVLRQ'LUHFWLYH 3''

DQG WKH7HUURULVP ,QFLGHQW $QQH[ WR WKH)HGHUDO 5HVSRQVH3ODQ)RU WHUURULVW

PDWWHUV WKDW RFFXU ZLWKLQ WKH 8QLWHG 6WDWHV DQG KDYH QR VLJQLILFDQW IRUHLJQ

LQYROYHPHQW WKH'HSDUWPHQW RI -XVWLFH WKURXJK WKH)%,KDQGOHV FRRUGLQDWLRQ

RIIHGHUDODJHQF\HIIRUWV

3HUKDSV WKH PRVW YLVLEOH UROH IRU WKH 'HSDUWPHQW RI -XVWLFH ZLWK UHVSHFW WR

LQIUDVWUXFWXUH DVVXUDQFH LV LQ HQIRUFLQJ IHGHUDO ODZV WKURXJK WKH LQYHVWLJDWRU\

DXWKRULWLHVRIWKH)%,DQGSURVHFXWRULDOUHVRXUFHVRI'2-DQGWKH8QLWHG6WDWHV

$WWRUQH\V
 2IILFHV 7KH 'HSDUWPHQW
V  8QLWHG 6WDWHV $WWRUQH\V
 RIILFHV DUH

DFTXLULQJWKHLURZQH[SHUWLVHLQWKHVHLPSRUWDQWDUHDV:LWKLQWKHSDVWVHYHUDO

\HDUV7KHVH RIILFHV KDYH DSSRLQWHG DQG WKH 'HSDUWPHQW KDV VSHFLDOO\ WUDLQHG

DWWRUQH\V WR KDQGOH FULVLV UHVSRQVH LVVXHV $WWRUQH\ &ULWLFDO 5HVSRQVH *URXS

$WWRUQH\V$&,5*V DQG FRPSXWHU DQG WHOHFRPPXQLFDWLRQVUHODWHG FULPHV

&RPSXWHUDQG7HOHFRPPXQLFDWLRQV&RRUGLQDWRUV&7&V

2WKHU 'HSDUWPHQW FRPSRQHQWV KDYH UHVSRQVLELOLWLHV ZLWK LPSRUWDQW WLHV WR

LQIUDVWUXFWXUH DVVXUDQFH SROLFLHV  :LWKLQ '2-
V &ULPLQDO 'LYLVLRQ WKH

&RPSXWHU &ULPH DQG ,QWHOOHFWXDO 3URSHUW\ 6HFWLRQ DQG WKH 7HUURULVP DQG

9LROHQW&ULPH6HFWLRQSOD\DSLYRWDOUROHQRWRQO\LQSURVHFXWLQJRIIHQVHVDJDLQVW

WKH FULWLFDO LQIUDVWUXFWXUHV EXW LQ GHYHORSLQJ SROLF\ LQLWLDWLYHV DQG OHJLVODWLYH

SURSRVDOVWRLPSURYHODZVDQGHQIRUFHPHQWLQWKHVHDUHDV

,QFUHDVLQJO\WKH'HSDUWPHQWRI-XVWLFHLQFRRUGLQDWLRQZLWKWKH'HSDUWPHQWRI

6WDWH LV LQYROYHG LQ LQWHUQDWLRQDO DJUHHPHQWV WR IDFLOLWDWH 86 HQIRUFHPHQW

HIIRUWV FRQFHUQLQJ F\EHUFULPH DQG SK\VLFDO WKUHDWV WR FULWLFDO LQIUDVWUXFWXUHV

%LODWHUDODQGPXOWLODWHUDODJUHHPHQWVDGGUHVVLVVXHVVXFKDVH[WUDGLWLRQPXWXDO

OHJDO DVVLVWDQFH DQG HYLGHQFH VKDULQJ  ,QFUHDVLQJO\ VXFK DJUHHPHQWV DGGUHVV

VXEVWDQWLYH DQG LQYHVWLJDWLYH LVVXHV UHODWLQJ WR FRPSXWHU FULPH  7KH

'HSDUWPHQW RI -XVWLFH DOVR DGPLQLVWHUV D UHZDUGV SURJUDP GHVLJQHG WR

HQFRXUDJHFRRSHUDWLRQZLWKFRXQWHUWHUURULVPHQIRUFHPHQWHIIRUWV

7KH2IILFHRI,QWHOOLJHQFH3ROLF\DQG5HYLHZZRUNVFORVHO\ZLWKODZHQIRUFHPHQW

DQG WKH LQWHOOLJHQFHFRPPXQLW\ WR IDFLOLWDWHVKDULQJ RI LQIRUPDWLRQEHWZHHQ WKH

FRPPXQLWLHV DQG DOVR DVVLVWV LQ WKH LQYHVWLJDWLRQ RI WHUURULVPUHODWHG FDVHV

XQGHU WKH )RUHLJQ ,QWHOOLJHQFH 6XUYHLOODQFH $FW  7KH HOHPHQWV RI WKH 2IILFH RI
34

-XVWLFH 3URJUDPV WKH 1DWLRQDO ,QVWLWXWH RI -XVWLFH WKH %XUHDX RI -XVWLFH

6WDWLVWLFV DQG RWKHUV PD\ EH LQYROYHG LQ IXWXUH VWXGLHV RI LQIUDVWUXFWXUH

DVVXUDQFHLVVXHVDQGHIIRUWVWRGHYHORSDEHWWHUXQGHUVWDQGLQJRIWKHVFRSHRIWKH

SUREOHPIDFLQJWKHQDWLRQDQGWKHSURSHUUROHRIODZHQIRUFHPHQW7KH2IILFHRI

-XVWLFH3URJUDPVDOVRSURYLGHVIXQGVWRVWDWHDQGORFDOODZHQIRUFHPHQWDJHQFLHV

WREROVWHUSUHSDUHGQHVVLQWKHHYHQWRIDWHUURULVWDWWDFN

:LWKUHVSHFWWRLQIRUPDWLRQVKDULQJWKH&LYLO'LYLVLRQRI'2-VKRXOGSOD\DUROH

LQ SUHGLFWLQJ WKH OLDELOLW\ FOLPDWH VXUURXQGLQJ HIIHFWLYH LPSOHPHQWDWLRQ DQG

RSHUDWLRQ RIDQLQIRUPDWLRQVKDULQJDQGWKUHDWZDUQLQJFDSDELOLW\7KH$QWLWUXVW

'LYLVLRQFDQVHUYHDVDIRFDOSRLQWIRULVVXHVUHODWLQJWRSULYDWHVHFWRUWRSULYDWH

VHFWRUVKDULQJRIWKUHDWDQGYXOQHUDELOLW\LQIRUPDWLRQ

National Security Agency

7KH 1DWLRQDO 6HFXULW\ $JHQF\ 16$ LGHQWLILHG LWV UROH LQ LQIUDVWUXFWXUH

DVVXUDQFHDVGHULYLQJIURPWKUHHOHJDOVRXUFHV([HFXWLYH2UGHU§8QLWHG

6WDWHV ,QWHOOLJHQFH $FWLYLWLHV ̈ 1DWLRQDO 6HFXULW\ 'LUHFWLYH  §1DWLRQDO 3ROLF\

IRU WKH 6HFXULW\ RI 1DWLRQDO 6HFXULW\ 7HOHFRPPXQLFDWLRQV DQG ,QIRUPDWLRQ

6\VWHPV ̈DQG WKH&RPSXWHU6HFXULW\$FW RI7KHVH WKUHHGRFXPHQWV JLYH

16$VXEVWDQWLDODXWKRULW\IRUWKHFRPPXQLFDWLRQVVHFXULW\RIWKH8QLWHG6WDWHV

([HFXWLYH 2UGHU  GHVLJQDWHG WKH 6HFUHWDU\ RI 'HIHQVH DV WKH H[HFXWLYH

DJHQW IRU WKH 8QLWHG 6WDWHV IRU FRPPXQLFDWLRQV VHFXULW\ DFWLYLWLHV H[FHSW DV

OLPLWHGE\WKH1DWLRQDO6HFXULW\&RXQFLO16$ LVDXWKRUL]HGWRFDUU\RXWWKH

6HFUHWDU\ RI 'HIHQVHaV UHVSRQVLELOLWLHV IRU FRPPXQLFDWLRQV VHFXULW\ XQGHU WKH

H[HFXWLYHRUGHU

&RQVLVWHQWZLWK ([HFXWLYH2UGHU 1DWLRQDO 6HFXULW\ 'LUHFWLYH  DVVLJQV

WKH 6HFUHWDU\ RI 'HIHQVH UHVSRQVLELOLW\ IRU WKH JRYHUQPHQWaV 1DWLRQDO 6HFXULW\

7HOHFRPPXQLFDWLRQV DQG ,QIRUPDWLRQ 6\VWHPV 6HFXULW\  $V SDUW RI WKLV

'LUHFWLYH WKH'LUHFWRU16$ LV QDPHG WKH1DWLRQDO0DQDJHU IRU WKLV IXQFWLRQ

$PRQJWKHGXWLHVWKLVUROHHQWDLOVDUHH[DPLQLQJQDWLRQDOVHFXULW\V\VWHPV

DQG HYDOXDWLQJ WKHLU YXOQHUDELOLW\ WR IRUHLJQ LQWHUFHSWLRQ  DQG H[SORLWDWLRQ 

DFWLQJ DV WKH 86 JRYHUQPHQW IRFDO SRLQW IRU WHOHFRPPXQLFDWLRQV DQG

LQIRUPDWLRQ V\VWHPV VHFXULW\ IRU QDWLRQDO VHFXULW\ V\VWHPV   DVVHVVLQJ WKH

RYHUDOO VHFXULW\ SRVWXUH RI DQG GLVVHPLQDWLQJ LQIRUPDWLRQ RQ WKUHDWV WR DQG

YXOQHUDELOLWLHV RI QDWLRQDO VHFXULW\ V\VWHPV   UHYLHZLQJ DQG DSSURYLQJ DOO

VWDQGDUGVWHFKQLTXHVV\VWHPVDQGHTXLSPHQWUHODWHGWRWKHVHFXULW\RIQDWLRQDO

 

118 Exec. Order 12333 § 1.11(e) (1981).
35

VHFXULW\V\VWHPVDQGFRRUGLQDWLQJZLWKWKH1DWLRQDO,QVWLWXWHRI6WDQGDUGV

DQG 7HFKQRORJ\ 1,67 LQ DFFRUGDQFH ZLWK WKH SURYLVLRQV RI WKH &RPSXWHU

6HFXULW\$FWRI

([HFXWLYH 2UGHU  DQG 16'  OLPLW 16$aV UROH WR QDWLRQDO VHFXULW\

V\VWHPV ZKLFK 16$ UHFRJQL]HV DV D SRWHQWLDO OLPLW RQ LWV UROH LQ DVVXULQJ WKH

VHFXULW\ RI WKH QDWLRQaV FULWLFDO LQIRUPDWLRQ LQIUDVWUXFWXUH  +RZHYHU 16$ KDV

DVVXPHG D UROH LQ DVVLVWLQJ 1,67 ZLWK LWV UHVSRQVLELOLWLHV XQGHU WKH &RPSXWHU

6HFXULW\ $FW RI   16$ DQG 1,67 KDYH DJUHHG RQ D GLYLVLRQ RI ODERU

PHPRULDOL]HG LQ §0HPRUDQGXP RI 8QGHUVWDQGLQJ %HWZHHQ WKH 'LUHFWRU RI WKH

1DWLRQDO,QVWLWXWHRI6WDQGDUGVDQG7HFKQRORJ\DQGWKH'LUHFWRURIWKH1DWLRQDO

6HFXULW\ $JHQF\ &RQFHUQLQJ WKH ,PSOHPHQWDWLRQ RI WKH 3XEOLF /DZ  ̈

0DUFK8QGHUWKLV02816$SURYLGHVWHFKQLFDOJXLGHOLQHVWR1,67IRU

VHQVLWLYH LQIRUPDWLRQ LQ IHGHUDO FRPSXWHU V\VWHPV FRQGXFWV DVVHVVPHQWV RI

KRVWLOHLQWHOOLJHQFHDQGIRUHLJQH[SORLWDWLRQWKUHDWVWRLQIRUPDWLRQV\VWHPVXSRQ

UHTXHVWRIIHGHUDODJHQFLHVSURYLGHVWHFKQLFDOJXLGDQFHDQGHQGRUVHVSURGXFWVWR

VHFXUHLQIRUPDWLRQV\VWHPVDQGVXSSRUWV1,67LQLWVUROHLQDVVLVWLQJWKHSULYDWH

VHFWRUZLWKLQIRUPDWLRQVHFXULW\LVVXHV

7KH 16$1,67 SDUWQHUVKLS KDV EHHQ IRUPDOL]HG UHFHQWO\ DV WKH 1DWLRQDO

,QIRUPDWLRQ$VVXUDQFH3DUWQHUVKLS7KLV3DUWQHUVKLSLVGHVLJQHGWRFRPELQHWKH

H[SHUWLVHRIWKHWZRHQWLWLHVWRDVVLVWERWKJRYHUQPHQWDQGWKHSULYDWHVHFWRU LQ

LPSURYLQJ WKH TXDOLW\ RI WKHLU FRPSXWHU VHFXULW\  7R DFFRPSOLVK WKLV JRDO WKH

3DUWQHUVKLS LVZRUNLQJ WR HVWDEOLVK WHVWLQJPHWKRGV DQG REMHFWLYHPHDVXUHV IRU

FRPSXWHU VHFXULW\ SURGXFWV DQG WR DFFUHGLW SULYDWH VHFWRU ODEV WR FRQGXFW VXFK

WHVWLQJDQGXOWLPDWHO\FHUWLI\SURGXFWV

United States Customs Service

7KHSULPDU\PLVVLRQVRIWKH&XVWRPV6HUYLFHRIWKH'HSDUWPHQWRI7UHDVXU\DUH

WR HQVXUH WKDW DOO PHUFKDQGLVH FRPLQJ LQWR WKH 8QLWHG 6WDWHV LV ODZIXOO\

LPSRUWHGDQGWRSURWHFWWKHERUGHUVRIWKH8QLWHG6WDWHV7KH&XVWRPV6HUYLFH

HQIRUFHV ODZV UHODWLQJ WR WKH LPSRUWDWLRQ DQG H[SRUWDWLRQ RI PHUFKDQGLVH

LQFOXGLQJ ODZV UHTXLULQJ WKH FROOHFWLRQ RI GXWLHV DQG WD[ RQ LPSRUWHG JRRGV

PRQLWRULQJ WKH FOHDULQJ RIDUULYLQJDQGGHSDUWLQJ YHVVHOV YHKLFOHVDQGDLUFUDIW

GHWHFWLQJDQGSUHYHQWLQJVPXJJOLQJRSHUDWLRQVDQGIUDXGXOHQWLPSRUWDWLRQVDQG

VHL]LQJ PHUFKDQGLVH DQG FRQYH\DQFHV LQYROYHG LQ VXFK DFWLYLWLHV H[FOXGLQJ

SURKLELWHG PHUFKDQGLVH HJ XQOLFHQVHG PXQLWLRQV IURP HQWU\ FRQWUROOLQJ

LPSRUWV VXEMHFW WR TXRWDV HJ WH[WLOHV RWKHU LQWHUQDWLRQDO DJUHHPHQWV DQG
36

LQWHOOHFWXDOSURSHUW\SURWHFWLRQDQG HQIRUFLQJ H[SRUW ODZV SHUWDLQLQJ WR FULWLFDO

WHFKQRORJ\PXQLWLRQVDQGHPEDUJRHV

,Q DGGLWLRQ WR WKH DXWKRULW\ WR HQIRUFH FXVWRPV ODZV WKH &XVWRPV 6HUYLFH LV

DXWKRUL]HGWRHQIRUFHDOO IHGHUDO ODZVDWWKHERUGHUV RI WKH8QLWHG6WDWHV7KH

&XVWRPV 6HUYLFHaV XQLTXH SRVLWLRQ DW WKH QDWLRQaV ERUGHUV DOORZV  LW WR H[HUFLVH

EURDG VHDUFK DQG VHL]XUH DQG DUUHVW IXQFWLRQV  &XVWRPV RIILFHUV PD\ VHDUFK

SHUVRQV FRQYH\DQFHV EDJJDJH FDUJR DQG PHUFKDQGLVH HQWHULQJ WKH 8QLWHG

6WDWHVZLWKRXWDVHDUFKZDUUDQWDQGZLWKRXWVXVSLFLRQRIFULPLQDOLW\&XVWRPV

RIILFHUV PD\ VWRS YHKLFOHV DQG ERDUG YHVVHOV DQG DLUFUDIW ZLWKRXW ZDUUDQWV WR

SHUIRUP LQTXLULHV DQG VHDUFKHV  &XVWRPV RIILFHUV FDUU\ ILUHDUPV DQG DUH

DXWKRUL]HG WR PDNH ZDUUDQWOHVV DUUHVWV IRU DQ\ IHGHUDO YLRODWLRQV RFFXUULQJ LQ

WKHLU SUHVHQFH  ,Q DGGLWLRQ D FXVWRPV RIILFHU PD\ FRQGXFW XQGHUFRYHU

LQYHVWLJDWLRQV DQG VHHN DQG REWDLQ VHDUFK ZDUUDQWV FRXUW RUGHUV DXWKRUL]LQJ

LQWHUFHSWLRQ RI FRPPXQLFDWLRQV DQG DGPLQLVWUDWLYH VXPPRQVHV  $Q\

PHUFKDQGLVH RUFRQYH\DQFH LQYROYHG LQD&XVWRPV YLRODWLRQ LV JHQHUDOO\VXEMHFW

WR FLYLO IRUIHLWXUH DQG PD\ EH VHL]HG E\ &XVWRPV RIILFHUV ZLWKRXW D ZDUUDQW

7KHVHDXWKRULWLHVDOVRDSSO\WRRXWERXQGJRRGVFRQYH\DQFHVDQGSHRSOH

7KH &XVWRPV 6HUYLFH DOVR KDV HPHUJHQF\ SRZHUV  &XVWRPV PD\ WDNH WKH

IROORZLQJ DFWLRQV WR SURWHFW DJDLQVW DWWDFNV DQG WR PLQLPL]H WKH GDPDJH IURP

VXFKDWWDFNVFORVHSRUWVUHPRYHDFXVWRPKRXVH WRDVHFXUH ORFDWLRQVHL]HDQG

IRUIHLW YHVVHOV VHHNLQJ WR HQWHU D FORVHG SRUW DQG UHIXVH WR FOHDU IRU H[SRUW

YHKLFOHVZLWKVXVSHFW FDUJRHV7KH3UHVLGHQWPD\ DXWKRUL]H WKH6HFUHWDU\ RI

7UHDVXU\ ZKR KDV GHOHJDWHG WKH SRZHU WR WKH &RPPLVVLRQHU RI &XVWRPV WR

H[WHQGWKHWLPHSURYLGHGXQGHUWKH7DULII$FWRIIRUWKHSHUIRUPDQFHRIDQ\

DFWDQGDOVRWRDOORZ IRUWKH LPSRUWDWLRQ IUHHRIGXW\RIFHUWDLQVXSSOLHVXVHG LQ

HPHUJHQF\ UHOLHI ZRUN  8QGHU WKH ,QWHUQDWLRQDO (PHUJHQF\ (FRQRPLF 3RZHUV

$FW WKH 6HFUHWDU\ RI 7UHDVXU\ RU KLV GHVLJQHH PD\ UHVWULFW HQWU\ SUHYHQW

PRYHPHQWDQGWDNHRWKHUDXWKRUL]HGDFWLRQGXULQJWLPHRIQDWLRQDOHPHUJHQF\

,QDGGLWLRQGXULQJD3UHVLGHQWLDOO\GHFODUHG HPHUJHQF\UHVWULFWLRQV RQ LPSRUWV

DQG H[SRUWV PD\ EH LPSRVHG ZKHQ WKHUH LV §DQ\ XQXVXDO DQG H[WUDRUGLQDU\

WKUHDWZKLFKKDV LWV VRXUFH LQZKROH RU LQ VXEVWDQWLDO SDUW RXWVLGH WKH86 WR

 

119 See Title 19, United States Code.

120 See 19 U.S.C. §§ 482, 1499, 1581 & 1582.

121 See 19 U.S.C. §§ 482, 1467 & 1581; 19 C.F.R. Part 122.

122 19 U.S.C. § 1589a.

123 See 19 U.S.C. §§ 482, 1581 & 1595a.

124 See, e.g., 31 U.S.C. § 5317(b); 22 U.S.C. § 401; United States v. Ajlouny, 629 F.2d 830

(2d Cir. 1980).

125 50 U.S.C. §§ 219-226.

126 50 U.S.C. § 1701 et seq.
37

WKHQDWLRQDO VHFXULW\ IRUHLJQ SROLF\ RU HFRQRP\ RI WKH8QLWHG 6WDWHV ̈ 'XULQJ

HPHUJHQFLHVVXFKDVZDU LQVXUUHFWLRQ LQYDVLRQRUGLVWXUEDQFH WR LQWHUQDWLRQDO

UHODWLRQV WKH 6HFUHWDU\ RI 7UHDVXU\ PD\ DOORZ WKH &XVWRPV 6HUYLFH WR WDNH

SRVVHVVLRQDQGFRQWURORIYHVVHOVDZD\IURPRIILFHUVDQGFUHZV7KH6HFUHWDU\

PD\DOVRLPSRVHVHYHUHFRQWUROVGXULQJWLPHVRILQVXUUHFWLRQDSRZHUZKLFKKDV

QRWEHHQXVHGVLQFHWKH&LYLO:DU

Bureau of Alcohol, Tobacco and

Firearms

7KH%XUHDXRI$OFRKRO7REDFFRDQG)LUHDUPV$7)RSHUDWHVXQGHUWKHXPEUHOOD

RI WKH 'HSDUWPHQW RI 7UHDVXU\  7KH $7)aV SULPDU\ DXWKRULWLHV UHOHYDQW WR

LQIUDVWUXFWXUH DVVXUDQFH SHUWDLQ WR HPHUJHQF\ VHUYLFHV DQG FRQWLQXLW\ RI

JRYHUQPHQWRSHUDWLRQV

$7)aV PLVVLRQ DV D ODZ HQIRUFHPHQW DJHQF\ LQFOXGHV UHGXFLQJ YLROHQFH

FROOHFWLQJUHYHQXHDQGSURWHFWLQJFRQVXPHUV,WVMXULVGLFWLRQH[WHQGVWRDOFRKRO

WREDFFR ILUHDUPV DQG H[SORVLYHPDWWHUV  7KH PRVW LPSRUWDQW DVSHFWV RI $7)aV

UROH LQ LQIUDVWUXFWXUH DVVXUDQFH SHUWDLQ WR LWV HQIRUFHPHQW DXWKRULW\ IRU

SURYLVLRQV RI WLWOH 8QLWHG 6WDWHV &RGH UHODWHG WR LPSRUWDWLRQPDQXIDFWXUH

GLVWULEXWLRQ DQG SRVVHVVLRQ RI ILUHDUPV DQG DPPXQLWLRQ H[SORVLYHV DQG

DUPVDQGLPSOHPHQWVRIZDU

United States Secret Service

7KH 6HFUHW 6HUYLFH LV D ODZ HQIRUFHPHQW DJHQF\ XQGHU WKH 'HSDUWPHQW RI

7UHDVXU\DQGLVFKDUJHGZLWKWKHSURWHFWLRQRIWKH3UHVLGHQWDQG9LFH3UHVLGHQW

WKHLUIDPLOLHVIRUHLJQKHDGVRIVWDWHDQGWKH:KLWH+RXVH7KH6HFUHW6HUYLFHLV

 

127 50 U.S.C. § 191. During World War I, Customs officials physically seized German

vessels in U.S. ports under this law.

128 50 U.S.C. §§ 205-226.

129 18 U.S.C. Chapter 44.

130 18 U.S.C. Chapter 40.

131 22 U.S.C. § 2778.
38

DOVR FKDUJHG ZLWK WKH GHWHFWLRQ DQG DUUHVW RI LQGLYLGXDOV ZKR YLRODWH FULPLQDO

ODZVUHODWLQJWRFRLQVREOLJDWLRQVDQGRWKHUVHFXULWLHVRIWKH8QLWHG6WDWHVDQG

IRUHLJQ JRYHUQPHQWV HOHFWURQLF IXQG WUDQVIHUV FUHGLW RU GHELW FDUG IUDXG IDOVH

LGHQWLILFDWLRQ GRFXPHQWV DQG IUDXG FRPPLWWHG DJDLQVW FHUWDLQ ILQDQFLDO

LQVWLWXWLRQVVXFKDVWKH)HGHUDO'HSRVLW,QVXUDQFH&RUSRUDWLRQ

Banking and Finance

7KH 6HFUHW 6HUYLFH KDV H[FOXVLYH MXULVGLFWLRQ IRU LQYHVWLJDWLRQV LQYROYLQJ WKH

FRXQWHUIHLWLQJRIFRLQVREOLJDWLRQVDQGRWKHUVHFXULWLHVRIWKH8QLWHG6WDWHVDQG

IRUHLJQJRYHUQPHQWV$PRQJWKHREOLJDWLRQVDQGVHFXULWLHVLQYHVWLJDWHGE\WKH

6HFUHW 6HUYLFH DUH 86 FRLQV DQG FXUUHQF\ 7UHDVXU\ FKHFNV 'HSDUWPHQW RI

$JULFXOWXUH IRRG VWDPSV FRXSRQV DQG SRVWDJH VWDPSV  7KH FRXQWHUIHLWLQJ RI

WKHVHREOLJDWLRQVDQGVHFXULWLHVLVFULPLQDOL]HGE\WKHSURYLVLRQVRI&KDSWHURI

7LWOH8QLWHG6WDWHV&RGH,QRUGHUWRUHGXFHRSSRUWXQLWLHVIRUFRXQWHUIHLWLQJ

WKH 6HFUHW 6HUYLFH ZRUNV H[WHQVLYHO\ ZLWK RWKHU IHGHUDO DJHQFLHV LQFOXGLQJ WKH

%XUHDXRI(QJUDYLQJDQGWKH)HGHUDO5HVHUYH%DQNDQGEDQNLQJLQVWLWXWLRQVWR

UDLVH DZDUHQHVV SURYLGH FRXQWHUIHLW GHWHFWLRQ VHPLQDUV LPSURYH VHFXULW\ RI

FXUUHQF\GHVLJQDQGPDLQWDLQWKHHIIHFWLYHQHVVRIFXUUHQF\VRUWLQJHTXLSPHQW

8QGHU WKH DXWKRULW\ JUDQWHG E\ 86&   DQG3XEOLF/DZ  WKH

6HFUHW6HUYLFHKDV MXULVGLFWLRQ RYHU WKH LQYHVWLJDWLRQ RI RWKHU FULPHVZLWKLQ WKH

EDQNLQJDQGILQDQFHLQGXVWU\LQFOXGLQJILQDQFLDOLQVWLWXWLRQIUDXGDFFHVVGHYLFH

IUDXGDQGFRPSXWHUFULPH7KH6HFUHW6HUYLFHXVHVLQYHVWLJDWLRQVLQWRILQDQFLDO

FULPHV DV DQ LPSRUWDQW VRXUFH RI GDWD UHJDUGLQJ V\VWHPLF YXOQHUDELOLWLHV7KLV

LQIRUPDWLRQLVVKDUHGZLWKLQGXVWU\LQDQHIIRUWWRUDLVHVHFXULW\DQGDZDUHQHVV

Telecommunications

7KH 6HFUHW 6HUYLFHaV LQYHVWLJDWLYH DXWKRULW\ XQGHU  86&   $FFHVV

'HYLFH )UDXG DQG  86&   &RPSXWHU )UDXG DOORZV LW WR LQYHVWLJDWH

FULPLQDODFWLYLW\DIIHFWLQJFRPSRQHQWVRIWKH7HOHFRPPXQLFDWLRQV,QIUDVWUXFWXUH

Continuity of Government Operations

7KH6HFUHW6HUYLFH LVUHVSRQVLEOHIRUWKHVDIHW\RIWKH3UHVLGHQW9LFH3UHVLGHQW

WKHLU LPPHGLDWH IDPLOLHV PDMRU 3UHVLGHQWLDO DQG 9LFH 3UHVLGHQWLDO FDQGLGDWHV

IRUPHU3UHVLGHQWV DQG YLVLWLQJ IRUHLJQ KHDGV RI VWDWH  7KH 6HFUHW 6HUYLFH LV

DOVRFKDUJHGZLWKSURWHFWLQJWKH:KLWH+RXVH&RPSOH[DQGWKH9LFH3UHVLGHQWaV

UHVLGHQFH  $V SDUW RI LWV FKDUJH WR SURWHFW WKH 3UHVLGHQW WKH 6HFUHW 6HUYLFH

 

132 18 U.S.C. § 3056.

133 Id.; 3 U.S.C. § 202.
39

LQYHVWLJDWHV WKUHDWV DJDLQVW WKH3UHVLGHQW VXFFHVVRUV WR WKH3UHVLGHQF\ IRUPHU

SUHVLGHQWVDQGFHUWDLQRWKHUSHUVRQVSURWHFWHGE\WKH6HFUHW6HUYLFH

Department of Education

7KH 'HSDUWPHQW RI (GXFDWLRQ PD\ SURYLGH IXQGLQJ IRU WKH HGXFDWLRQ RI VFKRRO

FKLOGUHQRQFRPSXWHUHWKLFVDQGXVHRIWHFKQRORJ\7KHIXQGLQJDXWKRULWLHVWKDW

PD\ EH XVHG IRU WKHVH SXUSRVHV LQFOXGH WKH )XQG IRU WKH ,PSURYHPHQW RI

(GXFDWLRQ WKH 3DUWQHUVKLSV LQ &KDUDFWHU (GXFDWLRQ 3LORW 3URMHFW DQG WKH

7HFKQRORJ\IRU(GXFDWLRQ$FWRI,QDGGLWLRQVWDWHHGXFDWLRQDODJHQFLHV

PD\ VHHN IXQGLQJ WR HGXFDWH VFKRRO FKLOGUHQ LQ FRPSXWHU HWKLFV WKURXJK *RDOV

(GXFDWH$PHULFD$FW

,Q DGGLWLRQ WR WKH IXQGLQJ DYDLODEOH IRU HGXFDWLQJ VFKRRO FKLOGUHQ RQ FRPSXWHU

HWKLFV DQG WHFKQRORJ\ WKH 'HSDUWPHQW RI (GXFDWLRQ DOVR SOD\V D UROH LQ

FRQWLQXLW\ RI JRYHUQPHQW RSHUDWLRQV  7KH 'HSDUWPHQW KDV LVVXHG LQWHUQDO

SROLFLHVUHODWLQJWRF\EHUGLVUXSWLRQV

General Services Administration

7KH*HQHUDO6HUYLFHV$GPLQLVWUDWLRQ*6$SOD\VDFULWLFDOUROHLQWKHFRQWLQXLW\

RI JRYHUQPHQW RSHUDWLRQV LQ PDLQWDLQLQJ IHGHUDO EXLOGLQJV DQG JRYHUQPHQW

WHOHFRPPXQLFDWLRQV7KHVHDFWLYLWLHVDVZHOODVRWKHUVFDUULHGRXWE\*6$DOVR

KDYHDQLPSDFWRQWKHDVVXUDQFHRIRWKHUFULWLFDOLQIUDVWUXFWXUHV

 

134 18 U.S.C. § 871 & 879.

135 See 20 U.S.C. § 8001 (authority to carry out programs directly or to use grants or contracts

with state and local educational agencies, institutions of higher learning, and other public and

private agencies and organizations on programs authorized under 20 U.S.C. § 8003).

136 See 20 U.S.C. § 8003 (authority to provide grants to state educational agencies on

character education programs incorporating civil virtue).

137 See 20 U.S.C. § 6801 et seq. (designed to promote use of technology in education directly

or through contracts or grants with state or local educational agencies, institutions of higher

education, or other public or private organizations).

138 20 U.S.C. § 5801 et seq.
40

Continuity of Government Operations

*6$ XQGHU DXWKRULW\ JUDQWHG E\ WKH )HGHUDO 3URSHUW\ DQG $GPLQLVWUDWLYH

6HUYLFHV$FWRIDQGWKH3XEOLF%XLOGLQJV$FWRIDFTXLUHVDQGPDQDJHV

SXEOLFEXLOGLQJVDQGVSDFH8QGHU*6$aVFXUUHQWDSSURSULDWLRQVDFW*6$LV

UHTXLUHG WR XVH LWV IXQGLQJ IRU FRQVWUXFWLQJ DOWHULQJ PDQDJLQJ DQG SURWHFWLQJ

SXEOLF EXLOGLQJV WRPHHWPLQLPXP VHFXULW\ VWDQGDUGV SURYLGHG E\ FXUUHQW ODZ

*6$ KDV LQGLFDWHG WKDW LWV SXEOLF EXLOGLQJVUHODWHG UHVSRQVLELOLWLHV FDQ EH

OHYHUDJHG WR FUHDWH VWUXFWXUHV EHWWHU DEOH WR DYRLG RU VXUYLYH LQIUDVWUXFWXUH

DWWDFN

,QDGGLWLRQ WR WKHPDQDJHPHQW RI IHGHUDOEXLOGLQJV*6$ LVDOVR UHVSRQVLEOH IRU

SURFXULQJ DQG VXSSO\LQJ SHUVRQDO SURSHUW\ DQG QRQSHUVRQDO VHUYLFHV IRU WKH

IHGHUDOJRYHUQPHQW8QGHU86&	*6$'2'DQG1$6$KDYH

MRLQW UHVSRQVLELOLW\ IRU LVVXLQJ WKH)HGHUDO $FTXLVLWLRQ 5HJXODWLRQ )$5 XQGHU

WKHRYHUDOOGLUHFWLRQRIWKH2IILFHRI)HGHUDO3URFXUHPHQW3ROLF\7KH)$5 LV

WKH EDVLF UHJXODWLRQ IRU DFTXLULQJ VHUYLFHV DQG VXSSOLHV  *6$ KDV LQGLFDWHG

WKDWJRYHUQPHQWSXUFKDVHRIVXSSOLHVFDQEHXVHGWRHQFRXUDJHSULYDWHLQGXVWU\

WRGHYHORSSURGXFWVDQGVHUYLFHVEHWWHUDEOHWRDFKLHYHWKHLQIUDVWUXFWXUHJRDOVRI

WKH3&&,3

8QGHU ([HFXWLYH 2UGHU  RI 1RYHPEHU  *6$ LV JLYHQ OHDG

UHVSRQVLELOLW\IRUGHYHORSLQJ1DWLRQDO6HFXULW\(PHUJHQF\3UHSDUHGQHVV16(3

SODQVDQGSURFHGXUHVUHODWHGWRIHGHUDOEXLOGLQJVLQFOXGLQJVKHOWHUPDQDJHPHQW

SURJUDPV DQG VXSSOLHV DQG SXEOLF XWLOLW\ VHUYLFHV QHHGHG E\ IHGHUDO DJHQFLHV

GXULQJQDWLRQDOHPHUJHQFLHV

Continuity of Government Operations and

Telecommunications

*6$ KDV WKH FXUUHQW UHVSRQVLELOLW\ IRU PDQDJLQJ WKH )76  SURJUDP DQG

FRRUGLQDWLQJ WKH IROORZRQ SURJUDP  7KH FXUUHQW SURJUDP SURYLGHV

JRYHUQPHQWZLGH WHOHFRPPXQLFDWLRQV VHUYLFHV IRU IHGHUDO XVHUV SULQFLSDOO\

XQGHU WZR ORQJGLVWDQFH VHUYLFH FRQWUDFWV H[SLULQJ LQ    ,Q DGGLWLRQ WR

 

139 See 40 U.S.C. § 471 et seq. & 40 U.S.C. §§ 601-619, 490. Implementing regulations are

found in the Federal Property Management Regulations (FPMR) system, 41 C.F.R. Chapter

101.

140 Pub. Law No. 104-208.

141 48 C.F.R. Chapter 1.

142 GSA’s Federal Supply Schedules are located at FAR Subpart 8.4 and Part 38.

143 See Pub. Law No. 104-106, section 5124(b) (The Information Technology Management

Reform Act, or the Clinger-Cohen Act).
41

PDQDJHPHQW XQGHU QRUPDO FLUFXPVWDQFHV *6$ LV DOVR GLUHFWHG WR HQVXUH WKDW

IHGHUDOO\ RZQHG RU PDQDJHG GRPHVWLF FRPPXQLFDWLRQV IDFLOLWLHV DQG VHUYLFHV

PHHW WKH 1DWLRQDO 6HFXULW\ DQG (PHUJHQF\ 3UHSDUHGQHVV UHTXLUHPHQWV RI

)HGHUDO FLYLOLDQ GHSDUWPHQWV DJHQFLHV DQG HQWLWLHV  *6$aV FXUUHQW

DSSURSULDWLRQVODZPDNHVIXQGLQJDYDLODEOHIRUWKLVSXUSRVHVSHFLILFDOO\IRU§WKH

LQWHUDJHQF\ IXQGLQJ RI  >16(3@ WHOHFRPPXQLFDWLRQV LQLWLDWLYHV ZKLFK EHQHILW

PXOWLSOH )HGHUDO GHSDUWPHQWV DJHQFLHV RU HQWLWLHV DV SURYLGHG E\ >([HFXWLYH

2UGHU@ ̈

,QWKHLPSOHPHQWDWLRQRI)76DQGWKHSODQQHGIROORZRQFRQWUDFWV16(3LV

D SULRULW\  ,Q RUGHU WR HQVXUH WKDW WKH QHWZRUN LV PDLQWDLQHG LQ D VWDWH RI

UHDGLQHVV IRUQDWLRQDOHPHUJHQFLHVFRQWUDFWRUVPXVWPHHWUHTXLUHPHQWVUHODWHG

WR JUDGH RI VHUYLFH VHUYLFH UHOLDELOLW\ LQWHURSHUDELOLW\ DQG UHVWRUDWLRQ

FDSDELOLWLHV LQFOXGLQJ JRYHUQPHQWFRQWUROOHG SULRULWLHV  &HUWDLQ FULWLFDO XVHUV

PD\ DOVR XVH1DWLRQDO &RPPXQLFDWLRQV 6\VWHP 1&6 *RYHUQPHQW (PHUJHQF\

7HOHFRPPXQLFDWLRQV6HUYLFH*(767KHLPSOHPHQWDWLRQRIWKH)76SURJUDP

KDVEHHQGHVLJQHGWRPHHWWKHJRDOVRIWKH1DWLRQDO,QIRUPDWLRQ,QIUDVWUXFWXUH

WR VXSSRUW LPSOHPHQWDWLRQ RI ,7 UHFRPPHQGDWLRQV RI WKH1DWLRQDO3HUIRUPDQFH

5HYLHZ135DQGWRSURYLGHWKHEXONRIWKHWHOHFRPPXQLFDWLRQVVHUYLFHVIRUWKH

HPHUJLQJ*RYHUQPHQW6HUYLFHV,QIRUPDWLRQ,QIUDVWUXFWXUH*6,,

Telecommunications

%\ 3UHVLGHQWaV 0HPRUDQGXP §)DFLOLWDWLQJ $FFHVV WR )HGHUDO 3URSHUW\ IRU WKH

6LWLQJ RI 0RELOH 6HUYLFHV $QWHQQDV ̈ $XJXVW   WKH 3UHVLGHQW GLUHFWHG

*6$ DQG RWKHU IHGHUDO DJHQFLHV WR DVVLVW LQ §LQIUDVWUXFWXUH EXLOGRXW ̈ E\

GHYHORSLQJ §SURFHGXUHVQHFHVVDU\ WR IDFLOLWDWH WKH DSSURSULDWH DFFHVV WR)HGHUDO

SURSHUW\ IRU WKH VLWLQJ RIPRELOH VHUYLFHV DQWHQQD ̈  7KLV0HPRUDQGXP GLUHFWV

WKH LPSOHPHQWDWLRQ RI WKH DXWKRULW\ WR §RXWOHDVH ̈ IHGHUDO URRIWRSV XQGHU WKH

3XEOLF%XLOGLQJV&RRSHUDWLYH$FWRIWRSURYLGHIHGHUDOSURSHUW\ULJKWVRI

ZD\DQGHDVHPHQWVIRUVLWLQJRIQHZWHOHFRPPXQLFDWLRQVVHUYLFHVGHSHQGHQWRQ

)HGHUDO VSHFWUXP ULJKWV IRU WUDQVPLVVLRQ FRQWDLQHG LQ WKH 7HOHFRPPXQLFDWLRQV

$FW RI   $ )HGHUDO 3URSHUW\ 0DQDJHPHQW 5HJXODWLRQ %XOOHWLQ ZDV

VFKHGXOHGIRULVVXHLQ0D\RI

 

144 See Exec. Order 12472, “Assignment of National Security and Emergency Preparedness

Telecommunications Functions.”

145 Pub. Law No. 104-208, Title VI at § 619.

146 See Exec. Order 12472 § 1.

147 40 U.S.C. § 490(a)(17)-(19).

148 Pub. Law No. 104-104 § 704(c).
42

Transportation and Gas and Oil

3XUVXDQW WR WKH )HGHUDO 0RWRU 9HKLFOH )OHHW *6$ DFTXLUHV DQG PDQDJHV

DOWHUQDWLYH IXHOHG YHKLFOHV  *6$ KDV LQGLFDWHG WKDW WKLV SURJUDP SOD\V D

PRGHVWUROH LQ LQIUDVWUXFWXUHDVVXUDQFHE\ UHGXFLQJ WKHQDWLRQaVGHSHQGHQFH RQ

RLO ZKLOH H[SDQGLQJ WKH DOWHUQDWLYH IXHO LQIUDVWUXFWXUH %XW LW LV D YDOXDEOH

H[DPSOH RI KRZ WKH JRYHUQPHQWaV SXUFKDVLQJ SRZHU FDQ EH XVHG WR GLYHUVLI\

FULWLFDOFRPSRQHQWVRIWKHHFRQRP\WKHUHE\OHVVHQLQJWKHKDUPWKDWZRXOGEHIDOO

RQHFRPSRQHQWaVLQFDSDFLWDWLRQ

Federal Communications Commission

7KH )HGHUDO &RPPXQLFDWLRQV &RPPLVVLRQ )&& LV DQ LQGHSHQGHQW IHGHUDO

DJHQF\WKDWUHSRUWVGLUHFWO\WR&RQJUHVV7KH)&&KDVJHQHUDOMXULVGLFWLRQRYHU

LQWHUVWDWH DQG LQWHUQDWLRQDO FRPPXQLFDWLRQV E\ UDGLR WHOHYLVLRQ ZLUH VDWHOOLWH

DQGFDEOH7KHH[WHQWRIWKH)&&aVUHJXODWRU\MXULVGLFWLRQZLWKLQHDFKRIWKHVH

DUHDV GRHV YDU\  7KH SDVVDJH RI WKH 7HOHFRPPXQLFDWLRQV $FW RI  DQG WKH

DGRSWLRQ RI WKH )HEUXDU\  :RUOG 7UDGH 2UJDQL]DWLRQ 7UHDW\ RQ %DVLF

7HOHFRPPXQLFDWLRQV PD\ ERWK HIIHFW LQIUDVWUXFWXUH DVVXUDQFH REMHFWLYHV

DOWKRXJKWKHUHVXOWVDUHDWWKLVWLPHXQNQRZQ

Telecommunications Carriers

)&& MXULVGLFWLRQ RYHU FRPPRQ FDUULHUV LV VHW RXW LQ 7LWOH ,, RI WKH

&RPPXQLFDWLRQV$FWRI7KLVMXULVGLFWLRQLVIRUWKHSXUSRVHRIUHJXODWLQJ

WKHSURYLVLRQRILQWHUVWDWHDQGIRUHLJQLQWHUQDWLRQDOWHOHFRPPXQLFDWLRQVVHUYLFH

E\ FDUULHUV  §7HOHFRPPXQLFDWLRQV ̈ LV GHILQHG E\ WKH $FW DV §WKH WUDQVPLVVLRQ

EHWZHHQ SRLQWV VSHFLILHG E\ WKH XVHU RI LQIRUPDWLRQ RI WKH XVHUaV FKRRVLQJ

ZLWKRXWFKDQJHLQWKHIRUPRUFRQWHQWRIWKHLQIRUPDWLRQDVVHQWDQGUHFHLYHG ̈

7KLV GHILQLWLRQ RI §WHOHFRPPXQLFDWLRQV ̈ FUHDWHV DQ REOLJDWLRQ RQ WKH SDUW RI

FDUULHUVWRSURWHFWWKHLQWHJULW\RIWKHLQIRUPDWLRQEHLQJFDUULHG7KLVREOLJDWLRQ

 

149 See 40 U.S.C. §§ 481 & 491 and 41 C.F.R. Part 101-38 (Federal Property and

Administrative Services Act of 1949); 42 U.S.C. § 6201 et seq. (Energy Policy and

Conservation Act); Pub. Law No. 102-486 (Energy Policy Act of 1992); Exec. Order 13031,

December 13, 1996 (Federal Alternative Fueled Vehicle Leadership); and Exec. Order 12844,

April 21, 1993 (Federal Use of Alternative Fueled Vehicles).

150 See 47 U.S.C. § 1 et seq. (The Communications Act of 1934).

151 47 U.S.C. §§ 201-276.

152 47 U.S.C. § 2(43).
43

LPSOLFLWO\UHTXLUHVWKDWWKHFDUULHUSURWHFWLWVLQIUDVWUXFWXUHLQRUGHUWRVDIHJXDUG

WKHLQIRUPDWLRQWUDQVPLWWHG,QDGGLWLRQWKH)&&XQGHULWVJHQHUDOVWDWHPHQW

RI SXUSRVH IURP &RQJUHVVPD\ EH DEOH WR WDNH IXUWKHU DFWLRQ DV QHFHVVDU\ WR

IXOILOO LWVPDQGDWHWR§PDNHDYDLODEOHVR IDUDVSRVVLEOHWRDOOWKHSHRSOHRIWKH

8QLWHG6WDWHVDUDSLGDQGHIILFLHQW&RPPXQLFDWLRQVVHUYLFHZLWKDGHTXDWH

IDFLOLWLHVIRU WKH SXUSRVH RI WKH QDWLRQDO GHIHQVH DQG IRU WKH SXUSRVH RI

SURPRWLQJ VDIHW\ RI OLIH DQG SURSHUW\ WKURXJK WKH XVH RI ZLUH DQG UDGLR

FRPPXQLFDWLRQ ̈7KH&RPPXQLFDWLRQV$FW RIDOVR JUDQWVSRZHU WR WKH

3UHVLGHQW LQ WLPHV RI HPHUJHQF\ IRU WKH VHWWLQJ RI SUHIHUHQFHV RU SULRULWLHV IRU

FRPPXQLFDWLRQV DQG WKH VXVSHQVLRQ RI UXOHV DQG UHJXODWLRQV DSSOLFDEOH WR

VWDWLRQVFDSDEOHRIHPLWWLQJHOHFWURPDJQHWLFUDGLDWLRQV

Wireline Telecommunications Carriers

7KH )&& UHTXLUHV ZLUHOLQH WHOHFRPPXQLFDWLRQV FDUULHUV WR UHSRUW PDMRU VHUYLFH

GLVUXSWLRQVJHQHUDOO\GLVUXSWLRQVWKDWFDXVHORVVRIVHUYLFHWRPRUHWKDQ

FXVWRPHUVIRUPRUHWKDQPLQXWHV7KH)&&aV)HGHUDO$GYLVRU\&RPPLWWHH

WKH 1HWZRUN 5HOLDELOLW\ DQG ,QWHURSHUDELOLW\ &RXQFLO 15,& LV UHVSRQVLEOH IRU

DQDO\]LQJWKLVGDWD2IWKHGLVUXSWLRQVUHSRUWHGLQDOOZHUHWUDFHDEOH

WR SK\VLFDO FDXVHV  7KH PRVW VXEVWDQWLDO SK\VLFDO §WKUHDW ̈ WR ZLUHOLQH FDUULHUV

DUH GLJLQV  XVXDOO\ DWWULEXWDEOH WR WKH IDLOXUH RI WKH H[FDYDWRU WR FRQWDFW WKH

IDFLOLW\ RSHUDWRU EHIRUH EHJLQQLQJ ZRUN:KLOH QR UHSRUWHG GLVUXSWLRQV KDYH WR

GDWHEHHQDWWULEXWHGWRF\EHUWKUHDWVIUDXGDJDLQVWWHOHFRPPXQLFDWLRQVFDUULHUV

DQGWKHLUFXVWRPHUVLVEHOLHYHGWRFRVWEHWZHHQDQGELOOLRQGROODUVDQQXDOO\

7KH'HSDUWPHQWRI-XVWLFHDQGWKH6HFUHW6HUYLFHKDYHSULPDU\MXULVGLFWLRQRYHU

WKHVH IUDXGFDVHV$PRQJ WKHFDXVHV RI WKHVH ORVVHVDUHXQDXWKRUL]HGDFFHVV WR

FXVWRPHUVa 3%; QHWZRUN IRU PDNLQJ ORQJGLVWDQFH FDOOV FDOOLQJ FDUG WKHIW DQG

YDULRXV NLQGV RI SD\ SKRQH IUDXG 15,& LV FXUUHQWO\ VWXG\LQJ ZKHWKHU WKH

7HOHFRPPXQLFDWLRQV $FW RI  KDV LQFUHDVHG WKH YXOQHUDELOLW\ RI ZLUHOLQH

QHWZRUNV WR F\EHU DWWDFN E\ SURYLGLQJ JUHDWHU DFFHVV IRU FRPSHWLWRUV WR

WHOHFRPPXQLFDWLRQV FDUULHU WUDQVPLVVLRQ HOHPHQWV VZLWFKLQJ HOHPHQWV DQG

RSHUDWLQJV\VWHPV,WVILQDOUHSRUWZDVGXH6XPPHURI

7KH )&& KDV DOVR DWWHPSWHG WR SURYLGH SURWHFWLRQ IURP KDUP FDXVHG E\

FRQQHFWLRQ RI WHUPLQDO HTXLSPHQW DQG DVVRFLDWHG ZLULQJ WKURXJK XQLIRUP

 

153 See 47 U.S.C. §§ 3(44) & 3(46).

154 47 U.S.C. § 4(i) provides that the Commission may perform “any and all acts, make such

rules and regulations, and issues such orders not inconsistent with this Act as may be

necessary in the execution of its functions.”

155 47 U.S.C. § 1.

156 See 47 U.S.C. § 706.

157 See 47 C.F.R. § 63.100.
44

VWDQGDUGV8VLQJWHUPLQDOHTXLSPHQWWRGHIHDWWHOHSKRQHELOOLQJV\VWHPVLVD

KDUP WR WKH QHWZRUN DQG WR SUHYHQW WKHVH KDUPV WKH &RPPLVVLRQ KDV IRU

H[DPSOH UHTXLUHG 3%; PDFKLQHV WR UHWXUQ DQVZHU VXSHUYLVLRQ VLJQDOV WR WKH

FHQWUDORIILFH8QGHUWKHDXWKRULW\RIVHFWLRQRIWKH$FWWKH)&&PD\KHDU

FRPSODLQWVDJDLQVWFDUULHUV7KLVDXWKRULW\LVXVHGWRDGGUHVVELOOLQJFRPSODLQWV

LQYROYLQJIUDXGFDXVHGE\WKLUGSDUWLHVPRVWRIWHQWKURXJK3%;V\VWHPV

7KH)&&aVUHJXODWLRQVLQFOXGHDFRXSOHRIVHOGRPXVHGSURYLVLRQVZKLFKFRXOGEH

XVHGIRULQIUDVWUXFWXUHDVVXUDQFHREMHFWLYHV86&SURKLELWVDQ\SHUVRQ

DVVLVWLQJ LQ UHFHLYLQJ RU WUDQVPLWWLQJ LQWHUVWDWH RU IRUHLJQ FRPPXQLFDWLRQ IURP

GLYXOJLQJWKHFRPPXQLFDWLRQVH[FHSWWKURXJKDXWKRUL]HGFKDQQHOV$OVRXQGHU

WKHDXWKRULW\RI86&GWKH)&&PD\UHTXLUHDIWHUDQRSSRUWXQLW\IRU

D IXOO KHDULQJ WKDW D FDUULHU SURYLGH LWVHOI ZLWK DGHTXDWH IDFLOLWLHV IRU WKH

H[SHGLWLRXV DQG HIILFLHQW SHUIRUPDQFH RI LWV VHUYLFH DV D FRPPRQ FDUULHU  7KLV

VHFWLRQKDVDIHZH[FHSWLRQVZKLFKLQFOXGHWKRVHFDUULHUVZKRSURYLGH LQWHUVWDWH

VHUYLFHRQO\WKURXJKLQWHUFRQQHFWLRQZLWKIDFLOLWLHVRIXQUHODWHGFDUULHUV

Wireless Telecommunications Carriers

7KH SULPDU\ IRFXV RI WKH )&&aV UHJXODWLRQ RI ZLUHOHVV FRPPXQLFDWLRQV LV WKH

DYRLGDQFHRIUDGLRIUHTXHQF\LQWHUIHUHQFH7KH&RPPLVVLRQKDVEURDGDXWKRULW\

RYHU UDGLR VHUYLFHV OLFHQVHHV  ,Q DGGLWLRQ WR WKH JHQHUDO DXWKRULW\ RYHU

OLFHQVHHVWKH)&&LVVSHFLILFDOO\JUDQWHGWKHDXWKRULW\WR§VXVSHQGWKHOLFHQVHRI

DQ\ RSHUDWRUXSRQSURRI VXIILFLHQW WR VDWLVI\ WKH &RPPLVVLRQ WKDW WKH OLFHQVHH

& KDV ZLOOIXOO\ GDPDJHG RU SHUPLWWHG UDGLR DSSDUDWXV RU LQVWDOODWLRQV WR EH

GDPDJHG ̈7KLV DXWKRULW\ FRXOG VXSSRUW DGGLWLRQDO LQIUDVWUXFWXUH DVVXUDQFH

UHODWHGUHJXODWLRQV

15,&KDV UHFRPPHQGHG WKDW ZLUHOHVV FDUULHUV HVWDEOLVK SURFHVVHV IRU UHSRUWLQJ

VHUYLFH GLVUXSWLRQV EXW KDV QRW UHFRPPHQGHG QRU KDV WKH )&& UHTXLUHG

ZLUHOHVVFDUULHUVWRIROORZWKHUHSRUWLQJUHTXLUHPHQWVSODFHGRQZLUHOLQHFDUULHUV

7HUUHVWULDO ZLUHOHVV FDUULHUV GR UHSRUW GLVUXSWLRQV RI VHUYLFH RI  FRQWLQXRXV

 

158 See 47 C.F.R. Part 68.

159 Generally, the FCC has found the customer, rather than the telephone company, liable for

fraudulent charges where the customer had the capability to restrict access to and egress from

its PBX at all times, particularly where the customer took no steps available to it to detect or

prevent unauthorized calls.

160 See 47 U.S.C. § 2(b)(2).

161 See 47 U.S.C. § 303(r).

162 47 U.S.C. § 303(m)(1)(C).
45

GD\V RU GLVFRQWLQXHG VHUYLFH 6DWHOOLWH ZLUHOHVV FDUULHUV ILOH VHPLDQQXDO

UHSRUWVZKLFK LQFOXGHGLVFXVVLRQV RI WKHFDXVHV RIDQ\XQVFKHGXOHG WUDQVSRQGHU

RXWDJHVODVWLQJPRUHWKDQPLQXWHV

7HUUHVWULDOZLUHOHVVFDUULHUVDUHSURWHFWHGIURPIUDXGE\FULPLQDOSURYLVLRQVVXFK

DV  86&    /DZ HQIRUFHPHQW DJHQFLHV KDYH MXULVGLFWLRQ RYHU WKH

FULPLQDOSURVHFXWLRQVRIWKRVHZKRVWHDOSKRQHVRUDOWHUHOHFWURQLFVHULDOQXPEHUV

RU PRELOH LGHQWLILFDWLRQ QXPEHUV  8QGHU  86&  G WKH )&& KDV

SURKLELWHG WKH LQWHUFHSWLQJ RI FHOOXODU UDGLR WUDQVPLVVLRQV XVLQJ FHUWDLQ

§VFDQQLQJ GHYLFHV ̈  6DWHOOLWH ZLUHOHVV FDUULHUV DUH SURWHFWHG IURP XQDXWKRUL]HG

DFFHVV E\  86&   ZKLFK FULPLQDOL]HV WKH LQWHQWLRQDO RU  PDOLFLRXV

LQWHUIHUHQFH ZLWK WKH RSHUDWLRQ RI D VDWHOOLWH  2WKHU SURYLVLRQV SUHYHQW

XQDXWKRUL]HG XVH LQWHUFHSWLRQ DQG GLVFORVXUH RI FRPPXQLFDWLRQV  VXFK DV 

86&SURKLELWVXVHRIUDGLRFRPPXQLFDWLRQVZLWKRXWEHLQJ§HQWLWOHG ̈

86&   DQG  86&   SURKLELWV ZLOOIXO RU PDOLFLRXV

LQWHUIHUHQFHZLWKOLFHQVHGUDGLRFRPPXQLFDWLRQV

Non-Telecommunications Communications Facilities

7KH )&& DOVR UHJXODWHV EURDGFDVW WHOHYLVLRQ EURDGFDVW UDGLR $0 DQG )0

VKLSERDUG UDGLR  RWKHU VDIHW\ DQG VSHFLDO UDGLR VHUYLFHV DQG FDEOH WHOHYLVLRQ

7KH (PHUJHQF\ $OHUW 6\VWHP ($6 UHTXLUHV EURDGFDVW QHWZRUNV FDEOH

QHWZRUNV DQG SURJUDP VXSSOLHUV $0 )0 DQG 79 EURDGFDVW VWDWLRQV /RZ

3RZHU79VWDWLRQVFDEOHV\VWHPVDQG RWKHU HQWLWLHV WR RSHUDWH RQDQ RUJDQL]HG

EDVLV GXULQJ HPHUJHQFLHV7KLV V\VWHP DOORZV WKH3UHVLGHQW DQG ORFDO RIILFLDOV

GXULQJ ORFDO HPHUJHQFLHV WR DGGUHVV WKH JHQHUDO SXEOLF  7KH 3ODQ IRU WKH

6HFXULW\ &RQWURO RI $LU 7UDIILF DQG $LU 1DYLJDWLRQ $LGV GHILQHV WKH

UHVSRQVLELOLWLHV RI WKH &RPPLVVLRQ IRU WKH VHFXULW\ FRQWURO RI QRQIHGHUDO DLU

 

163 See 47 C.F.R. § 22.317. NRIC has studied terrestrial wireless service disruptions in

cellular radio service based on voluntarily provided data and has concluded that the primary

causes of service outages are software design, hardware failure, and procedural error.

Network Reliability-- The Path Forward, http://www.fcc.gov/oet/nric, Network Reliability

Performance at 6.3. In addition, NRIC has reviewed the performance of terrestrial wireless

networks after natural disasters. The Council found that the networks were fairly robust

because of the presence of multiple service providers and the mobility of the infrastructure.

Portable infrastructure can be imported into an impacted area and service can be quickly

restored.

164 See 47 C.F.R. § 25.210(j)(2). New technologies in satellites-- onboard management of

individual switched subscriber connections, moving tracking antennas-- will create more

complex reliability issues and may necessitate further study.

165 18 U.S.C. § 1367 was in response to an incident of unauthorized access to a satellite in

1986-- the so-called “Captain Midnight” event. There was a second incident in 1987.

166 47 C.F.R. Part 11.

167 47 C.F.R. Part N, §§ 87.393-397.
46

QDYLJDWLRQDLGV7KH3XEOLF6DIHW\1DWLRQDO3ODQVSHFLILHVVSHFLDOSROLFLHVDQG

SURFHGXUHV JRYHUQLQJ WKH 3XEOLF 6DIHW\ 5DGLR 6HUYLFHV DQG WKH 6SHFLDO

(PHUJHQF\5DGLR6HUYLFH

Continuity of Government Operations

7KH)&&KDVDZHOOGHYHORSHGLQWHUQDOSURJUDPIRUSURWHFWLQJWKHVHFXULW\RILWV

RZQ FRPSXWHU QHWZRUNV DQG LWV FRQWLQXHG RSHUDWLRQ  )&& ,QVWUXFWLRQ 

WKH )&& &RPSXWHU 6HFXULW\ 3URJUDP 'LUHFWLYH IRU HPSOR\HHV DQG FRQWUDFWRUV

VHWV WKH SROLF\ IRU HQVXULQJ WKH DYDLODELOLW\ RI GDWD DQG FRPSXWHU V\VWHPV WKH

LQWHJULW\ RI GDWD DQG V\VWHP DQG WKH FRQILGHQWLDOLW\ RI &RPPLVVLRQ GDWD

7KH )&& &RPSXWHU 6HFXULW\ 2IILFHU PDLQWDLQV D 7ZR<HDU 6WUDWHJLF 3ODQ

RXWOLQLQJ PDMRU ,QIRUPDWLRQ 7HFKQRORJ\ &HQWHU ,7& WDVNV DQG HVWDEOLVKHV

DSSURSULDWH PLOHVWRQHV DQG DQWLFLSDWHG H[SHQGLWXUHV  7KH &RPSXWHU 6HFXULW\

2IILFHU DOVR FRQGXFWV WUDLQLQJ LQ FRPSOLDQFH ZLWK WKH &RPSXWHU 6HFXULW\ $FW RI

7KH)&&UHTXLUHVWKDWFRQWUDFWRUVZRUNZLWKWKH&RPPLVVLRQWRDELGHE\

WKH&RPSXWHU6HFXULW\3URJUDP'LUHFWLYHDQGKDVLQFRUSRUDWHGWKLVUHTXLUHPHQW

LQWRWKHLUFRQWUDFWV

2QDTXDUWHUO\EDVLVWKH&RPSXWHU6HFXULW\2IILFHUFRQGXFWVDXWRPDWHGDQDO\VLV

RINH\V\VWHPVLQIXOILOOPHQWRIWKHUHTXLUHPHQWVRIWKH&RPSXWHU6HFXULW\$FWRI

  7KH UHVXOWV DUH XVHG WR HOLPLQDWH SRWHQWLDO V\VWHP WKUHDWV DQG WR EULHI

PDQDJHPHQW3HULRGLFDFFRXQWDXGLWVDUHDOVRFRQGXFWHG RQ FULWLFDOV\VWHPVDV

DQRWKHU PHWKRG IRU FROOHFWLQJ WKUHDW LQIRUPDWLRQ  ,Q  WKH )&& ,QVSHFWRU

*HQHUDO DQG WKH &RPSXWHU 6HFXULW\ 3URJUDP EHJDQ XVLQJ §7LJHU 7HDPV ̈ WR

LGHQWLI\ V\VWHP VHFXULW\ GHILFLHQFLHV  7KH &RPSXWHU 6HFXULW\ 2IILFHU )&&

7HOHFRPPXQLFDWLRQ 6\VWHP 0DQDJHU DQG ,QVSHFWRU *HQHUDO DUH ZRUNLQJ RQ

DGGUHVVLQJVLPLODUVHFXULW\FRQFHUQVIRUWKH)&&WHOHFRPPXQLFDWLRQVV\VWHP

)&& FRPSXWHU KDUGZDUH LV SURWHFWHG WKURXJK WKH )&& 3K\VLFDO 6HFXULW\ DQG

*XDUG )RUFH SURJUDP  7KURXJK D VHULHV RI VHQVRUV PRQLWRU VWDWLRQV FORVHG

FLUFXLW FDPHUDV DQG DODUPV )&& 3K\VLFDO 6HFXULW\ *XDUG IRUFHV DUH QRWLILHG

ZKHQ NH\ HOHFWURQLF DVVHWV DUH SODFHG QHDU VWUDWHJLFDOO\ ORFDWHG VHQVRUV

&RPSXWHUQHWZRUNVPDQDJHGE\,7&DOVRKDYHSURWHFWLYHEDUULHUV$FFRUGLQJWR

SUHVHWFRQGLWLRQV LQWUXGHUVDUH ORFNHGRXWDXWRPDWLFDOO\ZKHQWKHFRQGLWLRQVRU

WKUHVKROGVDUHPHW6\VWHPVHLWKHUDXWRPDWLFDOO\UHVHWDIWHUDSHULRGRIWLPHRU

 

168 47 C.F.R. § 90.16.

169 The FCC Computer Security Program is designed to meet all requirements set forth in

Office of Management and Budget (OMB) Circular A-130, Appendix III, Security of Federal

Information Resources, Public Law 100-235, The Computer Security Act of 1987, and other

federal mandates for providing computer security support to Federal agency systems. The

document details proper use and penalties for misuse of FCC systems, use of identification

and authentication for controlling access, as well as guidance on use of electronic mail,

intranet and Internet services.
47

UHTXLUHV\VWHPPDQDJHPHQWLQWHUYHQWLRQIRUUHVHWWLQJ7KH)&&DOVRKDVDILYH

OD\HU SURJUDP IRU FRQWUROOLQJ FRPSXWHU YLUXVHV  7KH ,7& KDV SUHSDUHG IRU

HPHUJHQFLHV E\ HVWDEOLVKLQJ D &RPSXWHU (PHUJHQF\ 5HVSRQVH 7HDP &(57

7KH ,7& &(57 UHVSRQGV WR LQFLGHQWV UDQJLQJ IURP LQDSSURSULDWH HPDLO WR

FRPSXWHULQWUXVLRQV7KH)&&DOVRSDUWLFLSDWHVLQWKH1,67)HGHUDO&RPSXWHU

,QFLGHQW 5HVSRQVH &DSDELOLW\ )HG&,5& DQG WKH 1,67 )HGHUDO ,QIRUPDWLRQ

6\VWHP6HFXULW\0DQDJHU)RUXP

United States Postal Service

Continuity of Government Operations

7KH863RVWDO6HUYLFHLVDQLPSRUWDQWHOHPHQWLQWKHFRQWLQXLW\RIJRYHUQPHQW

RSHUDWLRQV DV ZHOO DV WKH FRQWLQXHG FRPPXQLFDWLRQ RI SULYDWH EXVLQHVVHV DQG

LQGLYLGXDOV7KH3RVWDO6HUYLFHDQ LQGHSHQGHQWHVWDEOLVKPHQWRIWKH([HFXWLYH

%UDQFK KDV EURDG DXWKRULW\ WR DFFRPSOLVK LWV PLVVLRQ WKH GHOLYHU\ RI SDUFHOV

WKURXJKRXW WKH ZRUOG  ,Q DGGLWLRQ WR WKH DXWKRULW\ WR SUHVFULEH UHJXODWLRQV

QHFHVVDU\ DQG DSSURSULDWH IRU FDUU\LQJ RXW LWV IXQFWLRQ WKH 3RVWDO 6HUYLFH DOVR

KDVDXWKRULW\WRGHWHUPLQHLWVH[SHQGLWXUHV3RVWDOUHYHQXHVDUHSHUPDQHQWO\

DSSURSULDWHGWRWKH3RVWDO6HUYLFH)XQGDQGWKH3RVWDO6HUYLFHPD\DOVRERUURZ

IXQGVZLWKLQFHUWDLQSUHVFULEHGOLPLWV

7KH3RVWDO6HUYLFHDOVRKDV WKHDXWKRULW\ IRU WKH LQYHVWLJDWLRQDQG HQIRUFHPHQW

RI DOO FLYLO DQG FULPLQDO VWDWXWHV RI WKH 8QLWHG 6WDWHV SHUWDLQLQJ WR WKH 3RVWDO

6HUYLFH DQG WKH PDLOV  7KLV DXWKRULW\ LV GHOHJDWHG WR WKH 3RVWDO ,QVSHFWLRQ

6HUYLFH  ZKLFK LQYHVWLJDWHV DQG HQIRUFHV ERWK JHQHULF VWDWXWHV JRYHUQLQJ

IHGHUDOSURSHUW\HPSOR\HHVDQGSURFHVVHVDVWKH\SHUWDLQWRWKH3RVWDO6HUYLFH

DV ZHOO DV SURYLVLRQV WKDW GHDO VSHFLILFDOO\ ZLWK WKH 3RVWDO 6HUYLFH DQG WKH

PDLOV 7KH 3RVWDO 6HUYLFH LV FXUUHQWO\ QHJRWLDWLQJ D PHPRUDQGXP RI

XQGHUVWDQGLQJ ZLWK WKH 'HSDUWPHQW RI -XVWLFH DQG WKH )HGHUDO %XUHDX RI

 

170 See 39 U.S.C. §§ 201, 403(a); see also 39 U.S.C. § 407 (international postal

arrangements).

171 39 U.S.C. § 401(2), (10); 39 U.S.C. § 401(3).

172 39 U.S.C. §§ 2003(b), 2401(a); 39 U.S.C. § 2005(a).

173 39 U.S.C. § 404(a)(7); 18 U.S.C. § 3061.

174 39 C.F.R. § 224.233.

175 Specific criminal statutes relating to the mails include: 18 U.S.C. §§ 876-77 (mailing

threatening communications); 18 U.S.C. §§ 1701-03 (obstruction of the mails); 18 U.S.C. §

1705 (destruction of a letter box or mail); 18 U.S.C. § 2115 (breaking into post office).
48

,QYHVWLJDWLRQZKLFKZLOOJLYHWKH3RVWDO6HUYLFHMXULVGLFWLRQRYHUFULPHVLQYROYLQJ

HOHFWURQLFFRPPHUFHVHUYLFHVRIIHUHGE\WKH3RVWDO6HUYLFH7KHJHQHUDOSRZHUVRI

WKH3RVWDO6HUYLFHDOVRLQFOXGHVHFXULW\JXDUGVZKRPD\H[HUFLVHWKHDXWKRULW\RI

VSHFLDOSROLFH

8QGHU WKH 3DUW  RI ([HFXWLYH 2UGHU  $VVLJQPHQW RI (PHUJHQF\

3UHSDUHGQHVV 5HVSRQVLELOLWLHV WKH 3RVWDO 6HUYLFH KDV OHDG UHVSRQVLELOLW\ IRU

SODQV DQG SURJUDPV WR SURYLGH HVVHQWLDO SRVWDO VHUYLFHV GXULQJ D QDWLRQDO

VHFXULW\ HPHUJHQF\  7KH 3RVWDO 6HUYLFH ZRXOG DOVR DVVLVW RWKHU DJHQFLHV LQ

ORFDWLQJ DQG OHDVLQJ SULYDWHO\ RZQHG SURSHUW\ IRU IHGHUDO XVH LQ VXFK DQ

HPHUJHQF\  )HGHUDO 3UHSDUHGQHVV &LUFXODU  &RQWLQXLW\ RI WKH ([HFXWLYH

%UDQFK RI WKH)HGHUDO*RYHUQPHQW DW WKH+HDGTXDUWHUV/HYHO'XULQJ1DWLRQDO

6HFXULW\ (PHUJHQFLHV GHVLJQDWHV WKH 3RVWDO 6HUYLFH DV D &DWHJRU\ ,

RUJDQL]DWLRQ UHTXLUHG WR SURYLGH D FDSDELOLW\ IRU XQLQWHUUXSWHG HPHUJHQF\

RSHUDWLRQVGXULQJDQDWLRQDOVHFXULW\HPHUJHQF\3URFHGXUHVIRULQGLYLGXDOVSRVW

RIILFHV DQG +HDGTXDUWHUV IRU GHDOLQJ ZLWK GLVUXSWLRQV RI QRUPDO RSHUDWLRQV DUH

VHW RXW LQ WKH 3RVWDO 6HUYLFHaV +HDGTXDUWHUV (PHUJHQF\ 3ODQ )HEUXDU\ 

DQGWKH(PHUJHQF\3ODQQLQJ0DQXDO'HFHPEHU%RWKRIWKHVHSODQVDUH

FXUUHQWO\EHLQJFRQVLGHUHGIRUXSGDWH

Department of the Interior

7KHEXUHDXVDQGRUJDQL]DWLRQVWKDWFRPSULVHWKH'HSDUWPHQWRIWKH,QWHULRUDUH

WKHSULQFLSDOIHGHUDODXWKRULW\IRUWKHSURSHUXVHDQGSURWHFWLRQRIIHGHUDOODQGV

7KH'HSDUWPHQWaVMXULVGLFWLRQUDQJHVIURPQDWLRQDOSDUNVWR,QGLDQUHVHUYDWLRQV

:KLOH WKH 'HSDUWPHQW RI WKH ,QWHULRU KDV OLWWOH GLUHFW DXWKRULW\ UHODWHG WR

LQIUDVWUXFWXUHDVVXUDQFHWKHDXWKRULW\WKDWLWH[HUFLVHVRYHUIHGHUDOODQGVDIIHFWV

PDQ\ RI WKH FULWLFDO LQIUDVWUXFWXUHV LGHQWLILHG LQ ([HFXWLYH 2UGHU   7KH

'HSDUWPHQW RI WKH ,QWHULRU DOVR KDV D OLPLWHG UROH LQ ODZ HQIRUFHPHQW IRU WKH

SURWHFWLRQRISXEOLFVDIHW\DQGSXEOLFODQGVDQGUHVRXUFHV7KLVUROHSURYLGHVIRU

FRRSHUDWLRQ ZLWK RWKHU ODZ HQIRUFHPHQW ERGLHV DW WKH IHGHUDO VWDWH DQG ORFDO

OHYHOV$XWKRULWLHVUHODWHGWR,QGLDQODQGVDUHDGPLQLVWHUHGE\WKH%XUHDXRI

,QGLDQ $IIDLUV %,$  7KHVH DXWKRULWLHV PD\ KDYH DQ LPSDFW RQ WKH

LQIUDVWUXFWXUH SK\VLFDOO\ ORFDWHG RQ ,QGLDQ ODQGV RU LQIUDVWUXFWXUH VHUYLFHV

SURYLGHG WR WKH LQKDELWDQWV RI ,QGLDQ 5HVHUYDWLRQV  6LPLODUO\ WKH 1DWLRQDO

 

176 See 446 DM Chapter 1; 43 U.S.C. § 1733, and BLM Law Enforcement General Order 23.

177 See, e.g., 25 U.S.C. §§ 311-328 and 25 C.F.R. Part 169 (right-of-way through Indian lands

for telecommunications purposes); Indian Mineral Development Act of 1982, 25 U.S.C. §§

2101-09 and 25 C.F.R. Parts 225-27 (oil and gas agreements); American Indian Trust Fund

Management Reform Act, 25 U.S.C. §§ 4001-4061; Indian Dams Safety Act, 25 U.S.C. §§
49

3DUN6HUYLFH136DQG86)LVKDQG:LOGOLIH6HUYLFH ):6KDYHDXWKRULW\WR

UHJXODWH WKH FRQGXFW RI FHUWDLQ LQIUDVWUXFWXUHV SK\VLFDOO\ ORFDWHG RQ 1DWLRQDO

3DUNDQG):6ODQGV

Emergency Services and Telecommunications

7KH%XUHDXRI/DQG0DQDJHPHQW%/0RZQVDUDGLRVDWHOOLWHDQGPLFURZDYH

FRPPXQLFDWLRQVV\VWHPWKH1DWLRQDO,QWHUDJHQF\)LUH&HQWHU 1,)&GHVLJQHG

WRFRRUGLQDWH LQIRUPDWLRQDQGFRPPXQLFDWLRQVUHOHYDQWWRZLOGODQG ILUHILJKWLQJ

RSHUDWLRQV 7KH %/0 DOVR UHVSRQGV WR QDWXUDO GLVDVWHUV XVLQJ WKH 1DWLRQDO

,QFLGHQW 5DGLR 6XSSRUW &DFKH D V\VWHP RI HTXLSPHQW DQG KXPDQ UHVRXUFHV

WUDLQHG DQG PDLQWDLQHG WR WUDYHO  ZRUOGZLGH    %/0aV SHUVRQQHO DQG

WHOHFRPPXQLFDWLRQVQHWZRUN FDQQRWDVVLVWDQ\VWDWH RU ORFDO MXULVGLFWLRQ DEVHQW

DQLQWHUDJHQF\DJUHHPHQWRUUHTXHVWE\WKHMXULVGLFWLRQ

%/0DOVRKDVDXWKRULW\ IRU WKHSK\VLFDOSURWHFWLRQ RI LQIUDVWUXFWXUHVXQGHU 

86& ZKLFK SURKLELWV WKHZLOOIXO RUPDOLFLRXV LQMXU\ RU GHVWUXFWLRQ RU

ZLOOIXO RUPDOLFLRXV DWWHPSW WR LQMXUH RU GHVWUR\ DQ\ RI WKHZRUNV SURSHUW\ RU

PDWHULDO RI DQ\ UDGLR WHOHJUDSK WHOHSKRQH RU FDEOH OLQH VWDWLRQ RU V\VWHP RU

RWKHU PHDQV RI FRPPXQLFDWLRQ RSHUDWHG RU FRQWUROOHG E\ WKH 8QLWHG 6WDWHV

ZKHWKHUVXFKV\VWHP LVFRQVWUXFWHG RUXQGHUFRQVWUXFWLRQ,W LVDOVRD FULPH WR

KLQGHUGHOD\RUREVWUXFWWKHWUDQVPLVVLRQRUFRPPXQLFDWLRQRYHUVXFKD OLQHRU

V\VWHP  %/0 KDV DXWKRULW\ WR HQIRUFH FULPLQDO ODZV SURWHFWLQJ VDWHOOLWHV DQG

VDWHOOLWHWUDQVPLVVLRQV,WVODZHQIRUFHPHQWRIILFHUVDOVRKDYHDXWKRULW\RYHU

VSHFLILFDFWVRQIHGHUDOODQG

Emergency Services

%/0 KDV WUDLQHG SHUVRQQHO DQG HTXLSPHQW UHDG\ WR UHVSRQG WR HPHUJHQFLHV

LQYROYLQJ %/0RZQHG IDFLOLWLHV  7KHVH UHVRXUFHV LQFOXGH ODZ HQIRUFHPHQW

ILUHILJKWLQJDQGHQYLURQPHQWDOUHVSRQVHSHUVRQQHODVZHOODVSROLFHFDUVDQGILUH

HQJLQHV  $PRQJ WKH PRUH LPSRUWDQW DXWKRULWLHV JUDQWHG WR WKH 6HFUHWDU\ RI

,QWHULRUIRUHPHUJHQFLHVLVWKHSRZHUWRHQWHULQWRFRRSHUDWLYHDJUHHPHQWVIRUWKH

SURWHFWLRQ RI IHGHUDO ODQGV ZKLFK LQFOXGHV PDQDJHPHQW DV ZHOO DV ODZ

 

3801-3804 (maintenance and repair of dams located on Indian lands); Indian Law

Enforcement Reform Act, 25 U.S.C. §§ 2801-2809.

178 16 U.S.C. § 1 et seq.; See, e.g., 16 U.S.C. § 5 & § 79 and 36 C.F.R. § 14

(telecommunications facilities and electric power).

179 See 18 U.S.C. § 1367.

180 See, e.g., 18 U.S.C. § 1864 (prohibits use of a hazardous or injurious device on federal

land).
50

HQIRUFHPHQW IXQFWLRQV 8QGHU FHUWDLQ FLUFXPVWDQFHV WKH 'HSDUWPHQW LV

DXWKRUL]HG WR UHVSRQG WR HPHUJHQFLHV DEVHQW D FRRSHUDWLYH DUUDQJHPHQW  

86& DOORZVPXWXDODLG LQ ILUHSURWHFWLRQDQG HPHUJHQF\ DVVLVWDQFH LQ

H[WLQJXLVKLQJILUHVLQWKHYLFLQLW\RIDJHQF\IDFLOLWLHV

2WKHU LPSRUWDQW FRRSHUDWLYH DUUDQJHPHQWV H[LVW EHWZHHQ ,QWHULRU DQG RWKHU

IHGHUDO DJHQFLHV  9LD DQ LQWHUDJHQF\ DJUHHPHQW 15& LV DEOH WR XVH %/0aV

WHOHFRPPXQLFDWLRQVV\VWHPDQGSHUVRQQHO IRUWKHSURWHFWLRQ RIQXFOHDU IDFLOLWLHV

XQGHU LWV MXULVGLFWLRQ  %/0 KDV DOVR PDGH DQ LQWHUDJHQF\ DJUHHPHQW ZLWK

)(0$ WR DVVLVW VWDWH DQG ORFDO JRYHUQPHQWV GXULQJ HPHUJHQFLHV RU GLVDVWHUV

XSRQ WKH UHTXHVW RI VXFK JRYHUQPHQWV  7KLV LQWHUDJHQF\ DJUHHPHQW LV DOVR

WULJJHUHG E\ 3UHVLGHQWLDOO\ GHFODUHG GLVDVWHUV  %/0 DQG 136 DUH DOVR

VLJQDWRULHV WR WKH ,QWHU'HSDUWPHQWDO 028 DOORZLQJ &URVV'HSXWDWLRQ RI /DZ

(QIRUFHPHQW SRZHU ZLWKLQ WKH IHGHUDO JRYHUQPHQW LQ DSSURSULDWH FDVHV

LQFOXGLQJ UHTXHVWV IRUDVVLVWDQFHPDGH WKURXJK WKH ,QFLGHQW&RPPDQG6\VWHP

7KLV 6\VWHP LV D IHGHUDO JRYHUQPHQW ZLGH PHWKRG WKDW LV XVHG LQ DSSURSULDWH

FDVHV IRUDQ\ IHGHUDO RIILFHU RU JURXS RI IHGHUDO RIILFHUV UHTXHVWLQJ DVVLVWDQFH LQ

DQHPHUJHQF\

$WWKHVWDWHOHYHO%/0KDV028VLQSODFHZLWKORFDODQGVWDWHODZHQIRUFHPHQW

DQG ILUH SUHYHQWLRQ RIILFHV  6XFK 028V DQG RQJRLQJ UHODWLRQVKLSV FRXOG EH

UHOHYDQW WR WKH SURYLVLRQ RI HPHUJHQF\ VHUYLFHV LQ WKH HYHQW RI DQ DWWDFN RU

QDWXUDO GLVDVWHU  2QH H[DPSOH LV WKH  &RRSHUDWLYH )LUH 3URWHFWLRQ

$JUHHPHQW LQ WKH 6WDWH RI $ODVND  7KLV DJUHHPHQW GHVLJQDWHV SUHGHWHUPLQHG

ILUHSURWHFWLRQUHVSRQVLELOLW\DUHDVLQ$ODVNDUHJDUGOHVVRIZKHWKHUWKHODQGVDUH

DGPLQLVWHUHGE\WKHIHGHUDORUVWDWHJRYHUQPHQWVQDWLYHFRUSRUDWLRQVERURXJKV

RUWKHPLOLWDU\7KH1DWLRQDO3DUN6HUYLFHKDVHQWHUHGLQWRVLPLODUDJUHHPHQWV

IRU FRRSHUDWLRQ ZLWK ODZ HQIRUFHPHQW DQG ILUH SUHYHQWLRQ DJHQFLHV DW WKH VWDWH

DQGORFDOOHYHOV'&&RGHHWVHTSURYLGHVVSHFLDODXWKRULW\IRUWKH3DUN

3ROLFHLQWKH'LVWULFWRI&ROXPELDDQGLWVHQYLURQV7KH136PD\DOVRFORVHSDUN

DUHDVIRUSXEOLFVDIHW\SXUSRVHV

8QGHU WKH1DWLRQDO:LOGOLIH 5HIXJH6\VWHP $GPLQLVWUDWLRQ $FW RI  FHUWDLQ

):6 SHUVRQQHOKDYH ODZ HQIRUFHPHQW DXWKRULW\ RQ6HUYLFH ODQGV $ ELOO KDV

EHHQ SHQGLQJ LQ &RQJUHVV VLQFH  WR JLYH %XUHDX RI 5HFODPDWLRQ SHUVRQQHO

ODZHQIRUFHPHQWDXWKRULW\WREHWWHUDGPLQLVWHU5HFODPDWLRQODQGV

7KH 8QLWHG 6WDWHV *HRORJLFDO 6XUYH\ 86*6 UHVHDUFK DQG GDWD FROOHFWLRQ

IXQFWLRQV PD\ DVVLVW WKH IHGHUDO VWDWH DQG ORFDO JRYHUQPHQWV GXULQJ

HPHUJHQFLHV$PRQJWKHPRUHUHOHYDQWIXQFWLRQVWRLQIUDVWUXFWXUHDVVXUDQFHDUH

 

181 See 43 U.S.C. 1737; Chapter XI-Law Enforcement Cooperation., H-9260-1 BLM Law

Enforcement Management.

182 16 U.S.C. § 668dd(f).
51

WKH *OREDO 6HLVPRJUDSKLF  1HWZRUN D QHWZRUN RI KLJKTXDOLW\ GLJLWDO

LQVWUXPHQWV WKDW PHDVXUH UHFRUG JURXQG VKDNLQJ ZKLFK FDQ VHUYH DV WKH

SULQFLSDO VRXUFH RI SXEOLF LQIRUPDWLRQ RQ HDUWKTXDNHV DQG H[SORVLRQV RFFXUULQJ

LQWHUQDWLRQDOO\ 1DWLRQDO :DWHU 4XDOLW\ $VVHVVPHQW DQG &RPPLWWHH RQ

&LYLO$SSOLFDWLRQVRI&ODVVLILHG2YHUKHDG3KRWRJUDSK\&$&

Electric Power

%/0 ODZHQIRUFHPHQWRIILFHUVDUHDXWKRUL]HGWRHQIRUFH86&ZKLFK

PDNHV LW D FULPH WR NQRZLQJO\ RU ZLOOIXOO\ GDPDJH RU DWWHPSW WR GDPDJH  DQ

HQHUJ\IDFLOLW\§(QHUJ\IDFLOLW\ ̈LQFOXGHVDFRPSDQ\LQYROYHGLQWKHSURGXFWLRQ

VWRUDJH WUDQVPLVVLRQ RU GLVWULEXWLRQ RI HOHFWULFLW\ IXHO RU DQRWKHU IRUP RU

VRXUFH RI HQHUJ\ RU UHVHDUFK GHYHORSPHQW RU GHPRQVWUDWLRQ IDFLOLWLHV UHODWHG

WKHUHWR

7KH6HFUHWDU\RIWKH,QWHULRULVUHVSRQVLEOHIRUSUHYHQWLQJ§XQQHFHVVDU\RUXQGXH

GHJUDGDWLRQ RI WKH >SXEOLF@ ODQGV ̈7KH6HFUHWDU\DOVRKDV WKH SRZHU WR JUDQW

ULJKWVRIZD\RYHUSXEOLFODQGVIRUV\VWHPVIRUWKHJHQHUDWLRQWUDQVPLVVLRQDQG

GLVWULEXWLRQRIHOHFWULFDOHQHUJ\

Oil and Gas Storage and Transportation

8QGHUWKH0LQHUDO/HDVLQJ$FWVLPLODUDXWKRULW\WRWKDW LQWKHHOHFWULFSRZHU

DUHQDKDVEHHQJUDQWHGWRWKH6HFUHWDU\RIWKH,QWHULRUIRURLODQGJDVSLSHOLQHV

%/0HQIRUFHV86&IRURLODQGJDVIDFLOLWLHVDVZHOODVHOHFWULFSRZHU

IDFLOLWLHV  ,Q WKLV FRQWH[W WKH SRZHU WR JUDQW ULJKWVRIZD\ IRU SLSHOLQHV DOVR

LQFOXGHV WKH DXWKRULW\ WR LPSRVH VWLSXODWLRQV DGGUHVVLQJ GDPDJH WR SXEOLF RU

SULYDWH SURSHUW\ DQG KD]DUGV WR SXEOLF KHDOWK DQG VDIHW\  ,I QHFHVVDU\ WR

SURWHFW SXEOLF KHDOWK VDIHW\ RU WKH HQYLURQPHQW WKH 6HFUHWDU\ PD\ RUGHU WKH

LPPHGLDWH WHPSRUDU\ VXVSHQVLRQ RI DFWLYLWLHVZLWKLQ WKH ULJKWRIZD\ RU SHUPLW

DUHD

 

183 See 15 U.S.C. §§ 5652 (The Land Remote Sensing Policy Act of 1992); 42 U.S.C. §§

7701 et seq. (The Earthquake Hazards Reduction Act of 1977).

184 See Pub. Law No. 102-580 (Water Resources Act of 1992).

185 Authority for this program is set out is a classified Presidential Directive from 1975.

186 43 U.S.C. § 1732(b).

187 FLPMA § 501(a)(4).

188 30 U.S.C. § 185.

189 30 U.S.C. § 185(h).

190 30 U.S.C. § 185(o).
52

7KH6HFUHWDU\DOVRKDV WKHDXWKRULW\ WRUHJXODWHGULOOLQJDQGVXUIDFHGLVWXUELQJ

DFWLYLWLHV RQ SXEOLF ODQGV  7KH 6HFUHWDU\ LV UHTXLUHG WR VHW VWDQGDUGV IRU

UHFODPDWLRQ DQG UHVWRUDWLRQ DIWHU WKH FHVVDWLRQ RI RLO DQG JDV DFWLYLWLHV  7KLV

VWDQGDUGVHWWLQJ DXWKRULW\ FRXOG EH XVHG WR UHJXODWH WKH UHEXLOGLQJ DQG WKH

FOHDQXSSURFHVVRQSXEOLFODQGV7KH0LQHUDOV0DQDJHPHQW6HUYLFH006LV

UHVSRQVLEOHIRUDOORI'2,aVRLODQGJDVOHDVLQJDFWLYLWLHVRQWKH2XWHU&RQWLQHQWDO

6KHOI 2&68QGHU WKH2XWHU&RQWLQHQWDO6KHOI/DQGV$FW WKH6HFUHWDU\ RI

WKH ,QWHULRU QRW RQO\ PD\ OHDVH 2&6 WUDFWV IRU JDV DQG RLO H[SORUDWLRQ DQG

SURGXFWLRQ EXW PD\ DOVR UHJXODWH DQG DSSURYH DOO SURGXFWLRQ SODQV LQFOXGLQJ

VDIHW\ DQG FRQVWUXFWLRQ VSHFLILFDWLRQV LQVSHFW DQG UHTXLUH UHSRUWV VXIILFLHQW WR

PDQGDWH FRPSOLDQFH ZLWK UHJXODWRU\ VWDQGDUGV DQG LPSRVH FLYLO SHQDOWLHV RQ

OHVVHHV QRW LQ FRPSOLDQFH  7KLV UHJXODWRU\ DXWKRULW\ H[WHQGV WR RSHUDWLQJ

SURFHGXUHV SLSHOLQHV DQG RIIVKRUH VWRUDJH RI RLO DQG JDV  7KLV DXWKRULW\ LV

LPSOHPHQWHGE\&)53DUW2LODQG*DVDQG6XOSKXU2SHUDWLRQVLQWKH

2XWHU &RQWLQHQWDO6KHOI2YHUODS LQ WKH DXWKRULW\ RI WKH006 DQG WKH &RDVW

*XDUG LV JRYHUQHG E\ D 028 SURYLGLQJ IRU FRRUGLQDWLRQ  &RRUGLQDWLRQ RI

RYHUODSSLQJ MXULVGLFWLRQ ZLWK WKH 'HSDUWPHQW RI 7UDQVSRUWDWLRQ LV JRYHUQHG E\

DQ 028 GDWHG 'HFHPEHU   HQWLWOHG §0HPRUDQGXP RI 8QGHUVWDQGLQJ

%HWZHHQ WKH 'HSDUWPHQW RI 7UDQVSRUWDWLRQ DQG WKH 'HSDUWPHQW RI ,QWHULRU

5HJDUGLQJ2&63LSHOLQHV ̈

Transportation

7KH'HSDUWPHQWRIWKH,QWHULRURQO\KDVDXWKRULW\RYHUWUDQVSRUWDWLRQUHODWHGWR

IHGHUDO ODQGV+RZHYHU WKH DXWKRULW\ RYHU WKH WUDQVSRUWDWLRQ LQIUDVWUXFWXUH RQ

IHGHUDO ODQGV LV TXLWH EURDG LQFOXGLQJ WKH DXWKRULW\ WR JUDQW ULJKWVRIZD\

HQIRUFH FULPLQDO ODZV SURWHFWLQJ IHGHUDO ODQGV WR SHUPLW RU HYHQ UHTXLUH

FRQVWUXFWLRQDQGPDLQWHQDQFHDQG WR RUGHU LPPHGLDWH WHPSRUDU\VXVSHQVLRQ

RIDFWLYLWLHVRQDULJKWRIZD\DUHD

Water

7KH%XUHDXRI5HFODPDWLRQ5HFODPDWLRQGHYHORSVPDQDJHVDQGSURWHFWVZDWHU

DQGUHODWHGUHVRXUFHVLQDQHQYLURQPHQWDOO\VRXQGPDQQHULQWKHLQWHUHVWRIWKH

 

191 See 30 U.S.C. § 226(g).

192 43 U.S.C. § 1331 et seq.

193 43 U.S.C. § 1763.

194 18 U.S.C. § 1361 (willful injury of any property of the U.S.); 18 U.S.C. § 1864 (use of a

hazardous or injurious device on federal lands).

195 43 U.S.C. § 1762(a)-(b).

196 43 C.F.R. § 2803.3.
53

$PHULFDQSXEOLF7KH JHQHUDODXWKRULW\ IRU5HFODPDWLRQaVDFWLYLWLHV LV IRXQG LQ

WKH 5HFODPDWLRQ $FW RI  DQG WKH 5HFODPDWLRQ 3URMHFW $FW RI 

8QGHUWKHVHDFWVWKH6HFUHWDU\RIWKH,QWHULRULVDXWKRUL]HGWR§SHUIRUPDQ\DQG

DOODFWVDQGWRPDNHVXFKUXOHVDQGUHJXODWLRQVDVPD\EHQHFHVVDU\DQGSURSHU

IRU WKH SXUSRVH RI FDUU\LQJ WKH SURYLVLRQV RI WKLV $FW LQWR IXOO IRUFH DQG HIIHFW ̈

7KLV LQFOXGHVGHYHORSLQJDQGGHOLYHULQJZDWHUVXSSOLHV IRUDXWKRUL]HGSXUSRVHV

8QGHU86&EKF	WKH6HFUHWDU\PD\HQWHU LQWRFRQWUDFWV

WRVXSSO\ZDWHUIRUSXUSRVHVRWKHUWKDQLUULJDWLRQ5HVSRQVLELOLW\IRURSHUDWLRQ

DQG PDQDJHPHQW RI 5HFODPDWLRQ SURMHFWV PD\ EH WUDQVIHUUHG IURP WKH

JRYHUQPHQW WR ZDWHU XVHU RUJDQL]DWLRQV  7KLV WUDQVIHU PD\ LQFOXGH SURYLVLRQV

IRUWKHSURWHFWLRQRIZDWHUVXSSO\V\VWHPVYLDFRQWUDFWRUUHJXODWLRQ

7KH5HFODPDWLRQ6DIHW\RI'DPV$FWDXWKRUL]HVWKH6HFUHWDU\RIWKH,QWHULRUWR

SHUIRUP VXFK PRGLILFDWLRQV RQ 5HFODPDWLRQ GDPV DV UHDVRQDEO\ UHTXLUHG WR

SUHVHUYH WKHLU §VWUXFWXUDO VDIHW\ ̈  ,Q WKH FDVH RI DQ HPHUJHQF\ RU XQXVXDO

FRQGLWLRQVWKH&RPPLVVLRQHURI5HFODPDWLRQPD\XVHHPHUJHQF\IXQGVVHWDVLGH

IURP WKH 5HFODPDWLRQ IXQG  )RU WKLV SXUSRVH §XQXVXDO RU HPHUJHQF\

FRQGLWLRQV ̈PHDQV§JHQHUDWRUIDLOXUHVGDPDJHWRWUDQVPLVVLRQ OLQHVRURWKHU

SK\VLFDOIDLOXUHVRUGDPDJHRUDFWVRI*RGRURIWKHSXEOLFHQHP\ ILUHV IORRGV

GURXJKW HSLGHPLFV VWULNHV RU IUHLJKW HPEDUJRHV RU FRQGLWLRQV FDXVLQJ RU

WKUHDWHQLQJ WR FDXVH LQWHUUXSWLRQ LQ ZDWHU RU SRZHU VHUYLFH ̈ 6SHFLILF

UHJXODWLRQV JRYHUQ WKH FRQGXFW DW 5HFODPDWLRQ GDPV LQFOXGLQJ SURKLELWLRQV RQ

FDUU\LQJH[SORVLYHVRUZLOOIXOGHVWUXFWLRQ

Continuity of Government Operations

2Q RU DERXW 2FWREHU   DOO %/0 ODZ HQIRUFHPHQW PDQXDO DQG HOHFWURQLF

ILOHV ERWK DW WKH QDWLRQDO OHYHO DQG LQ WKH ILHOG ZLOO EH VZLWFKHG RQ OLQH WR D

V\VWHP FDOOHG /$:1(7  7KH V\VWHP KDV EHHQ EXLOW WR GHQ\ DFFHVV WR

§XQDXWKRUL]HGSHUVRQQHO ̈DQG WRSURWHFW WKH LQIRUPDWLRQ FRQWDLQHG WKHUHLQ IURP

SHQHWUDWLRQ

 

197 43 U.S.C. § 373.

198 43 U.S.C. § 485i.

199 Authority to enter into contracts for irrigation is provided by 43 U.S.C. § 485h(d) & (e).

200 See 43 U.S.C. §§ 498-499.

201 43 U.S.C. § 506.

202 43 U.S.C. § 502.

203 43 U.S.C. § 503.

204 See, e.g., 43 C.F.R. § 421 (Rules of Conduct at Hoover Dam).
54

7KHUH DUH DOVR VHYHUDO LQLWLDWLYHV EHLQJ VSRQVRUHG DW WKH 6HFUHWDU\ OHYHO ZKLFK

PD\ LPSDFW LQIUDVWUXFWXUHDVVXUDQFH7KH'2,$OO+D]DUG&RRUGLQDWLRQ*URXS

$+&*KDVUHSUHVHQWDWLYHVIURPDOOVLJQLILFDQW'2,EXUHDXVDQGRIILFHV$+&*

ZDVFKDUWHUHG LQWR IDFLOLWDWH LQWHUEXUHDXDQG LQWHUDJHQF\VWDQGDUGL]DWLRQ

SULRUWRDQGGXULQJWKHFRXUVHRIDPDMRUFRPSOH[LQFLGHQW7KHREMHFWLYHVRIWKH

JURXS DUH WR SURYLGH WLPHO\ LQIRUPDWLRQ WR SROLF\ RIILFLDOV LQ WKH 'HSDUWPHQW

$GPLQLVWUDWLRQDQG&RQJUHVVPLQLPL]H WKH ORVV RI OLIH SURSHUW\ DQG UHVRXUFHV

PLQLPL]HFRVWVRIUHVSRQVH IXQFWLRQRQDQ LQWHUDJHQF\EDVLVZLWKRWKHU)HGHUDO

$JHQFLHV DV ZHOO DV LQWHUVWDWH VWDWH ORFDO DQG WULEDO RIILFLDOV DQG  UHVSRQG WR

LQFLGHQWV HIIHFWLYHO\DQG LQD FRRUGLQDWHGPDQQHU WKURXJK VKDULQJ RI UHVRXUFHV

LQIRUPDWLRQ DQG SHUVRQQHO ZLWKLQ WKH 'HSDUWPHQW  ,Q DGGLWLRQ DQ LQWHUDJHQF\

DJUHHPHQW ZLWK WKH 86'$ SURYLGHV IRU FURVVGHVLJQDWLRQ RI ODZ HQIRUFHPHQW

RIILFHUVWRDOORZVXSSOHPHQWDWLRQRIDJHQF\ODZHQIRUFHPHQWSHUVRQQHOUHVRXUFHV

IRU ODZ HQIRUFHPHQW HPHUJHQFLHV YLRODWLRQV LQ SURJUHVV RU  QHHGV VSHFLILFDOO\

LGHQWLILHG)(0$KDVGHOHJDWHG LWVUROH IRUDOOVWDJHVRI3UHVLGHQWLDOO\GHFODUHG

GLVDVWHUV XQGHU WKH 6WDIIRUG $FW WR '2, XQWLO )(0$ DUULYHV XVXDOO\ DIWHU WKH

ILUVWKRXUV'2,KDVDOVR FUHDWHGDQ(PHUJHQF\&RPPXQLFDWLRQV3ODQ IRU

$ODVND2SHUDWLRQV'2,LVFXUUHQWO\LQWKHSURFHVVRIDVVHVVLQJWKHPDLQWHQDQFH

DQG UHSDLU LVVXHV IRU LWV IDFLOLWLHV  7KH VWXG\ LV EHLQJ FRQGXFWHG E\ WKH '2,

3ODQQLQJ 'HVLJQ DQG &RQVWUXFWLRQ &RXQFLO DQG VKRXOG EH FRPSOHWHG LQ -XQH



Department of State

7KH 'HSDUWPHQW RI 6WDWH DGPLQLVWHUV LWVHOI RU LQ FRRUGLQDWLRQ ZLWK RWKHU

DJHQFLHV DXWKRULWLHV GLUHFWHG WRZDUG GHWHFWLRQ DQG FRQWURO RI LQWHUQDWLRQDO

WHUURULVP WKDW FRXOG EH WDUJHWHG DJDLQVW DQ\ RU DOO RI WKH LQIUDVWUXFWXUH DUHDV

OLVWHGLQ([HFXWLYH2UGHU

Telecommunications

86&SURYLGHV IRURYHUVLJKWRI IRUHLJQSROLF\UHODWHGWR LQWHUQDWLRQDO

FRPPXQLFDWLRQVDQGLQIRUPDWLRQSROLF\DQGWKH'HSDUWPHQWRSHUDWHVWKHZRUOG

ZLGH'LSORPDWLF7HOHFRPPXQLFDWLRQV6\VWHPVHUYLQJSRVWVRYHUVHDVDQGOLQNLQJ

WKHPWR:DVKLQJWRQ

 

205 See, e.g., 18 U.S.C. § 113B; Pub. Law No. 99-399; 22 U.S.C. §§ 2711-12 & 2708; 22

U.S.C. Chapter 64 (aviation security); Pub. Law No. 101-298 (Biological Weapon Control);

22 U.S.C. § 3244 & Pub. Law No. 99-399 (Nuclear Terrorism).
55

Transportation, Gas and Oil Storage, Water Supply

Systems

([HFXWLYH2UGHUDXWKRUL]HV WKH6HFUHWDU\ RI6WDWH WR UHFHLYHDSSOLFDWLRQV

IRUSHUPLWVDQG WRJUDQW RUGHQ\SHUPLWV IRU IDFLOLWLHVDWERUGHUVFRQQHFWLQJ WKH

86ZLWKDIRUHLJQFRXQWU\VSHFLILFDOO\SLSHOLQHVIRUSHWUROHXPZDWHURUVHZDJH

IDFLOLWLHV DQG IDFLOLWLHV IRU WKH WUDQVSRUW RI SHUVRQ RU SURSHUW\ HJ PRQRUDLO

7KH6HFUHWDU\ RI6WDWHDOVR LV DXWKRUL]HG WR DGPLQLVWHU WUDYHO FRQWUROV LQWR DQG

RXWRIWKH86IRUDOLHQVDQGFLWL]HQV

Emergency Services

 86&   DXWKRUL]HV VSHFLDO DJHQWV RI WKH 'HSDUWPHQW RI 6WDWH DQG

)RUHLJQ6HUYLFHWRH[HUFLVHVSHFLILFSURWHFWLYHDQGDUUHVWIXQFWLRQV

Continuity of Government Operations

7KH 'HSDUWPHQW RI 6WDWH KDV OHDG UHVSRQVLELOLW\ XQGHU 3DUW  RI ([HFXWLYH

2UGHU  IRU FRQWLQXLW\ RI JRYHUQPHQW DQG RWKHU QDWLRQDO HPHUJHQF\

DFWLYLWLHVWKDWDIIHFWIRUHLJQUHODWLRQV

United States Information Agency

7KH86,QIRUPDWLRQ$JHQF\86,$LVUHVSRQVLEOHIRURYHUVHDVLQIRUPDWLRQDQG

HGXFDWLRQ DQG FXOWXUDO H[FKDQJHV  8QGHU WKH 3UHVLGHQWaV PDQGDWHG

UHRUJDQL]DWLRQ RI )RUHLJQ $IIDLUV $JHQFLHV 86,$ ZLOO EH LQWHJUDWHG ZLWK WKH

6WDWH 'HSDUWPHQW ZLWKLQ WKH QH[W WZR \HDUV  0XFK RI 86,$aV IXQFWLRQV DUH

SHUIRUPHGXVLQJ FRPPXQLFDWLRQVV\VWHPV LQFOXGLQJ WKH ,QWHUQHWDQG HOHFWURQLF

GDWDEDVHV DQG UDGLR DQG WHOHYLVLRQ EURDGFDVWV  86,$ XVHV HOHFWURQLF PHDQV WR

OLQNZLWKIRUHLJQPHGLDJRYHUQPHQWDQGDFDGHPLD,WDOVRFRQWUROVDOO86QRQ

PLOLWDU\LQWHUQDWLRQDOEURDGFDVWLQJLQFOXGLQJWKH9RLFHRI$PHULFD0DQ\RIWKH

EURDGFDVW VHUYLFHV DUH GHSHQGHQW RQ VDWHOOLWHV  +RZHYHU 86,$ GRHV QRW

FXUUHQWO\ KDYH LQ SODFH DQ\ DXWKRULWLHV UHODWLQJ WR LQIUDVWUXFWXUH DVVXUDQFH

WKRXJKWKH\GRKDYHPDQ\LQIUDVWUXFWXUHUHODWHGDVVHWV

 

206 See 22 U.S.C. § 211a; 8 U.S.C. § 1185; 18 U.S.C. §§ 1541-1546.
56

Nuclear Regulatory Commission

Electrical Power Systems

7KH $WRPLF (QHUJ\ $FW RI  $($ DV DPHQGHG DQG VHFWLRQ  RI WKH

(QHUJ\5HRUJDQL]DWLRQ$FWRISURYLGHWKH15&ZLWKOLFHQVLQJDQGUHODWHG

UHJXODWRU\DXWKRULW\RYHUFRPPHUFLDOQXFOHDUSRZHUSODQWV8QGHUVHFWLRQRI

WKH $($ WKH 15& LVVXHV FRPPHUFLDO OLFHQVHV IRU SURGXFWLRQ RU XWLOL]DWLRQ

IDFLOLWLHV LQFOXGLQJ QXFOHDU SRZHU SODQWV 7KH 15& PD\ LVVXH DGGLWLRQDO

VWDQGDUGV RU LQVWUXFWLRQV WR JRYHUQ WKH SRVVHVVLRQ DQG XVH RI VSHFLDO QXFOHDU

PDWHULDODVQHFHVVDU\ RUGHVLUDEOH WRSURPRWH WKHFRPPRQGHIHQVHDQGVHFXULW\

RUWRSURWHFWKHDOWKRUPLQLPL]HGDQJHUWROLIHRUSURSHUW\7KH15&DOVRKDV

DXWKRULW\XQGHUWKH$($IRUWKHSURWHFWLRQRIUHVWULFWHGGDWDWRJXDUGDJDLQVW

WKH ORVV RU GLYHUVLRQ RI VSHFLDO QXFOHDU PDWHULDO DQG WR JRYHUQ DQ\ DFWLYLW\

DXWKRUL]HG E\ WKH $($  7KH 15& PD\ UHTXLUH UHSRUWV UHFRUGNHHSLQJ DQG

LQVSHFWLRQVIRUDFWLYLWLHVFRQGXFWHGXQGHUVHFWLRQOLFHQVHV7KH15&PD\

UHYRNHOLFHQVHVRULPSRVHFLYLOSHQDOWLHVIRUYLRODWLRQVRIUXOHVUHJXODWLRQVRU

OLFHQVLQJSURYLVLRQV&ULPLQDOSHQDOWLHVDUHDOVRDYDLODEOHIRUYLRODWLRQRI$($

SURYLVLRQVRUDFWVRIVDERWDJH7KH$WWRUQH\*HQHUDOHQIRUFHVVXFKSURYLVLRQV

7KHVHVWDWXWRU\DXWKRULWLHVDUHLPSOHPHQWHGE\FKDSWHURI7LWOHRIWKH&RGH

RI )HGHUDO 5HJXODWLRQV  7KH 15& KDV SURPXOJDWHG UHJXODWLRQV JRYHUQLQJ WKH

FULWHULD DQG SURFHGXUHV IRU GHWHUPLQLQJ HOLJLELOLW\ IRU DFFHVV WR UHVWULFWHG GDWD

 

207 42 U.S.C. § 2011 et seq.

208 42 U.S.C. § 5811.

209 42 U.S.C. § 2133.

210 See 42 U.S.C. § 2201(b).

211 The NRC has further authority for prescribing rules and regulations necessary to prevent

unauthorized disclosure of a licensee’s or applicant’s safeguards information. See 42 U.S.C. §

2167.

212 This includes a provision of the Energy Reorganization Act of 1974 that requires that

directors and responsible officers of companies constructing, owning, operating, or supplying

components for AEA licensed activities report to the NRC that a facility, activity, or basic

component supplied to such facility fails to comply with AEA provisions or any applicable

NRC rule, regulation, order or license pertaining to safety hazards. 42 U.S.C. § 5846.

213 42 U.S.C. § 2236.

214 42 U.S.C. § 2282. Injunctive relief for violations of the AEA, or regulations thereunder, is

also available with the assistance of the Attorney General of the United States. 42 U.S.C. §

2280.

215 See 42 U.S.C. § 2271 et seq.
57

QDWLRQDO VHFXULW\ LQIRUPDWLRQ VSHFLDO QXFOHDU PDWHULDO DQG  HPSOR\PHQW

FOHDUDQFH UHSRUWLQJ RI GHIHFWV DQG QRQFRPSOLDQFH GRPHVWLF OLFHQVLQJ RI

SURGXFWLRQDQGXWLOL]DWLRQ IDFLOLWLHVSK\VLFDOSURWHFWLRQ RISODQWVDQGPDWHULDOV

PDWHULDOFRQWURODQGDFFRXQWLQJRIVSHFLDOQXFOHDUPDWHULDODQGVHFXULW\IDFLOLW\

DSSURYDODQGVDIHJXDUGLQJRIQDWLRQDOVHFXULW\LQIRUPDWLRQDQGUHVWULFWHGGDWD

Transportation

,PSOHPHQWDWLRQ RI DXWKRULW\ WR LPSRVH UHTXLUHPHQWV IRU WUDQVSRUWDWLRQ RI

QXFOHDU PDWHULDOV LV OLPLWHG WR VDIH SDFNDJLQJ UHTXLUHPHQWV WR HQVXUH

UDGLRORJLFDO KHDOWK DQG VDIHW\ DQG WR VDIHJXDUG UHTXLUHPHQWV WR DVVXUH WKH

VHFXULW\ RI GHVLJQDWHG VKLSPHQWV RI QXFOHDUPDWHULDO IURP VDERWDJH  7KH 15&

KDV WKHDXWKRULW\ WR HVWDEOLVKE\UXOHVUHJXODWLRQ RU RUGHUVXFKVWDQGDUGVDQG

LQVWUXFWLRQV WRJRYHUQ WKHSRVVHVVLRQDQGXVH RIVSHFLDOQXFOHDUPDWHULDODV WKH

15& PD\ GHHP QHFHVVDU\ RU GHVLUDEOH WR SURPRWH WKH FRPPRQ GHIHQVH DQG

VHFXULW\ RU WR SURPRWHKHDOWK RU WRPLQLPL]H GDQJHU WR OLIH RU SURSHUW\7KH

15& PD\ DOVR SURPXOJDWH UXOHV RU UHJXODWLRQV WR JXDUG DJDLQVW WKH ORVV RU

GLYHUVLRQ RI VSHFLDO QXFOHDU PDWHULDO DQG WR SUHYHQW  VXFK XVH RU GLVSRVLWLRQ

WKHUHRI DV WKH 15& GHWHUPLQHV WR EH LQLPLFDO WR WKH FRPPRQ GHIHQVH DQG

VHFXULW\

Federal Energy Regulatory Commission

7KH )HGHUDO (QHUJ\ 5HJXODWRU\ &RPPLVVLRQ )(5& ZDV HVWDEOLVKHG E\ WKH

'HSDUWPHQW RI (QHUJ\ 2UJDQL]DWLRQ $FW  )(5& KDV DXWKRULWLHV UHODWLQJ WR

PDQ\ DVSHFWV RI LQWHUVWDWH HQHUJ\ JHQHUDWLRQ WUDQVPLVVLRQ DQG VDOH FRYHULQJ

HOHFWULFIDFLOLWLHVK\GURHOHFWULFIDFLOLWLHVDQGRLODQGJDVIDFLOLWLHV

Electric Facilities (Non-Hydroelectric)

8QGHUWKH)HGHUDO3RZHU$FW)3$)(5&KDVWKH IROORZLQJDXWKRULWLHVRYHU

LQWHUVWDWH WUDQVPLVVLRQ DQG ZKROHVDOH VDOH RI HOHFWULF SRZHU   UHSRUWLQJ

UHTXLUHPHQWVLQYHVWLJDWRU\DXWKRULW\DXWKRULW\WRUHTXLUHLQWHUFRQQHFWLRQ

 

216 42 U.S.C. § 2201(b).

217 42 U.S.C. § 2201(i). The implementing regulations are located at 10 C.F.R. Parts 71

(packaging and transportation of radioactive material) & 73 (physical protection of plants and

materials).

218 42 U.S.C. §§ 7101-7352.

219 16 U.S.C. §§ 791a-825r.
58

DQGVHUYLFHVUDWHDQGVHUYLFHRYHUVLJKWDXWKRULWLHVDQGFRQVXOWDWLRQDQG

RWKHUJHQHUDODXWKRULWLHV

0RUH VSHFLILFDOO\ )(5& KDV WKH JHQHUDO DXWKRULW\ GHOHJDWHG IURP '2( WR

UHTXLUH SXEOLF XWLOLWLHV WR ILOH SHULRGLF RU VSHFLDO UHSRUWV §DV QHFHVVDU\ RU

DSSURSULDWH WR DVVLVW WKH &RPPLVVLRQ LQ WKH SURSHU DGPLQLVWUDWLRQ RI WKLV $FW

>)3$@ ̈,QDGGLWLRQ)(5&KDVWKHDXWKRULW\WRUHTXLUHSXEOLFXWLOLWLHVWRPDNH

UHSRUWV UHJDUGLQJ DQWLFLSDWHG VKRUWDJHV WR PDNH DQG SHULRGLFDOO\ UHYLVH

FRQWLQJHQF\SODQVWRGHDOZLWKVKRUWDJHVDQGWRDFFRPPRGDWHDQ\VKRUWDJHVLQD

PDQQHU WKDW JLYHV GXH FRQVLGHUDWLRQ WR SXEOLF KHDOWK DQG VDIHW\  6XFK

VWDWXWRU\DXWKRULW\DQGWKHLPSOHPHQWLQJUXOHVZHUHZULWWHQWRLQVXUHFRQWLQXLW\

RIVHUYLFHWRFXVWRPHUVRISXEOLFXWLOLWLHV)(5&DOVRUHTXLUHV LQIRUPDWLRQWREH

WUDQVPLWWHGDQQXDOO\E\ WUDQVPLWWLQJXWLOLWLHV UHJDUGLQJDYDLODEOH WUDQVPLVVLRQ

FDSDFLW\DQGNQRZQFRQVWUDLQWV

)(5&KDVDXWKRULW\WRFRQGXFWLQYHVWLJDWLRQVUHJDUGLQJYLRODWLRQVRIWKH)3$RU

LWVUHJXODWLRQVDQGWRDFTXLUH LQIRUPDWLRQWRVHUYHDVDEDVLV IRUUHFRPPHQGLQJ

IXUWKHUOHJLVODWLRQ)(5&aVUXOHVUHODWLQJWRLQYHVWLJDWLRQVDUHFRQWDLQHGLQ

&)53DUWE

8SRQ DSSOLFDWLRQ RI D 6WDWH FRPPLVVLRQ RU DQ\ SHUVRQ HQJDJHG LQ WKH

WUDQVPLVVLRQ RU VDOH RI HOHFWULF HQHUJ\ )(5& PD\ GLUHFW D SXEOLF XWLOLW\ WR

HVWDEOLVK SK\VLFDO FRQQHFWLRQ RI LWV WUDQVPLVVLRQ IDFLOLWLHV ZLWK RWKHU IDFLOLWLHV

DQG WR VHOO DQG H[FKDQJH HQHUJ\7KLV DXWKRULW\ LV VXEMHFW WR D SXEOLF LQWHUHVW

VWDQGDUGDQGPD\QRWEHXVHGWRFRPSHOWKHHQODUJHPHQWRIJHQHUDWLQJIDFLOLWLHV

RU LI WKH FRQQHFWLRQ ZRXOG LPSDLU WKH DELOLW\ RI WKH XWLOLW\ WR UHQGHU DGHTXDWH

VHUYLFH WR LWV FXVWRPHUV  8QGHU D VLPLODU SURFHGXUH DIWHU D FRPSODLQW E\ D

6WDWH &RPPLVVLRQ)(5&PD\ UHTXLUH D XWLOLW\ WR SURYLGH DQ DGHTXDWH OHYHO RI

VHUYLFHDVGHWHUPLQHGE\)(5&

)(5&aVUDWHDQGVHUYLFHRYHUVLJKWDXWKRULWLHVDOORZUHYLHZRIUXOHVUHJXODWLRQV

FRQWUDFWVDQGSUDFWLFHVDIIHFWLQJUDWHVZLWKLQLWMXULVGLFWLRQWRGHWHUPLQHZKHWKHU

WKH\ DUHXQMXVWXQUHDVRQDEOH RUXQGXO\ GLVFULPLQDWRU\8SRQ VXFK D ILQGLQJ

 

220 16 U.S.C. § 825c (by delegation from DOE per Delegation Order No. 0204-1).

221 See 16 U.S.C. § 824a(g); 18 C.F.R. Part 294.

222 16 U.S.C. § 8241; 18 C.F.R. § 141.300 (requiring filing of Form No. 715).

223 16 U.S.C. § 825f; 16 U.S.C. § 825j (by delegation from DOE per Delegation Order No.

0204-1).

224 See 16 U.S.C. § 824a(b); see also 16 U.S.C. § 824i (additional interconnection

authorities).

225 16 U.S.C. § 824f.
59

)(5& PD\ GHWHUPLQH MXVW DQG UHDVRQDEOH WHUPV WR EH WKHUHDIWHU REVHUYHG

)(5& QRWHG WKLV DXWKRULW\ DV KDYLQJ SRWHQWLDO DSSOLFDWLRQV IRU DGGUHVVLQJ

UHOLDELOLW\ FRQFHUQV  )(5& KDV XVHG UHODWHG DXWKRULWLHV WR SURPXOJDWH UXOHV

UHJDUGLQJWKHUHTXLUHPHQWV IRUUDWHVFKHGXOHVRIIHURIQRQGLVFULPLQDWRU\RSHQ

DFFHVV WUDQVPLVVLRQ DQG XWLOLW\ SDUWLFLSDWLRQ LQ HOHFWURQLF LQIRUPDWLRQ

V\VWHPV

8QGHU 3853$ '2( LV WR FRQVXOW ZLWK )(5& ZLWK UHVSHFW WR UHTXHVWLQJ IURP

WLPH WR WLPH WKH UHOLDELOLW\ FRXQFLOV RU RWKHU DSSURSULDWH SHUVRQV LQFOXGLQJ

IHGHUDODJHQFLHVWRH[DPLQHDQGUHSRUWFRQFHUQLQJDQ\HOHFWULFXWLOLW\UHOLDELOLW\

LVVXHDQGUHFRPPHQGLQJLQGXVWU\VWDQGDUGVIRUUHOLDELOLW\WRWKHHOHFWULFXWLOLW\

LQGXVWU\ LQFOXGLQJ VWDQGDUGV ZLWK UHVSHFW WR HTXLSPHQW RSHUDWLQJ SURFHGXUHV

DQGWUDLQLQJRISHUVRQQHO

,QDGGLWLRQWRWKHVHDXWKRULWLHV)(5&DOVRKDVJHQHUDODXWKRULW\WR§SHUIRUPDQ\

DQG DOO DFWVDV LW PD\ ILQG QHFHVVDU\ RU DSSURSULDWH WR FDUU\ RXW RI WKH

SURYLVLRQV RI WKLV $FW >)3$@ ̈   )(5& PD\ VHHN FRXUW RUGHUV WR HQIRUFH

SURYLVLRQVRIWKH)3$RUDQ\UXOHRURUGHUWKHUHXQGHU

)(5&2UGHU1RUHTXLUHVWKDWSXEOLFXWLOLWLHVWKDWRZQFRQWURORURSHUDWH

LQWHUVWDWH WUDQVPLVVLRQ IDFLOLWLHV WR SDUWLFLSDWH LQ DQ HOHFWURQLF LQIRUPDWLRQ

V\VWHP 2$6,6 LQ RUGHU WR GLVVHPLQDWH WUDQVPLVVLRQ LQIRUPDWLRQ RQ D XQLIRUP

EDVLV  )(5& LQFOXGHG LQ WKH UXOH VHFXULW\ PHDVXUHV WKDW ZHUH SURSRVHG E\

LQGXVWU\ LQFOXGLQJGDWDHQFU\SWLRQ ILUHZDOOVDQGXVHRISDVVZRUGV7KH LQLWLDO

SKDVH RI FRPSOLDQFH ZLWK WKHVH UHTXLUHPHQWV ZDV WR EH FRPSOHWHG LQ -DQXDU\

)(5&LVFRQVLGHULQJDVHFRQGSKDVHRILPSOHPHQWDWLRQWKDWZRXOGUHTXLUH

DGGLWLRQDO IXQFWLRQV DQG SHUIRUPDQFH UHTXLUHPHQWV  )(5& GRHV QRW YLHZ

SRWHQWLDO F\EHU WKUHDWV DV SRVLQJ D VLJQLILFDQW GDQJHU WR WKH 2$6,6 V\VWHP

EHFDXVHLWLVQRWGLUHFWO\OLQNHGWRLQGXVWU\RSHUDWLQJV\VWHPV

Hydroelectric Facilities

)(5&aVDXWKRULW\WRLVVXHOLFHQVHVIRUK\GURHOHFWULFIDFLOLWLHVLQFOXGHVUHJXODWLRQV

UHJDUGLQJWKHNHHSLQJRIUHFRUGVLQYHVWLJDWRU\DXWKRULWLHVDQGUHTXLUHPHQWVIRU

FRQVWUXFWLRQPDLQWHQDQFH DQG RSHUDWLRQ0DQ\ RI)(5&aV UHJXODWLRQV LQ WKLV

 

226 See 16 U.S.C. §§ 824d & 824e.

227 See 18 C.F.R. Part 35.

228 See 18 C.F.R. Part 37.

229 16 U.S.C. § 825h.

230 61 Fed. Reg. 21,737 (May 10, 1996), FERC Stats. & Regs. Para. 31.035 (1996), order on

reh’g, Order No. 889-A, 62 Fed. Reg. 12,484 (March 14, 1997), FERC Stats. & Regs. Para.

31,049 (1997), reh’g pending.
60

DUHD UHTXLUH FRRUGLQDWLRQ RU DGKHUHQFH WR RWKHU IHGHUDO HQWLW\ UXOHV RU

UHJXODWLRQV)(5&ZRUNVFORVHO\LQWKLVDUHDZLWKPDQ\RWKHULQWHUHVWHGSDUWLHV

VXFK DV WKH 86 &RDVW *XDUG 86 $UP\ &RUSV RI (QJLQHHUV WKH %XUHDX RI

5HFODPDWLRQ 15& '2( )(0$ DQG WKH :DVKLQJWRQ 6WDWH 'HSDUWPHQW RI

(FRORJ\7KHVHHQWLWLHVDQGDGGLWLRQDOUHJLRQDODJHQFLHVZHUHDOO LGHQWLILHGE\

)(5&DVKDYLQJDVWDNHLQLQIUDVWUXFWXUHDVVXUDQFHIRUK\GURHOHFWULFIDFLOLWLHV

Gas and Oil Storage and Transportation

)(5& KDV DXWKRULW\ GHOHJDWHG IURP '2( WR DSSURYH RU GLVDSSURYH WKH VLWLQJ

FRQVWUXFWLRQ DQG RSHUDWLRQ RI QHZ GRPHVWLF IDFLOLWLHV DW WKH SODFH RI HQWU\ IRU

LPSRUWV RU H[LW IRU H[SRUWV XQOHVV WKH $VVLVWDQFH 6HFUHWDU\ H[HUFLVHV WKLV

GLVDSSURYDO DXWKRULW\  )(5& DOVR KDV DXWKRULW\ RYHU WKH UDWHV DQG FKDUJHV RI

QDWXUDO JDV FRPSDQLHV  5DWHVPXVW EH ILOHG ZLWK )(5& DQG PXVW EH MXVW DQG

UHDVRQDEOH,WKDVDXWKRULW\WRDOWHUQDWXUDOJDVWDULIIVLIIRXQGQRWWREHMXVWDQG

UHDVRQDEOHDQGWRUHTXLUHQDWXUDOJDVFRPSDQLHVWRH[WHQGRULPSURYHWKHLUJDV

WUDQVSRUWDWLRQ IDFLOLWLHV DQG WR HVWDEOLVK SK\VLFDO FRQQHFWLRQV ZLWK RWKHU

IDFLOLWLHV  )(5& PXVW SURYLGH DSSURYDO EHIRUH DQ\ QDWXUDO JDV FRPSDQ\ FDQ

XQGHUWDNH RU FRPSOHWH FRQVWUXFWLRQ RSHUDWLRQ DFTXLVLWLRQ H[WHQVLRQ RU

LPSURYHPHQW RI IDFLOLWLHV XVHG IRU WKH WUDQVSRUWDWLRQ RI JDV LQ LQWHUVWDWH

FRPPHUFH,WPD\LPSRVHUHDVRQDEOHFRQGLWLRQVRQVXFKDXWKRUL]DWLRQV$OOVXFK

DXWKRULWLHVDUHGHULYHGIURPWKH1DWXUDO*DV$FW1*$

)(5&DOVRKDVDXWKRULW\RYHUWKHUDWHVDQGSUDFWLFHVRIRLOSLSHOLQHVSXUVXDQWWR

WKH,QWHUVWDWH&RPPHUFH$FW)(5&aVDXWKRULW\WRUHYLHZRLOFRPSDQ\WDULIIV

DQG WR LPSRVH WHUPV DQG FRQGLWLRQV FRXOG EH XVHG WR IXUWKHU LQIUDVWUXFWXUH

DVVXUDQFHREMHFWLYHV

Department of Agriculture

7KH 'HSDUWPHQW RI $JULFXOWXUH $JULFXOWXUH KDV QXPHURXV JUDQW DQG ORDQ

SURJUDPVLQSODFHWRDVVLVWUXUDODUHDVLQUHFHLYLQJLPSRUWDQWVHUYLFHVWKDWWRXFK

RQPDQ\RIWKHFULWLFDOLQIUDVWUXFWXUHV7KH\LQFOXGHWKH5XUDO8WLOLWLHV6HUYLFH

WKH5XUDO+RXVLQJ6HUYLFHDQG WKH5XUDO%XVLQHVV&RRSHUDWLYH6HUYLFH7KHVH

ORDQDQGJUDQWSURJUDPVDUHXVHGWRIRVWHUWHOHFRPPXQLFDWLRQVHOHFWULFRLODQG

JDV ZDWHU WUDQVSRUWDWLRQ DQG EDQNLQJ DQG ILQDQFH UHODWHG VHUYLFHV LQ UXUDO

DUHDV/RDQVDQGJUDQWVDUHDOVRDYDLODEOH WR LPSURYH HPHUJHQF\VHUYLFHVVXFK

DV ILUH DQG UHVFXH VTXDGV  7KHVH SURJUDPV XVXDOO\ UHTXLUH FRPSOLDQFH ZLWK

 

231 15 U.S.C. §§ 717b et seq.

232 49 U.S.C. §§ 1(5), 2, 6, 15(1) & 15(7).
61

$JULFXOWXUHUHJXODWLRQV LQFRQVWUXFWLQJRURSHUDWLQJIDFLOLWLHVZLWK ORDQRUJUDQW

IXQGV7KH'HSDUWPHQWRI$JULFXOWXUHFXUUHQWO\QRWHVWKDWWKHVHUHJXODWLRQVGR

QRWVSHFLILFDOO\WDNHLQWRDFFRXQWWKHQHHGWRZLWKVWDQGSK\VLFDORUF\EHUDWWDFN

RU RWKHU LQIUDVWUXFWXUH DVVXUDQFH UHODWHG LVVXHV  $GGLWLRQDO SURJUDPV VXFK DV

WKH'LVWDQFH/HDUQLQJDQG7HOHPHGLFLQHSURMHFWPD\DOVRQHHGWREHUHYLHZHGWR

HQVXUH WKDW WKH\ DGHTXDWHO\ WDNH LQWR DFFRXQW F\EHU DQG RWKHU WKUHDWV LQ WKHLU

RSHUDWLRQVDQGUHJXODWLRQV

The Securities and Exchange

Commission

7KH 6HFXULWLHV DQG ([FKDQJH &RPPLVVLRQ 6(& KDV YDULRXV DXWKRULWLHV WR

UHVSRQG WR HPHUJHQFLHV XQGHU  WKH 6HFXULWLHV ([FKDQJH $FW RI  DQG WKH

,QYHVWPHQW &RPSDQ\ $FW RI   7KH 6(&aV HPHUJHQF\ DXWKRULWLHV PD\

JHQHUDOO\EHLQYRNHGZKHQWKHUHLVDPDMRUPDUNHWGLVWXUEDQFHFKDUDFWHUL]HGE\

WKHRFFXUUHQFHRUVXEVWDQWLDOWKUHDWRIHLWKHUVXGGHQRUH[FHVVLYHSULFHYRODWLOLW\

RU VXEVWDQWLDO GLVUXSWLRQ RI WKH VDIH RU HIILFLHQW RSHUDWLRQ IRU FOHDUDQFH DQG

VHWWOHPHQW,QWKHHYHQWRIVXFKDQHPHUJHQF\WKH6(&PD\VXVSHQGDOO

WUDGLQJ LQ QRQH[HPSW VHFXULWLHV RQ DQ H[FKDQJH RU RIIH[FKDQJH IRU XS WR 

FDOHQGDUGD\VVXVSHQGWUDGLQJRIQRQH[HPSWLQGLYLGXDOVHFXULWLHVDQGJURXSV

RI VHFXULWLHV IRU QR PRUH WKDQ  EXVLQHVV GD\V  DOWHU H[LVWLQJ &RPPLVVLRQ

DQG VHOIUHJXODWRU\ RUJDQL]DWLRQ 652 UXOHV RU LPSRVH QHZ UHVWULFWLRQV DQG

DSSURYH 652 UXOHV RQ DQ H[SHGLWHG EDVLV DQG  WDNH HPHUJHQF\ DFWLRQ ZLWK

UHVSHFW WR PXWXDO IXQG UHGHPSWLRQV  7KH &RPPLVVLRQ LV DOVR DXWKRUL]HG WR

DSSURYH 652 UXOHV ZKLFK DOORZ VRPH H[FKDQJHV WR FRQGXFW WUDGLQJ KDOWV LQ

UHVSRQVH WRQDWLRQDOVHFXULW\VLWXDWLRQV ,QGLYLGXDO652 WUDGHKDOWVKDYHEHHQ

XVHG LQIUHTXHQWO\ EXW KDYH EHHQ VXFFHVVIXO HQRXJK WR REYLDWH WKH QHHG IRU WKH

6(&WRLQYRNHLWVDXWKRULW\WRKDOWWUDGLQJ

Board of Governors of the Federal

Reserve System

7KH %RDUG RI *RYHUQRUV RI WKH )HGHUDO 5HVHUYH 6\VWHP )HGHUDO 5HVHUYH KDV

DXWKRULW\UHODWHGGLUHFWO\WRRQO\RQHRIWKHFULWLFDOLQIUDVWUXFWXUHVEHLQJVWXGLHG

 

233 15 U.S.C. § 781(k)(6).
62

E\ WKH &RPPLVVLRQ¦EDQNLQJ DQG ILQDQFH  +RZHYHU WKH )HGHUDO 5HVHUYH DOVR

PD\ H[HUFLVH FHUWDLQ SRZHUV VXFK DV PDNLQJ SURSHUO\ VHFXUHG ORDQV WR

LQGLYLGXDOVSDUWQHUVKLSVRUFRUSRUDWLRQVZKLFKPD\LQGLUHFWO\LPSDFWWKHRWKHU

FULWLFDOLQIUDVWUXFWXUHVOLVWHGLQ([HFXWLYH2UGHU

Banking and Finance

7KH)HGHUDO5HVHUYHKDVDXWKRULW\WRH[DPLQHFHUWDLQGHSRVLWRU\LQVWLWXWLRQVDQG

RWKHU ILQDQFLDO LQVWLWXWLRQV IRU WKH SXUSRVH RI DGGUHVVLQJ WKH VDIHW\ DQG

VRXQGQHVVRIWKHLUEXVLQHVVSUDFWLFHV7KHLQVWLWXWLRQVLQFOXGHPHPEHUEDQNVRI

WKH)HGHUDO 5HVHUYH 6\VWHP UHJLVWHUHG EDQN KROGLQJ FRPSDQLHV (GJH $FW

FRUSRUDWLRQV DQG DJUHHPHQW FRUSRUDWLRQV IRUHLJQ EUDQFKHV RI 86 PHPEHU

EDQNV 86 EUDQFKHV DJHQFLHV DQG DIILOLDWHV RI IRUHLJQ EDQNV

UHSUHVHQWDWLYHRIILFHVRIIRUHLJQEDQNVDQG)HGHUDO5HVHUYHEDQNV$PRQJ

WKH HQIRUFHPHQW DFWLRQV WKDW WKH )HGHUDO 5HVHUYH PD\ WDNH DJDLQVW WKHVH

ILQDQFLDO LQVWLWXWLRQV DUH FHDVH DQG GHVLVW RUGHUV RUGHUV RI UHPRYDO DQG

SURKLELWLRQ DQG RUGHUV RI DVVHVVPHQW RI FLYLO PRQHWDU\ SHQDOWLHV %DQN

6HUYLFH &RUSRUDWLRQV DUH DOVR VXEMHFW WR H[DPLQDWLRQ DQG UHJXODWLRQ E\

DSSURSULDWHIHGHUDOEDQNLQJDJHQFLHV

7KH%DQN3URWHFWLRQ$FWSHUPLWVWKH)HGHUDO5HVHUYH WKH&RPSWUROOHU RI WKH

&XUUHQF\ WKH )HGHUDO 'HSRVLW ,QVXUDQFH &RUSRUDWLRQ DQG WKH 'LUHFWRU RI WKH

2IILFH RI7KULIW 6XSHUYLVLRQ WR LVVXH UXOHV HVWDEOLVKLQJPLQLPXP VWDQGDUGV IRU

EDQNV DQG VDYLQJV DQG ORDQ DVVRFLDWLRQV ZLWK UHJDUG WR WKH LQVWDOODWLRQ

PDLQWHQDQFH DQG RSHUDWLRQ RI VHFXULW\ GHYLFHV DQG SURFHGXUHV LQ RUGHU WR

 

234 See, e.g., 12 U.S.C. §§ 343 & 347c.

235 12 U.S.C. §§ 325-326.

236 12 U.S.C. § 18439c.

237 12 U.S.C. §§ 625 & 602.

238 12 U.S.C. § 602.

239 12 U.S.C. § 3105.

240 12 U.S.C.. § 3107.

241 12 U.S.C. § 248(j), 485.

242 12 U.S.C. § 1818(b).

243 12 U.S.C. § 1818(e).

244 12 U.S.C. §§ 1818(i) & 1847.

245 See 12 U.S.C. §§ 1861-67.

246 12 U.S.C. §§ 1881-84.
63

GLVFRXUDJHUREEHULHVEXUJODULHVDQGODUFHQLHVDQGWRDVVLVWLQWKHLGHQWLILFDWLRQ

DQGDSSUHKHQVLRQRISHUVRQVZKRFRPPLWVXFKDFWV

7KH )HGHUDO 5HVHUYH KDV VHYHUDO XQLTXH DXWKRULWLHV WKDW PD\ DOORZ IRU

UHFRQVWLWXWLRQ RI WKH EDQNLQJ DQG ILQDQFH LQIUDVWUXFWXUH  8QGHU VHFWLRQV E

DQG  RI WKH )HGHUDO 5HVHUYH $FW D )HGHUDO 5HVHUYH %DQN PD\ PDNH

DSSURSULDWHO\VHFXUHGDGYDQFHVWRPHPEHUEDQNVDWDSSURSULDWHUDWHVVXEMHFWWR

UXOHV DQG UHJXODWLRQV RI WKH 5HVHUYH %RDUG  7KH %RDUG RI *RYHUQRUV PD\

VXVSHQG IRU D SHULRG QRW WR H[FHHG WKLUW\ GD\V DQ\ UHVHUYH UHTXLUHPHQWV

VSHFLILHG LQ WKH )HGHUDO 5HVHUYH $FW  7KH %RDUG LV DOVR UHVSRQVLEOH IRU WKH

FLUFXODWLRQRIVXIILFLHQWFXUUHQF\WRPHHWWKHQHHGVRIWKHHFRQRP\,QDGGLWLRQ

WRLWVUXOHPDNLQJDXWKRULW\IRUWKHDXWRPDWLRQRIWKHFKHFNSURFHVVLQJV\VWHP

WKH )HGHUDO 5HVHUYH PD\ VXVSHQG FHUWDLQ UHTXLUHPHQWV UHJDUGLQJ WKH

DYDLODELOLW\ RI IXQGV GHSRVLWHG E\ FKHFN LQ WKH HYHQW RI DQ\ LQWHUUXSWLRQ RI

FRPPXQLFDWLRQIDFLOLWLHVVXVSHQVLRQRISD\PHQWVE\DQRWKHULQVWLWXWLRQZDURU

RWKHUHPHUJHQF\EH\RQGWKHFRQWURORIWKHGHSRVLWRU\LQVWLWXWLRQ

Federal Deposit Insurance Corporation

7KH)HGHUDO'HSRVLW,QVXUDQFH&RUSRUDWLRQ)',&WDNHVDYHU\DFWLYHUROHLQWKH

DVVXUDQFH RI WKH EDQNLQJ LQIUDVWUXFWXUH  7KURXJK LWV UHJXODWRU\ DXWKRULW\ WR

FRQGXFW H[DPLQDWLRQV RI LQVXUHGEDQNVDQGGHSRVLWRU\ LQVWLWXWLRQV WKH)',&

KDVSXWLQSODFHUHJXODWLRQVDQGSROLFLHVLQWHQGHGWRUHVSRQGWRWKHULVNVSRVHGWR

EDQNVE\ WKH LQWHJUDWLRQ RIFRPSXWHU WHFKQRORJ\ LQWR UHWDLOEDQNLQJ RSHUDWLRQV

,Q )HEUXDU\  WKH )',& LVVXHG   WKH (OHFWURQLF %DQNLQJ 6DIHW\ DQG

6RXQGQHVV3URFHGXUHVDQG)LQDQFLDO,QVWLWXWLRQ/HWWHU),/WRDOOLQVXUHG

ILQDQFLDO LQVWLWXWLRQV   7KH LVVXDQFH UHVXOWHG IURP UHTXHVWV  RI WKH EDQNLQJ

LQGXVWU\IRUJXLGDQFHRQVDIHW\DQGVRXQGQHVVRISUDFWLFHVLQHOHFWURQLFEDQNLQJ

7KH 3URFHGXUHV QRW RQO\ LGHQWLI\ ULVNV EXW DOVR UHTXLUH H[DPLQHUV WR PRQLWRU

EDQNSUDFWLFHVWRHQVXUHWKHDSSURSULDWHVDIHJXDUGVDUHLQSODFH7KHVDIHJXDUGV

 

247 See Regulation P, 12 C.F.R. Part 216.

248 12 U.S.C. §§ 347b & 347.

249 See generally Regulation A, 12 C.F.R. § 201.

250 12 U.S.C. § 248(c).

251 12 U.S.C. §§ 411-421 & 428(o).

252 12 U.S.C. § 4008 (Expedited Funds Availability Act).

253 12 U.S.C. § 4003(d); 12 C.F.R. § 229.13(f).

254 See, e.g., 12 U.S.C. §§ 1819-1820 & 1868.
64

LQFOXGH FDSDELOLWLHV WR GHWHFW DQG SUHYHQW XQDXWKRUL]HG DFFHVV DQG GXSOLFDWH

WUDQVDFWLRQV7KH3URFHGXUHVDGGUHVVV\VWHPSODQQLQJDQGGHSOR\PHQW

V\VWHPRSHUDWLQJSROLFLHVDQGSURFHGXUHV WUDQVDFWLRQDODXGLWSURFHGXUHV 

OHJDODQGUHJXODWRU\PDWWHUV DGPLQLVWUDWLRQDQGV\VWHPV RSHUDWLRQDQG 

YHQGRUVDQGRXWVRXUFLQJ

,QDGGLWLRQ)',&LVVXHGJXLGDQFHLQ-XO\HPSKDVL]LQJWKHQHHGWRSODQIRU

WKH UHVWRUDWLRQ RI VHUYLFH UHVXOWLQJ IURP DQ\ LQWHUUXSWLRQ RI D NH\ LQIRUPDWLRQ

V\VWHP  7KH )',& SROLF\ UHIOHFWV WKH UHYLVHG SROLF\ JXLGDQFH RI WKH

LQWHUDJHQF\ )HGHUDO )LQDQFLDO ,QVWLWXWLRQV ([DPLQDWLRQ &RXQFLO )),(& RQ

&RUSRUDWH %XVLQHVV 5HVXPSWLRQ DQG &RQWLQJHQF\ 3ODQQLQJ  7KH )',& SROLF\

VSHFLILFDOO\ QDPHV WKH ERDUG RI GLUHFWRUV DV EHLQJ UHVSRQVLEOH IRU HQVXULQJ WKDW

DSSURSULDWH SODQV KDYH EHHQ LPSOHPHQWHG IRU HDFK ILQDQFLDO LQVWLWXWLRQ

&RQWLQJHQF\ SODQV DUH HYDOXDWHG E\ H[DPLQHUV GXULQJ UHJXODU VXSHUYLVRU\

UHYLHZVRILQVWLWXWLRQV

7KH )',& VXEPLVVLRQ DOVR QRWHG WKDW EDQNV DUH UHTXLUHG WR UHSRUW NQRZQ RU

VXVSHFWHGFULPLQDOYLRODWLRQVRIIHGHUDO ODZRUVXVSLFLRXVWUDQVDFWLRQVUHODWHGWR

PRQH\ ODXQGHULQJ DFWLYLW\ RU D YLRODWLRQ RI WKH %DQN 6HFUHF\ $FW  7KH

6XVSLFLRXV $FWLYLW\ 5HSRUWLQJ 6$5 LV FXUUHQWO\ DGPLQLVWHUHG E\ WKH)LQDQFLDO

&ULPHV(QIRUFHPHQW1HWZRUN )LQ&(1 RQEHKDOI RI IHGHUDOEDQNLQJDQGFUHGLW

XQLRQUHJXODWRUVLQFOXGLQJ)',&2&&276)HGHUDO5HVHUYHDQGWKH1&8$

)LQ&(1 DFWV DV D FHQWUDO FROOHFWLRQ SRLQW DQG LQFOXGHV DOO 6$5V LQ D GDWDEDVH

DYDLODEOHWRODZHQIRUFHPHQWDQGUHJXODWRU\DJHQFLHV

International Trade Commission

7KH ,QWHUQDWLRQDO 7UDGH &RPPLVVLRQ ,7& LV DQ LQGHSHQGHQW TXDVLMXGLFLDO

DJHQF\ HVWDEOLVKHG WR JRYHUQ WUDGHUHODWHG PDWWHUV  ,7& KDV YDULRXV

LQYHVWLJDWLYHDQGDGMXGLFDWLYHSRZHUVUHODWHGWRXQIDLUWUDGHSUDFWLFHVLQFOXGLQJ

LPSRUW SUDFWLFHV WKDW KDUP 86 EXVLQHVVHV SDWHQW LQIULQJHPHQW HFRQRPLF

HIIHFWVRIWUDGHDJUHHPHQWVDQGFROOHFWLRQRIWUDGHUHODWHGGDWDDQGVWDWLVWLFV

7KHSULPDU\DUHDRI,7&RSHUDWLRQVFRQFHUQHGZLWKLQIUDVWUXFWXUHDVVXUDQFH

UHODWHVWRWKHLQWHUQDOVHFXULW\RIWKHDJHQF\ZKLFKLQFOXGHVERWKSK\VLFDODQG

LQIRUPDWLRQVHFXULW\,QIRUPDWLRQVHFXULW\LVJRYHUQHGE\DVHULHVRI,7&

'LUHFWLYHV86,7&'LUHFWLYHHVWDEOLVKHGDQ,QIRUPDWLRQ6HFXULW\

&RPPLWWHHFRPSRVHGRIPDQDJHPHQWJHQHUDOFRXQVHODQGH[WHUQDOUHODWLRQV

 

255 See FDIC, Financial Institution Letter 68-97 (July 14, 1997).

256 See 12 U.S.C. §§ 1818-1819; 31 U.S.C. § 5318; 12 C.F.R. Part 353.
65

UHSUHVHQWDWLYHV7KH&RPPLWWHHLVUHVSRQVLEOHIRUGHYHORSLQJGHILQLQJ

LQVSHFWLQJDQGDGYLVLQJRQWKHDJHQF\aVIDFLOLWLHVSURFHGXUHVDQGFRQWUROVIRU

VDIHJXDUGLQJQDWLRQDOVHFXULW\LQIRUPDWLRQVHQVLWLYHLQIRUPDWLRQDQG

FRQILGHQWLDOEXVLQHVVLQIRUPDWLRQLQWKHSRVVHVVLRQDQGFRQWURORIWKH,7&

,QFOXGHGZLWKLQWKH,7&LQIRUPDWLRQVHFXULW\GLUHFWLYHVDUHUHTXLUHPHQWVWKDW

HPSOR\HHVUHSRUWDOOSRVVLEOHFRPSURPLVHVWR,7&GDWDDQGVSHFLILFSHQDOWLHVIRU

YLRODWLRQVRI,7&SROLF\
66

Conclusion

7KHUH DUH VRPH YHU\ JHQHUDO FRQFOXVLRQV WKDW FDQ EH GUDZQ IURP WKLV IHGHUDO

§ODQGVFDSLQJ ̈ H[HUFLVH  )LUVW WKHUH DUH PDQ\ UREXVW ODZV DQG UHJXODWLRQV LQ

SODFHWKDWVHUYHWRSURWHFWDQGDVVXUHRXUQDWLRQaVFULWLFDOLQIUDVWUXFWXUHV0DQ\

RI WKHVH ODZV DQG UHJXODWLRQV ZHUH SXW LQ SODFH ZLWK REMHFWLYHV RWKHU WKDQ

LQIUDVWUXFWXUH DVVXUDQFH LQ PLQG EXW WKH\ QRQHWKHOHVV FRQWULEXWH WR WKH

LQIUDVWUXFWXUHVa UHVLVWDQFH WR WKUHDWV RI PDQ\ NLQGV  +RZHYHU WKH HPHUJLQJ

F\EHU WKUHDW KDV RQO\ EHHQ DGGUHVVHG LQ YHU\ GLVFUHWH DUHDV  $QG DV DJHQFLHV

EHJLQ WR DGGUHVV WKH F\EHU WKUHDW WKH\ GR VR LQ D ODUJHO\ XQFRRUGLQDWHG HIIRUW

DFURVVWKH IHGHUDOJRYHUQPHQW&RRUGLQDWLRQ LVJRLQJWREHFUXFLDO IRUVXFFHVVIXO

LQIUDVWUXFWXUH DVVXUDQFH HIIRUWV EHFDXVH RI WKH ODUJH QXPEHU RI IHGHUDO

RUJDQL]DWLRQVLQYROYHGQRWWRPHQWLRQVWDWHDQGORFDOLQWHUQDWLRQDODQGSULYDWH

FRQFHUQV  7KLV UHSRUW FDQ DFW DV DQ LPSRUWDQW URDGPDS LQ FRQVLGHULQJ ZKR

VKRXOG EH EURXJKW WR WKH WDEOH IURP WKH IHGHUDO JRYHUQPHQW WR SODQ DQG

FRRUGLQDWHXVHRISDUWLFXODUVHWVRIOHJDODXWKRULWLHV

$VLQIUDVWUXFWXUHDVVXUDQFHHIIRUWVSURJUHVVLQWRWKHIXWXUHDGGLWLRQDOOHJDOZRUN

LV JRLQJ WR EH FUXFLDO  7KLV ILUVW DWWHPSW WR VXUYH\ DQG SUHVHQW WKH OHJDO

DXWKRULWLHVRIIHGHUDODJHQFLHVZLWKPLVVLRQVUHODWHGWR LQIUDVWUXFWXUHDVVXUDQFH

KDVRQO\EHHQDVPDOOSDUWRIWKHPXFKODUJHUWDVN7KHODUJHUWDVNWKDWVKRXOG

EH DFFRPSOLVKHG LV FORVHU UHYLHZ RI WKH UHOHYDQW DXWKRULWLHV PHFKDQLVPV DQG

SURJUDPV WR HQVXUH WKDW WKH\ DUH DSSURSULDWHO\ FRPSDWLEOH WKDW WKHUH DUH QRW

XQQHFHVVDU\ UHGXQGDQFLHV WKDW MXULVGLFWLRQDO ERXQGDULHV KDYH EHHQ GUDZQ

SURSHUO\DQGWKDWHDFKFUXFLDOFRPSRQHQWKDVIRXQGDKRPHZLWKLQDUHVSRQVLEOH

IHGHUDORUJDQL]DWLRQ7KLVUHSRUWPD\DFWDVDVWDUWLQJSRLQWIRUWKLVDFWLYLW\E\

IRFXVLQJ DWWHQWLRQ RQ VXFK DUHDV DV SULRULWLHV LQ UHVWRUDWLRQ RI VHUYLFH QHZ

LQIUDVWUXFWXUHDVVXUDQFHFRQFHUQVVXFKDVLQWHUGHSHQGHQFLHVDQGGHPRQVWUDWLQJ

WKH OLQN EHWZHHQ LQIUDVWUXFWXUH DVVXUDQFH DQG DJHQF\ PLVVLRQV WKDW PD\ EH

VXLWDEOH IRU LQFOXVLRQ LQ DJHQF\ VWUDWHJLF SODQQLQJ HIIRUWV  ,Q DGGLWLRQ IXWXUH

HIIRUWVVKRXOGEHJLQWRIROGVWDWHDQGORFDOLQWHUQDWLRQDODQGSULYDWHDXWKRULWLHV

PHFKDQLVPV DQG SROLFLHV LQWR WKH ODUJH SLFWXUH RI WKH OHJDO ODQGVFDSH IRU

LQIUDVWUXFWXUHDVVXUDQFH
67

Table of Authorities

Statutes

12 U.S.C. § 1818(b) __________________________________________________________________ 58

12 U.S.C. § 1818(e)___________________________________________________________________ 58

12 U.S.C. § 18439c ___________________________________________________________________ 58

12 U.S.C. § 248(c)____________________________________________________________________ 58

12 U.S.C. § 248(j), 485 ________________________________________________________________ 58

12 U.S.C. § 3105_____________________________________________________________________ 58

12 U.S.C. § 391______________________________________________________________________ 29

12 U.S.C. § 4003(d) __________________________________________________________________ 59

12 U.S.C. § 4008_____________________________________________________________________ 59

12 U.S.C. § 602______________________________________________________________________ 58

12 U.S.C. §§ 1818(i) & 1847 ___________________________________________________________ 58

12 U.S.C. §§ 1818-1819 _______________________________________________________________ 60

12 U.S.C. §§ 1819-1820 & 1868_________________________________________________________ 59

12 U.S.C. §§ 1861-67 _________________________________________________________________ 58

12 U.S.C. §§ 1881-84 _________________________________________________________________ 58

12 U.S.C. §§ 325-326 _________________________________________________________________ 58

12 U.S.C. §§ 343 & 347c ______________________________________________________________ 57

12 U.S.C. §§ 347b & 347 ______________________________________________________________ 58

12 U.S.C. §§ 411-421 & 428(o) _________________________________________________________ 58

12 U.S.C. §§ 625 & 602 _______________________________________________________________ 58

12 U.S.C.. § 3107 ____________________________________________________________________ 58

13 U.S.C. § 9________________________________________________________________________ 27
68

Statutes (continued)

15 U.S.C. § 717b(a)___________________________________________________________________ 19

15 U.S.C. § 717z _____________________________________________________________________ 19

15 U.S.C. § 781(k)(6) _________________________________________________________________ 57

15 U.S.C. §§ 3362-3363 _______________________________________________________________ 19

15 U.S.C. §§ 5652____________________________________________________________________ 47

15 U.S.C. §§ 717b et seq. ______________________________________________________________ 56

16 U.S.C. § 1 et seq. __________________________________________________________________ 45

16 U.S.C. § 2601 et seq. _______________________________________________________________ 19

16 U.S.C. § 5 & § 79__________________________________________________________________ 45

16 U.S.C. § 668dd(f) __________________________________________________________________ 47

16 U.S.C. § 791a et seq. _______________________________________________________________ 17

16 U.S.C. § 8241_____________________________________________________________________ 54

16 U.S.C. § 824-2(b) __________________________________________________________________ 17

16 U.S.C. § 824a(b)___________________________________________________________________ 54

16 U.S.C. § 824a(g)___________________________________________________________________ 54

16 U.S.C. § 824f _____________________________________________________________________ 54

16 U.S.C. § 824i _____________________________________________________________________ 54

16 U.S.C. § 825c _____________________________________________________________________ 54

16 U.S.C. § 825f _____________________________________________________________________ 54

16 U.S.C. § 825h_____________________________________________________________________ 55

16 U.S.C. § 825j _____________________________________________________________________ 54

16 U.S.C. § 825s _____________________________________________________________________ 17

16 U.S.C. § 837g-1 ___________________________________________________________________ 17

16 U.S.C. § 839______________________________________________________________________ 17

16 U.S.C. §§ 791a-825r________________________________________________________________ 53

16 U.S.C. §§ 824d & 824e _____________________________________________________________ 54
69

Statutes (continued)

18 U.S.C. § 1029_____________________________________________________________________ 35

18 U.S.C. § 1030__________________________________________________________________ 16, 35

18 U.S.C. § 113B ____________________________________________________________________ 50

18 U.S.C. § 1343_____________________________________________________________________ 41

18 U.S.C. § 1361_____________________________________________________________________ 48

18 U.S.C. § 1362_____________________________________________________________________ 45

18 U.S.C. § 1366_____________________________________________________________________ 47

18 U.S.C. § 1367__________________________________________________________________ 41, 45

18 U.S.C. § 1705_____________________________________________________________________ 44

18 U.S.C. § 1864__________________________________________________________________ 45, 48

18 U.S.C. § 2115_____________________________________________________________________ 44

18 U.S.C. § 2153_____________________________________________________________________ 16

18 U.S.C. § 2511_____________________________________________________________________ 16

18 U.S.C. § 3056__________________________________________________________________ 34, 35

18 U.S.C. § 3061_____________________________________________________________________ 44

18 U.S.C. § 641______________________________________________________________________ 16

18 U.S.C. § 871 & 879 ________________________________________________________________ 35

18 U.S.C. §§ 1541-1546 _______________________________________________________________ 51

18 U.S.C. §§ 1701-03 _________________________________________________________________ 44

18 U.S.C. §§ 2511-21 _________________________________________________________________ 41

18 U.S.C. §§ 793-94 __________________________________________________________________ 16

18 U.S.C. §§ 876-77 __________________________________________________________________ 44

18 U.S.C. Chapter 40 _________________________________________________________________ 34

18 U.S.C. Chapter 44 _________________________________________________________________ 34

19 U.S.C. § 1589a ____________________________________________________________________ 33

19 U.S.C. § 482______________________________________________________________________ 33
70

Statutes (continued)

20 U.S.C. § 5801 et seq. _______________________________________________________________ 36

20 U.S.C. § 6801 et seq. _______________________________________________________________ 36

20 U.S.C. § 8001_____________________________________________________________________ 36

20 U.S.C. § 8003_____________________________________________________________________ 36

20 U.S.C. § 8003_____________________________________________________________________ 36

22 U.S.C. § 211a _____________________________________________________________________ 51

22 U.S.C. § 2707_____________________________________________________________________ 51

22 U.S.C. § 2709_____________________________________________________________________ 51

22 U.S.C. § 2778_____________________________________________________________________ 34

22 U.S.C. § 3244_____________________________________________________________________ 50

22 U.S.C. § 401______________________________________________________________________ 33

22 U.S.C. §§ 2711-12 & 2708___________________________________________________________ 50

22 U.S.C. Chapter 64 _________________________________________________________________ 50

23 U.S.C. § 125______________________________________________________________________ 21

25 U.S.C. §§ 2101-09 _________________________________________________________________ 45

25 U.S.C. §§ 2801-2809 _______________________________________________________________ 45

25 U.S.C. §§ 311-328 _________________________________________________________________ 45

25 U.S.C. §§ 3801-3804 _______________________________________________________________ 45

25 U.S.C. §§ 4001-4061 _______________________________________________________________ 45

28 U.S.C. § 533______________________________________________________________________ 15

3 U.S.C. § 202_______________________________________________________________________ 35

30 U.S.C. § 185______________________________________________________________________ 47

30 U.S.C. § 185(h) ___________________________________________________________________ 48

30 U.S.C. § 185(o) ___________________________________________________________________ 48

30 U.S.C. § 226(g) ___________________________________________________________________ 48

31 U.S.C. § 3121 et seq. _______________________________________________________________ 29
71

Statutes (continued)

31 U.S.C. § 5317(b) __________________________________________________________________ 33

31 U.S.C. § 5318_____________________________________________________________________ 60

33 U.S.C. § 1225, 1231________________________________________________________________ 21

33 U.S.C. § 467h_____________________________________________________________________ 24

39 U.S.C. § 2005(a)___________________________________________________________________ 43

39 U.S.C. § 401(2), (10) _______________________________________________________________ 43

39 U.S.C. § 401(3) ___________________________________________________________________ 43

39 U.S.C. § 404(a)(7) _________________________________________________________________ 44

39 U.S.C. § 407______________________________________________________________________ 43

39 U.S.C. §§ 2003(b), 2401(a) __________________________________________________________ 43

39 U.S.C. §§ 201, 403(a)_______________________________________________________________ 43

40 U.S.C. § 471 et seq. ________________________________________________________________ 36

40 U.S.C. § 490(a)(17)-(19) ____________________________________________________________ 38

40 U.S.C. §§ 481 & 491 _______________________________________________________________ 38

40 U.S.C. §§ 601-619, 490 _____________________________________________________________ 36

41 U.S.C. § 251 et seq. ________________________________________________________________ 18

41 U.S.C. §§ 405 & 421 _______________________________________________________________ 36

42 U.S.C. § 1856_____________________________________________________________________ 46

42 U.S.C. § 2011 et seq. ____________________________________________________________ 17, 52

42 U.S.C. § 2133_____________________________________________________________________ 52

42 U.S.C. § 2167_____________________________________________________________________ 52

42 U.S.C. § 2201(b) _______________________________________________________________ 52, 53

42 U.S.C. § 2201(i) ___________________________________________________________________ 53

42 U.S.C. § 2236_____________________________________________________________________ 52

42 U.S.C. § 2271 et seq. _______________________________________________________________ 52

42 U.S.C. § 2280_____________________________________________________________________ 52
72

Statutes (continued)

42 U.S.C. § 2282_____________________________________________________________________ 52

42 U.S.C. § 4001 et seq. _______________________________________________________________ 24

42 U.S.C. § 5170 et seq. ______________________________________________________ 11, 24, 26, 50

42 U.S.C. § 5171_____________________________________________________________________ 24

42 U.S.C. § 5191(b) __________________________________________________________________ 24

42 U.S.C. § 5196(c), (g) & (h) __________________________________________________________ 24

42 U.S.C. § 5196(e)___________________________________________________________________ 23

42 U.S.C. § 5811_____________________________________________________________________ 52

42 U.S.C. § 5846_____________________________________________________________________ 52

42 U.S.C. § 6201 et seq. _______________________________________________________________ 38

42 U.S.C. § 7701 et seq. _______________________________________________________________ 24

42 U.S.C. § 8301 et seq. _______________________________________________________________ 19

42 U.S.C. §§ 6231-6241 _______________________________________________________________ 18

42 U.S.C. §§ 7101-7352 _______________________________________________________________ 53

42 U.S.C. §§ 7270a-7270b _____________________________________________________________ 18

42 U.S.C. §§ 7701 et seq. ______________________________________________________________ 47

42 U.S.C. 5195a(a)(1) _________________________________________________________________ 23

43 U.S.C. § 1331 et seq. _______________________________________________________________ 48

43 U.S.C. § 1732(b) __________________________________________________________________ 47

43 U.S.C. § 1733_____________________________________________________________________ 45

43 U.S.C. § 1762(a)-(b)________________________________________________________________ 49

43 U.S.C. § 1763_____________________________________________________________________ 48

43 U.S.C. § 373______________________________________________________________________ 49

43 U.S.C. § 485h(d) & (e)______________________________________________________________ 49

43 U.S.C. § 485i _____________________________________________________________________ 49

43 U.S.C. § 502______________________________________________________________________ 49
73

Statutes (continued)

43 U.S.C. § 503______________________________________________________________________ 49

43 U.S.C. § 506______________________________________________________________________ 49

43 U.S.C. § 620 et seq. ________________________________________________________________ 17

43 U.S.C. §§ 390b____________________________________________________________________ 49

43 U.S.C. §§ 498-499 _________________________________________________________________ 49

43 U.S.C. 1737 ______________________________________________________________________ 46

46 U.S.C. § 3703_____________________________________________________________________ 21

46 U.SC. § 3306 _____________________________________________________________________ 21

47 U.S.C. § 1________________________________________________________________________ 39

47 U.S.C. § 1 et seq. __________________________________________________________________ 38

47 U.S.C. § 2(43) ____________________________________________________________________ 39

47 U.S.C. § 2(b)(2) ___________________________________________________________________ 40

47 U.S.C. § 214(d) ___________________________________________________________________ 40

47 U.S.C. § 302(d) ___________________________________________________________________ 41

47 U.S.C. § 303(m)(1)(C) ______________________________________________________________ 41

47 U.S.C. § 303(r)____________________________________________________________________ 41

47 U.S.C. § 333______________________________________________________________________ 42

47 U.S.C. § 4(i) ______________________________________________________________________ 39

47 U.S.C. § 605___________________________________________________________________ 40, 41

47 U.S.C. § 606______________________________________________________________________ 25

47 U.S.C. § 706______________________________________________________________________ 39

47 U.S.C. § 721(a)(6) _________________________________________________________________ 26

47 U.S.C. § 902(b)(2)(A) ______________________________________________________________ 25

47 U.S.C. §§ 201-276 _________________________________________________________________ 39

47 U.S.C. §§ 3(44) & 3(46)_____________________________________________________________ 39

49 U.S.C. § 13931____________________________________________________________________ 22
74

Statutes (continued)

49 U.S.C. § 5307(d)(1)(J)(i) ____________________________________________________________ 22

49 U.S.C. § 5321_____________________________________________________________________ 21

49 U.S.C. § 60102____________________________________________________________________ 20

49 U.S.C. § 60103____________________________________________________________________ 20

49 U.S.C. § 60123____________________________________________________________________ 20

49 U.S.C. §§ 1(5), 2, 6, 15(1) & 15(7) ____________________________________________________ 56

49 U.S.C. app. §§ 1801-19 _____________________________________________________________ 21

50 U.S.C. § 1701 et seq. ____________________________________________________________ 26, 33

50 U.S.C. § 1701 et seq. _______________________________________________________________ 26

50 U.S.C. § 191______________________________________________________________________ 34

50 U.S.C. § 402(I)(1) _________________________________________________________________ 15

50 U.S.C. § 403______________________________________________________________________ 15

50 U.S.C. § 403-3(c) __________________________________________________________________ 15

50 U.S.C. § 403-3(d)(1) _______________________________________________________________ 14

50 U.S.C. § 403-4(e) __________________________________________________________________ 15

50 U.S.C. § 413b(a) & (e) ______________________________________________________________ 15

50 U.S.C. § 7270b(a)__________________________________________________________________ 18

50 U.S.C. §§ 205-226 _________________________________________________________________ 34

50 U.S.C. §§ 219-226 _________________________________________________________________ 33

50 U.S.C. §§ 401 et seq. _______________________________________________________________ 14

50 U.S.C. §§ 403a et seq. ______________________________________________________________ 14

50 U.S.C. app. § 2061 et seq. ________________________________________________10,17, 18, 19, 26

50 U.S.C. app. § 2071(a)_______________________________________________________________ 17

50 U.S.C. app. § 2071(c)_______________________________________________________________ 17

50 U.S.C. app. § 2158 _________________________________________________________________ 19

50 U.S.C. app. § 2160 _________________________________________________________________ 19
75

Statutes (continued)

50 U.S.C. app. § 2401 et seq. ___________________________________________________________ 26

8 U.S.C. § 1185______________________________________________________________________ 51

Title 18 U.S.C. Chapter 25 _____________________________________________________________ 35

Pub. Law No. 99-399 _________________________________________________________________ 50

Pub. Law No. 100-235 ___________________________________________ 20, 27, 28, 29, 30, 31, 41, 42

Pub. Law No. 101-298 ________________________________________________________________ 50

Public Law 101-509 __________________________________________________________________ 35

Pub. Law No. 102-486 ________________________________________________________________ 38

Pub. Law No. 102-580 ________________________________________________________________ 47

Pub. Law No. 103-62 _________________________________________________________________ 14

Pub. Law No. 104-104 ________________________________________________________________ 38

Pub. Law No. 104-106 __________________________________________________________ 14, 27, 37

Pub. Law No. 104-201 ______________________________________________________________11, 15

Pub. Law No. 104-208 _____________________________________________________________ 36, 37

Title 19, United States Code ____________________________________________________________ 32

Regulations

10 C.F.R. § 1048.5 ___________________________________________________________________ 18

12 C.F.R. § 201 ______________________________________________________________________ 58

12 C.F.R. § 229.13(f) _________________________________________________________________ 59

12 C.F.R. Part 216____________________________________________________________________ 58

12 C.F.R. Part 353____________________________________________________________________ 60

15 C.F.R. Part 730____________________________________________________________________ 26

18 C.F.R. § 141.300 __________________________________________________________________ 54

18 C.F.R. Part 1b_____________________________________________________________________ 54

18 C.F.R. Part 294____________________________________________________________________ 54

18 C.F.R. Part 35_____________________________________________________________________ 54
76

Regulations (continued)

18 C.F.R. Part 37_____________________________________________________________________ 54

19 C.F.R. Part 122____________________________________________________________________ 33

23 C.F.R. Part 668____________________________________________________________________ 21

25 C.F.R. Part 169____________________________________________________________________ 45

25 C.F.R. Parts 225-27 ________________________________________________________________ 45

28 C.F.R. Part 0.85 ___________________________________________________________________ 15

28 C.F.R. Part 0.85(a) _________________________________________________________________ 15

30 C.F.R. Part 250____________________________________________________________________ 48

36 C.F.R. § 14 _______________________________________________________________________ 45

39 C.F.R. § 224.233 __________________________________________________________________ 44

41 C.F.R. Chapter 101_________________________________________________________________ 36

41 C.F.R. Part 101-38 _________________________________________________________________ 38

43 C.F.R. § 2803.3 ___________________________________________________________________ 49

43 C.F.R. § 421 ______________________________________________________________________ 49

47 C.F.R. § 22.317 ___________________________________________________________________ 41

47 C.F.R. § 25.210(j)(2) _______________________________________________________________ 41

47 C.F.R. § 63.100 ___________________________________________________________________ 40

47 C.F.R. § 90.16 ____________________________________________________________________ 42

47 C.F.R. Part 11_____________________________________________________________________ 42

47 C.F.R. Part 68_____________________________________________________________________ 40

47 C.F.R. Part N, §§ 87.393-397_________________________________________________________ 42

48 C.F.R. Chapter 1___________________________________________________________________ 37

49 C.F.R. § 192.613 __________________________________________________________________ 20

49 C.F.R. § 192.615 __________________________________________________________________ 20

49 C.F.R. § 195.402 (c)-(d)_____________________________________________________________ 20

49 C.F.R. § 195.403 __________________________________________________________________ 20
77

Regulations (continued)

49 C.F.R. §§ 192.614 & 195.442 ________________________________________________________ 20

49 C.F.R. §§ 192.705 & 192.721 ________________________________________________________ 20

49 C.F.R. §§ 195.116, 195.254, & 195.258 ________________________________________________ 20

49 C.F.R. §§ 195.430 & 195.436 ________________________________________________________ 20

49 C.F.R. Part 190____________________________________________________________________ 20

49 C.F.R. Part 192, subpart D ___________________________________________________________ 20

49 C.F.R. Part 193____________________________________________________________________ 20

61 Fed. Reg. 21,737 (May 10, 1996) _____________________________________________________ 55

62 Fed. Reg. 12,484 (March 14, 1997) ____________________________________________________ 55

Title 10 of the Code of Federal Regulations ________________________________________________ 52

Presidential Authorities

Executive Order 10485 ________________________________________________________________ 17

Executive Order 11423 ________________________________________________________________ 51

Executive Order 12148 ________________________________________________________________ 24

Executive Order 12333 _______________________________________________________ 14, 15, 30, 31

Executive Order 12472 _____________________________________________________________ 25, 37

Executive Order 12631 ________________________________________________________________ 28

Executive Order 12656 _______________________________________________________ 24, 37, 44, 51

Executive Order 12844 ________________________________________________________________ 38

Executive Order 13010 ________________________________________________________ 1, 45, 50, 57

Executive Order 13031 ________________________________________________________________ 38

National Security Directive 42 __________________________________________________________ 31

Presidental Memorandum, Facilitating Access to Federal Property for the Siting of Mobile Services Antennas

_________________________________________________________________________________ 38

Agency Authorities

BLM Law Enforcement General Order 23 _________________________________________________ 45

FERC Order No. 889__________________________________________________________________ 55
78

Agency Authorities (continued)

1993 Cooperative Fire Protection Agreement in the State of Alaska _____________________________ 46

DOE Delegation Order No. 0204-1_______________________________________________________ 54

Electronic Banking Safety and Soundness Procedures and Financial Institution Letter (FIL) 14-97 _____ 59

FCC Instruction 1479.1 ________________________________________________________________ 42

FDIC, Financial Institution Letter 68-97 ___________________________________________________ 59

Federal Preparedness Circular 60 _____________________________________________________ 27, 44

Federal Response Plan______________________________________________________________ 11, 12

H-9260-1 BLM Law Enforcement Management_____________________________________________ 46

Inter-Departmental MOU allowing Cross-Deputation of Law Enforcement ________________________ 46

Memorandum of Understanding Between the Department of Transportation and the Department of Interior

Regarding OCS Pipelines ____________________________________________________________ 48

Memorandum of Understanding Between the Director of the National Institute of Standards and Technology and

the Director of the National Security Agency Concerning the Implementation of the Public Law 100-23532

NTIA Emergency Readiness Plan for Use of the Radio Spectrum _______________________________ 25

OMB Circular No. 1-119 ______________________________________________________________ 30

OMB Circular No. A-130 ______________________________________________________________ 42

Other Authorities

4 D.C. Code § 201 et seq. ______________________________________________________________ 46

Cases

United States v. Ajlouny, 629 F.2d 830 (2d Cir. 1980)________________________________________ 33

Reference Materials

Argonne National Laboratory, Overview of the Impacts of Regulatory Agency Practices on Critical

Infrastructure Protection___________________________________________________________ 8, 11

Critical Infrastructure Working Group Report ______________________________________________ 30

Network Reliability Performance (NRIC)__________________________________________________ 41

Network Reliability-- The Path Forward (NRIC) ____________________________________________ 41
79

Appendix

Federal Agency Contacts

CENTRAL INTELLIGENCE AGENCY

Tom Benjamin

Jonathan Fredman

FEDERAL BUREAU OF INVESTIGATION

M. E. Brown, Associate General Counsel

Marion Bowman

DEPARTMENT OF ENERGY

Samuel Bradley

DEPARTMENT OF TRANSPORTATION

Steve Metoyer

David Tochen

FEDERAL EMERGENCY MANAGEMENT AGENCY

Joseph Flynn

DEPARTMENT OF COMMERCE

Roman W. Sloniewsky

DEPARTMENT OF TREASURY

Virginia Rutledge

DEPARTMENT OF JUSTICE

Vincent Garvey, Civil Division, Federal Programs Branch

Chris Kelly, Antitrust Division

Jeffrey Axelrad, Civil Division, Torts Branch

Sarah Locke, Civil Division, Torts Branch

Roger Pincus, Office of Intelligence Policy and Review

Rosemary Hart, Office of Legal Counsel

NATIONAL SECURITY AGENCY

Richard Marshall, Associate General Counsel
80

U.S. CUSTOMS SERVICE

Ellen Y. McClain, Deputy Assistant Chief Counsel (Enforcement)

BUREAU OF ALCOHOL, TOBACCO & FIREARMS

David Lieberman, Attorney

U.S. SECRET SERVICE

Mark Mulligan, Attorney/Advisor

DEPARTMENT OF EDUCATION

Deborah Friendly

GENERAL SERVICES ADMINISTRATION

Michael Ettner, Senior Assistant General Counsel

FEDERAL COMMUNICATIONS COMMISSION

Jim Keegan, Associate Chief, Networks

U.S. POSTAL SERVICE

Fred Eggleston, Chief Counsel

Andrew German

DEPARTMENT OF INTERIOR

Arthur Gary, Senior Attorney

DEPARTMENT OF STATE

Michael Matheson, Acting Legal Advisor

K. E. Malmborg, Attorney/Advisor

Idris M. Diaz

U.S. INFORMATION AGENCY

Gordon John Dickey, Assistant General Counsel

NUCLEAR REGULATORY COMMISSION

Martin Malsch, Deputy General Counsel

Kathryn L. Winsberg, Senior Attorney

FEDERAL ENERGY REGULATORY COMMISSION

Robert C. Fallon, Senior Counsel to the Chair, FERC

David N. Cook, Deputy General Counsel

DEPARTMENT OF AGRICULTURE

Michael W. Kelly, Assistant General Counsel
81

SECURITIES AND EXCHANGE COMMISSION

Marva Simpson, Attorney/Advisor

BOARD OF GOVERNORS OF THE FEDERAL RESERVE

Stephen L. Siciliano, Special Assistant to the General Counsel for Administrative Law

FEDERAL DEPOSIT INSURANCE CORPORATION

INTERNATIONAL TRADE COMMISSION

Richard Liebeskind, Deputy Assistant Director, Bureau of Competition

COMMODITY FUTURES TRADING COMMISSION

Harold L. Hardman, Assistant General Counsel

U.S. INTERNATIONAL TRADE COMMISSION

Mark Morin

DEPARTMENT OF DEFENSE

Mary De Rosa

Stuart Aly