National Center for State Courts

 

Improving Justice through Leadership
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Emergency Management for Courts

A pdf version of this material is available on-line at http://www.ncsconline.org/WC/Publications/Comm_CtSecEMfCtsPub.pdf

Overview

Emergency management[1] is critical to court performance. For many years, court leaders have been concerned with ensuring the safety of all who use the Nation’s courthouses. During the 1978 Second National Conference on the Judiciary, participants recognized that “security in the courtroom and in the courthouse has been an increasing problem in recent years” (Friesen, 1978, p. 195).  The 1990 Trial Court Performance Standards required courts to ensure the safety of their facilities (Commission on Trial Court Performance Standards, 1990). In 1995, the National Association for Court Management produced the Court Security Guide, and several states followed with their own security manuals.

 

This focus on emergency management increased exponentially following the terrorist attacks on September 11, 2001. Since then, the court community has heightened its efforts to address safety issues across the board. For example, the September 2002 9-11 Summit (http://www.9-11summit.org/) brought together court leaders from across the country to discuss emergency management and pool the knowledge of court professionals who experienced emergencies first-hand. Judicial organizations also responded by offering programs on, creating committees to specifically address, and writing journal and newsletter articles on emergency management. The Best Practices Institute Board also acknowledged the importance of emergency management by designating it a focus area for the Institute in 2002-2003.

[1]The term “emergency management” encompasses all activities related to preventing, planning for, and responding to a crisis situation affecting court operations. See the section “What Does Emergency Management Include?” for more information.

References

Commission on Trial Court Performance Standards. (1990). Trial court performance standards with commentary. Williamsburg, VA: National Center for State Courts. Also available http://www.ncsconline.org/D_Research/TCPS/Standards/stan_1.2.htm.

Friesen, Jr., E. C. (1978). "Internal Organization and Procedures of the Courts. In T. J. Fetter (ed.), State courts: A Blueprint for the Future (pp. 179-202).  Williamsburg, VA:  National Center for State Courts.

National Association for Court Management. (1995). Court Security Guide. Williamsburg, VA:  Author.Top

Why Develop Emergency Management Best Practices?

As a result of the increased attention on emergency management, many excellent resources are available to help state and local courts address issues of specific concern to them. The 9-11 Summit Web site (http://www.9-11summit.org/) provides a compendium of materials related to emergency management, including templates for conducting security audits. Given the wealth of information available, some court professionals may be uncertain about where to start in reviewing the effectiveness of their current plans. To assist them, the Best Practices Institute asked five experts to identify a few practices that all courts should consider as first steps to enhance their emergency management efforts—steps that can be taken without the significant expenditure of additional resources. 

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How Were the Practices Developed?

The emergency management practices were drafted by Institute staff (based on themes from conference presentations and resource materials) and vetted by five experts in the area of court safety: Ms. Wendy E. Deer, Counsel to the Deputy Chief Administrative Judge, New York State Office of Court Administration; the Honorable Jonathan Lippman, Chief Administrative Judge, New York Unified Court System; the Honorable Joel D. Medd, District Court Judge, Grand Forks, North Dakota; Mr. Zygmont A. Pines, Court Administrator of Pennsylvania; and Mr. Steven Steadman, Senior Consultant, Policy Studies, Inc. All of these individuals have been very involved in state and local efforts to address emergency management for courts. The Institute gratefully acknowledges the contributions of these individuals.

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What Does Emergency Management Include?

The Federal Emergency Management Agency (FEMA) defines an emergency as “any unplanned event that can cause deaths or significant injuries to employees, customers or the public; or that can shut down your business, disrupt operations, cause physical or environmental damage, or threaten the facility’s financial standing or public image (http://www.fema.gov/pdf/library/bizindst.pdf , p. 5). FEMA defines emergency management as “the process of preparing for, mitigating, responding to and recovering from an emergency” (http://www.fema.gov/pdf/library/bizindst.pdf , p. 6). The emergency management best practices are based on these broad definitions of emergency and emergency planning. Emergency management refers to protecting the court or court system from any event that could threaten its operation – whether the event is an act of man or an act of nature. It encompasses all activities commonly associated with the terms “court security” and “court safety.”

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What Are the Best Practices?

The following seven practices, drafted in 2003, are offered as a starting point for courts to review their current emergency management plans. An overview of each practice is presented, followed by examples of how the practice could be or has been implemented. A list of resources for additional information also is provided.

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Ensure Visible Court Leadership

The court’s leaders set the tone for effective emergency management. They send the message that planning and practicing for emergencies is the right thing to do—that it is part of the court’s culture. Although they should be involved in all stages of the effort, it is especially important that court leaders be visible at various points in the process to reinforce the importance of the effort and make sure that everyone complies with the resulting plan.

Court leaders also should be visible and accessible during emergencies. To the extent that leaders demonstrate a commitment to address problems and return to business as quickly as possible, staff will be reassured and recovery efforts more systematic and effective.

Examples

Court leaders participate in security drills and other efforts to insure safety.

Following the September 11, 2001 terrorist attacks on the World Trade Center, Chief Judge Kaye immediately consulted with court leaders and resolved to keep New York’s courts opened. During the next 72 hours, court leaders worked around the clock, touring courthouses, talking with and reassuring court staff, and making alternate arrangements where necessary to keep the courts operating.

Following the April 19, 1995 bombing of the Murrah Federal Building, Chief Judge David Russell of the U. S. District Court, Western District of Oklahoma held a conference with the Court’s judges and determined to reopen the court as quickly as possible. In the days that followed, the judges made a concerted effort to keep information flowing to staff and include staff as much as possible in the decision-making process. Three days after the attack, the judge convened a staff meeting with psychologists, clergy, and FBI representatives to answer questions and provide support.

Resources

“Coping with Disaster.” Chief Judge Judith Kaye, Judicature, v. 85 issue 3, pgs.112-114. (Provides first hand account of 9-11 disaster from leadership perspective.) http://www.9-11summit.org/materials9-11/911/acrobat/26/P1LeadingtheCourts/KayeCoping.pdf

“Emergency Management Guide for Business & Industry.” FEMA, p. 6.  (Discusses the importance of having management support to create emergency plan.) http://www.fema.gov/pdf/library/bizindst.pdf

“September 11th: the New York Experience.” Hon. Jonathan Lippman, Conference of State Court Administrators midyear meeting, November 30, 2001. (Focuses on the leadership and representation of the judicial system within the community during the 9-11 attacks.) http://www.9-11summit.org/materials9-11/911/acrobat/26/P1LeadingtheCourts/911NYExperience.pdf

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Survey and Prioritize Emergency Management Needs

Courthouses are public buildings. Because they must remain open to the public, emergency management issues are complex. There is a balance to strike between ensuring public access and providing a safe and secure environment. Court leaders and staff can strike an appropriate balance and give themselves an advantage by taking time to examine the courthouse (or building designs if the structure is under construction) and to determine potential areas of vulnerabilities. What are the most critical emergency management issues? Which areas should be addressed immediately? Answers to these questions will help court officials develop an effective emergency management plan and to make winning arguments when trying to obtain additional resources.

Examples

Courts have asked the United States Marshals Service, local law enforcement, and local universities with programs in law enforcement to conduct security audits of their facilities.

Some courts maintain an incident reporting system and database to identify and address specific problem areas. The database also can be helpful in seeking funding.

Court employees are good sources of information regarding potential vulnerable areas of the courthouse. Where do they feel safe or not safe? Reaching out to the staff also helps to raise the visibility and importance of emergency management.

Resources

“Court Security Manual.” State of Minnesota & Conference of Chief Justices, 1997. (See security checklist beginning on p. 2-3-1.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/MinnesotaCtSecurityManual.pdf

“Court Security Incident Reporting Form.” Minnesota Department of Public Safety, Bureau of Criminal Apprehension, 1993. (Provides an example of an incident reporting form.) http://www.dps.state.mn.us/bca/Forms/Documents/court-incid.pdf

 “Measure 1.2.1: Courthouse Security Audit.” Commission on Trial Court Performance Standards, 1995. (Includes National Sheriffs’ Association Physical Security Checklist.) http://www.ncsconline.org/D_Research/TCPS/Standards/stan_1.2.htm

United States Marshals Service. (Includes address and telephone numbers of district offices) http://www.usmarshals.gov/

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Create and Practice an Emergency Response Plan

It is important to have a plan in place in anticipation of various emergency situations (e.g., breach of courthouse security, natural disaster, electrical outage, bomb threat, or explosion). A court emergency management committee consisting of court leadership, the court’s automation specialist, law enforcement, the facilities manager, and other interested parties such as representatives of the bar and members of the public is necessary to determine the critical emergency management issues to address in the plan and the most effective and least costly responses.

An essential task for the committee is to identify who will make key decisions in the event of a crisis.  This will avoid turf battles or delayed or inconsistent responses because the lines of responsibility are blurred. 

Creating the response plan is necessary but not sufficient. Regularly communicating with staff, providing training, conducting drills, and testing equipment are also vital components of an effective plan.

Examples

Some states have an emergency management manual with templates to help local courts create their plans. See, for example, Florida’s template for Continuity of Operations Plan on p. 62 of “Keep the Courts Open” and New York's "Facility Emergency Preparedness and Response Plan," both cited in resources below. (If your state has a template to include in the resources cited below, please forward to pcasey@ncsc.dni.us.)

In addition to the overall plan, some courts create mini-documents customized for specific departments and/or specific crises (e.g., fire, flood, electrical outage). These smaller documents include the basic information each employee needs to know in the event of an emergency and are more user-friendly than the entire plan. See, for example, New York's Employee Evacuation Checklist in Appendix C of "Emergency Preparedness and Response Planning Manual" cited in resources below.

Courts conduct mock disaster drills to identify and address problems with the plan and to maintain court staff interest in the plan. See, for example, New York's Evacuation Drill Report in Appendix F of "Emergency Preparedness and Response Planning Manual" cited in resources below.

If time and resources are a problem, consider training staff a little at a time. One court developed materials specific to the needs of the custodian staff and reviewed and discussed the information with the staff. It only took about 15 minutes, and the staff was very appreciative of, and later used, the information.

Resources

“Contingency Planning: COOP Self-Assessment Guide & Checklist.” Federal Executive Branch. (Provides a checklist that can be used to develop a contingency plan.  Includes checklists for essential functions, authorities and delegations, alternative facilities, communications, program management, and testing exercises.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/SelfAssessGuideChecklist.pdf

“Court Security Manual.” State of Minnesota Conference of Chief Judges. (A statewide resource for enhancing court security. See courthouse contingency plans beginning on p. 2-4-1and training outlines beginning on p. 12-1-1.) http://www.9-11summit.org/materials9-11/911/acrobat/26/C6NewThreats/MinnesotaCtSecurityManual.pdf

"Emergency Preparedness and Response Planning Manual with Appendices." New York State Unified Court System, March 2003. (A statewide planning guide that identifies tasks and issues courts need to address to be prepared for a broad range of emergencies.http://www.9-11summit.org/materials9-11/911/acrobat/26/manual1.pdf and http://www.9-11summit.org/materials9-11/911/acrobat/26/manual1-append.pdf

"Facility Emergency Preparedness and Response Plan." New York State Unified Court System, March 2003. (Provide a template for each court to prepare a response plan in the event of an emergency.) http://www.9-11summit.org/materials911/911/acrobat/26/template.pdf

“Keep the Courts Open.” Final report of the Florida Supreme Court Workgroup on Emergency Preparedness, March 28, 2002. (A statewide resource for courts to plan for emergencies. See p. 62 for COOP template.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/FloridaFinalReport.pdf

“Occupant Emergency Program Guide.” U.S. General Services Administration Public Buildings Service, Federal Protective Service, March 2002. (Discusses essential components of an occupant emergency plan.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/GSAOccupantEmergencyProgram.pdf

“Wisconsin Courthouse Security Resource Center.” The Wisconsin Sheriff’s and Deputy Sheriff’s Association, U.S. Marshal’s Office of the Western District of Wisconsin, Director of State Courts, Office of the Chief Justice of the Wisconsin Supreme Court, Fox Valley Technical College, 2000. (The Center provides training, research, and technical assistance related to security. The document includes Chapter 7 from Wisconsin "Courthouse Security Manual" that discusses creating contingency safety and security plans.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/Wisconsinexcerpt.pdf

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Get a Seat at the Table

Make sure that the court or court system has a representative present in city, county, or state emergency management meetings. Courts generally have not actively engaged in reaching out to other government agencies (and some agencies have not been open to court participation) to address emergency management issues. As a consequence, courts may find themselves at the bottom of a long list of priorities when city, county, and state emergency recovery plans are enacted. It is important to understand which agencies are in charge of emergency preparedness in your jurisdiction and to have a court staff person with appropriate decision authority contact and meet with the individuals in charge. If there are no regular communications among emergency management officials in the jurisdiction, the court can be an advocate for creating an ad hoc committee to coordinate efforts across the jurisdiction.

Examples

The U.S. District Court, Northern District of West Virginia, found a very receptive emergency management network when the chief judge began calling emergency responders in the community. As a result, the court was part of a mock drill, and local and state officials expressed gratitude to the court for taking a leadership role.

State officials in Florida made contacts with state emergency planning agencies to facilitate contacts at the local level. In addition, the state office named an emergency coordinating officer in each circuit and appellate court district whose primary responsibility is to connect with the existing emergency management network in the community.

Resources

“Communication is Key in Court Security.” Amanda Murer, Report on Trends in the State Courts, National Center for State Courts, 2002. (Touches on the importance of communication with others in community when making a security plan. Also gives ideas of how to improve court security plan without monetary support.) http://www.ncsconline.org/D_KIS/Trends/Trends02MainPage.html

“Emergency Management Guide for Business & Industry.” FEMA, pgs. 39-40.  (Discusses emergency planning with other community agencies.) http://www.fema.gov/pdf/library/bizindst.pdf

“Keep the Courts Open.” Final report of the Florida Supreme Court Workgroup on Emergency Preparedness, March 28, 2002. (Discusses the importance of communication and cooperation in planning for responses to threats and emergencies.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/FloridaFinalReport.pdf

Office of Domestic Preparedness, US Department of Justice.  http://www.ojp.usdoj.gov/odp . (Web site from the DOJ to help first responders deal with incidents of terrorism and weapons of mass destruction.)

State Offices and Agencies of Emergency Management. (Includes state emergency manager’s email address.) http://www.fema.gov/about/contact/statedr.shtm

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Develop a Plan to Communicate Internally

The court should develop alternative plans for communicating with staff in the event of an emergency. Because different communication systems may fail depending on the emergency, it is important to plan for various scenarios (e.g., phone lines down, satellite connections blocked, internet unavailable). During an emergency, some type of central command communication system is critical. Conflicting messages from different sources will increase anxiety and slow efforts to address an emergency. 

Examples

Designated court officials maintain an emergency contact list of all employees. Contact information includes home address, phone number, beeper, cell number, and email address, as appropriate. Managers and supervisors have a list of emergency contact numbers for each staff person in their respective office or department. A copy of the list is kept in the manager’s office and home.

“Phone trees” are an example of a low-cost method to keep court staff informed during the initial period following an emergency if the court’s regular communication system is unavailable.

Designating a central place to gather following an emergency helps court officials determine who is missing.

Some courts provide a laminated “emergency card” to carry in a wallet, purse, or glove compartment.  The card lists phone numbers each staff person should call in the event of an emergency, the court’s Web site, and television and radio stations that broadcast information about the court during an emergency.  The cards are updated periodically to keep them current.

Resources

"Continuity of Operations (COOP) Plan Coordination Draft.” Federal Executive Branch, August 13, 2002. (See Annex L: Emergency Notification.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/ContinuityOperationsPlanFEbranch.pdf

“Emergency Management Guide for Business & Industry.” FEMA, pgs. 31-32.  (Discusses emergency communications considerations.) http://www.fema.gov/pdf/library/bizindst.pdf

“Emergency Preparedness and Recovery Procedures Manual.” 11th Judicial Circuit of Florida, Administrative Office of Courts, July 31, 2002. (See section one on communications. Includes description of telephone tree.) http://64.233.161.104/search?q=cache:kY226UodtBcJ:www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/EmergencyProceduresRecoveryManual.pdf+EmergencyProceduresRecoveryManual.pdf&hl=en&gl=us&ct=clnk&cd=3

“Keep the Courts Open.” Final report of the Florida Supreme Court Workgroup on Emergency Preparedness, March 28, 2002. (See p. 76 for employee notification procedures during an emergency. Appendices E and F provide employee profile forms and an emergency contact log to use during a crisis.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/FloridaFinalReport.pdf

“You Can Help Keep the Courthouse Safe” & “What is Suspicious.” Sample handouts provided by Tina Rowe for 9-11 Summit panel on Emergency Preparedness Planning: A Workshop, 2002. http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/RoweSampleHandout.pdf

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Develop a Plan to Communicate Externally

Depending on the emergency, courts may have to contact numerous other individuals who are or could be affected by the crisis (e.g., attorneys, litigants, witnesses, jurors, other justice system and human service agency staff who work with the court, the general public). Courts should prepare a list of individuals who might be affected by a court emergency and determine the best way to communicate with them (e.g., work through the local bar to send a message to attorneys; use the court’s Web site to provide information to the public).

As is the case for internal communications, it is critical that external court communications be consistent and accurate. The court’s leadership should inform the communications point person what information is communicated, when, and to whom. Messages should be operationally simple (e.g., how to contact the court, whether cases will be heard, alternative locations for conducting business) and provide a number or Web site to obtain more specific information. Frequent updates as information is obtained will lessen the public’s anxiety and facilitate the recovery process during an emergency.

Examples

Contact information of individuals who will (1) provide information and feedback to the court during an emergency and (2) help the court get its message out to affected groups is maintained by the court manager and communications point person and regularly updated.

During the initial hours and days of a community-wide emergency, court information may not be a priority for media outlets to provide. Courts in this position have sought other means to communicate such as paying for an announcement in local newspapers, using the court’s Web site to provide information, maintaining an information hotline at the court, or providing a toll-free number for court information, installing Internet phone lines, and asking other branches of government that may have better access to the media to include information about the courts in their briefings.

During a crisis in Florida, the Supreme Court’s communications officer and marshall work in the state’s Emergency Operations Center. The Center maintains toll-free numbers for the public seeking information. Calls requesting court information are routed to the court officers.

In Puerto Rico, the state court administrator calls the bar president, the attorney general, and the chief of police to provide information regarding the operations of the courts. These officials subsequently inform their respective staff.

Resources

“Emergency Management Guide for Business & Industry.” FEMA, pgs. 41-41.  (Discusses emergency communications with the public.) http://www.fema.gov/pdf/library/bizindst.pdf

“The Administration of Justice Under Emergency Conditions:  Lessons Following the Attack on the World Trade Center.” Oren Root, Vera Institute of Justice, January 2002. (See recommendations regarding communications on pgs. 25-26.) http://www.9-11summit.org/materials9-11/911/acrobat/26/C1TheAftermath/VeraInstituteLessonsFollowingAttack.pdf

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Don't Let Resources Prevent Planning

Emergency management is a core court activity. Courts cannot afford to wait until extra resources become available before they start planning. Expensive new technology and security consultants are not necessary to begin integrating the importance of emergency management into the court’s culture.

Courts can begin with low-cost planning activities and explore opportunities for additional resources as the planning process unfolds. As courts reach out to other community and government entities to create an effective plan, they may learn of expertise that resides in the community and funding sources they do not normally access.

Courts also should include stakeholders and members of the public on emergency planning committees. This not only insures that the public’s voice is included in the plan but also creates community advocates for the plan. The court’s request for funding to implement the plan is likely to be more effective coming from a member of the public. Members of the public arguing for funding to safeguard the courthouse reinforces the idea that the funds are needed for the protection of the public as well as for judges and court staff.

Examples

9-11 Summit participants reported that costs associated with planning were minimal. In addition, they noted that some improvements, such as developing or modifying outdated policies and procedures and compiling emergency contact information for each employee, also could be accomplished with limited resources. Police Commissioner Raymond Kelly of New York City suggested giving all court staff a kit with a whistle, mask, and flashlight—low-cost items that could be very helpful in a number of emergency situations.

The Wisconsin Courthouse Security Training Program was accomplished through the joint efforts of the Office of the Chief Justice, Director of State Courts Office, Wisconsin Sheriff’s and Deputy Sheriff’s Association, the U.S. Marshal’s Office for the Western District of Wisconsin, the Wisconsin Office of Justice Assistance, and the Fox Valley Technical College. With the help of their law enforcement partners, the Wisconsin Supreme Court obtained grant funds from the Office of Justice Assistance, and the Technical College helped develop, deliver, and evaluate a “train the trainers” curriculum for 400 county-level leaders across the state. Prior to this effort, the court had not participated in such a comprehensive partnership. New skills and resources were developed using this cooperative model.

Training and technical assistance in emergency management may be available from local, state or federal sources outside of the judicial branch. For example, one or more community agencies may offer emergency management training and would be willing to have court representatives participate. Expertise in emergency management also may be available through local law enforcement or local colleges that offer programs in law enforcement and emergency management. These local agencies also may have access to additional resources through their wider emergency management networks. For example, the Office for Domestic Preparedness (ODP), Department of Justice, provides funds to each state to address specific equipment, training, and technical assistance needs to help state and local jurisdictions better respond to incidents of domestic terrorism.  ODP and the Naval Postgraduate School also offer a master's degree program in Homeland Defense and Security for government employees.  Individuals can determine if they are eligible for the program by visiting the Homeland Security Leadership Development Web site at http://www.chds.us/public.php.

Resources

"Homeland Security Exercise and Evaluation Program, Volume I: Overview and Doctrine." Office for Domestic Preparedness, U.S. Department of Homeland Security, March 2003. (Chapter 1 provides a description of the State Homeland Security Grant Program.) http://www.ojp.usdoj.gov/odp/docs/HSEEPv1,pdf

“Wisconsin Courthouse Security Resource Center.” The Wisconsin Sheriff’s and Deputy Sheriff’s Association, U.S. Marshal’s Office of the Western District of Wisconsin, Director of State Courts, Office of the Chief Justice of the Wisconsin Supreme Court, Fox Valley Technical College, 2000. (Example of a partnership that provides training, research, and technical assistance related to court security.) http://www.9-11summit.org/materials9-11/911/acrobat/27/P3%26C10EmergencyPreparednessPlans/Wisconsinexcerpt.pdf

“Enduring Values in Changing Times.” Chief Justice Shirley S. Abrahamson, Annual Meeting of the Wisconsin Judicial Conference, 2002 State of the Judiciary—October 16, 2002, p. 8. (Brief description of growth of Wisconsin Courthouse Training Program.) http://www.wicourts.gov/news/archives/2002/chief101602.htm

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A pdf version of this material is available on-line at http://www.ncsconline.org/WC/Publications/Comm_CtSecEMfCtsPub.pdf

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