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KLC Disaster Preparedness & Response Handbook

This guide contains recommendations for cities to implement in preparation for disaster response to ensure that officials and citizens are in the best position for survival.

This guide contains recommendations for cities to implement in preparation for disaster response to ensure that officials and citizens are in the best position for survival.

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<strong>KLC</strong> <strong>Disaster</strong><br />

<strong>Preparedness</strong> &<br />

<strong>Response</strong> <strong>Handbook</strong>


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Table of Contents<br />

CHAPTER 1: DISASTER PREPAREDNESS<br />

Executive Role in <strong>Disaster</strong> Preparation<br />

Legislative Role in <strong>Disaster</strong> Preparation<br />

City Manager/City Administrative Officer<br />

Police Chief<br />

Fire Chief<br />

City Clerk<br />

Public Works<br />

Utilities<br />

Code Enforcement<br />

Finance (City Clerk)<br />

Human Resources (City Clerk)<br />

*Click on a page number to be<br />

taken directly to each section.<br />

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Chapter 1<br />

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CHAPTER 2: DISASTER ACTION PLAN<br />

Role of Mayor (City Manager/City Administrator) During a <strong>Disaster</strong><br />

Role of Council Member/Commissioner During a <strong>Disaster</strong><br />

Role of Police Chief<br />

Role of Fire Chief<br />

Role of City Clerk (City Manager/City Administrator)<br />

Role of Public Works<br />

Role of Municipal Utilities<br />

Role of Finance (City Clerk)<br />

Role of Code Enforcement (Duties may be assigned to Public Works)<br />

Chapter 2<br />

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CHAPTER 3: FEDERAL DISASTER ASSISTANCE<br />

Federal Programs Overview<br />

Federal/State Action<br />

Local Action<br />

<strong>Disaster</strong> Field Office (DFO)<br />

The Federal Coordinating Officer (FCO) and Staff<br />

State Coordinating Officer (SCO) and Staff<br />

<strong>Disaster</strong> Assistance for Individuals<br />

Small Business Administration Programs (SBA)<br />

Agriculture <strong>Disaster</strong> Guidelines<br />

Chapter 3<br />

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TABLE OF CONTENTS: <strong>KLC</strong> DISASTER & PREPAREDNESS RESPONSE HANDBOOK


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National Flood Insurance Program (NFIP)<br />

Public Assistance (PA)<br />

Public Assistance Eligibility<br />

General Work Eligibility<br />

Public Assistance Project Category Descriptions<br />

Section 406 – PA – Hazard Mitigation<br />

Specific Documentation Required<br />

Post Award Monitoring<br />

Reconcile and Close PA Prime Award<br />

Review and Audit<br />

For Projects Under $1 Million<br />

Hazard Mitigation Grant Program<br />

Contracts<br />

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CHAPTER 4: RELEVANT FORMS<br />

Form 1 – Continuity of Government/Continuity of Operations Plan<br />

Form 2 - Sample Executive Order Declaring State of Emergency<br />

Form 3 – Sample Executive Order Declaring Curfew<br />

Form 4 – <strong>Disaster</strong>-Related Materials Tracking Summary<br />

Form 5 – <strong>Disaster</strong>-Related Rented Equipment<br />

Form 6 – <strong>Disaster</strong>-Related Force Account Equipment Tracking<br />

Form 7 – <strong>Disaster</strong>-Related Force Account Labor Tracking (Use for volunteers too)<br />

Form 8 – Applicants’ Benefits Calculation Worksheet<br />

Form 9 – <strong>Disaster</strong>-Related Contract Work Summary Record<br />

Form 10 – Sample Volunteer Agreement/Waiver<br />

Form 11 – Inventory Form FEMA<br />

Form 12 – <strong>Disaster</strong>-Related Project Worksheet<br />

Form 13 – Preliminary Damage Assessment Summary<br />

Form 14 - Debris Management Plan Template<br />

Form 15 - Debris Contract Bid Specifications<br />

Form 16 – Debris Monitor Report Form<br />

Form 17 – Right of Entry on Private Property for Debris Removal<br />

Form 18 – RFP for Services Related to FEMA Reimbursement, Documentation & Audit<br />

Form 19 – RFP for Debris Removal<br />

Chapter 4<br />

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DISASTER PREPARATION<br />

Introduction to <strong>Disaster</strong> Preparation<br />

When disaster strikes, citizens rely upon local leaders to provide guidance, structure, and<br />

assistance. State and federal resources are necessary for recovery, but citizens will look to<br />

local leaders to provide for their health, safety, and welfare. It is important to understand<br />

that regardless of the form of government, the mayor is the head of state for the city during<br />

times of disaster. Cities can take steps to guide disaster response before the worst happens.<br />

This guide contains recommendations for cities to implement in preparation for disaster<br />

response to ensure that officials and citizens are in the best position for survival.<br />

It is important for the executive to clearly delegate duties listed in this guide. Some duties<br />

may be applicable to multiple departments. Clear direction is imperative to avoid duplication<br />

of effort.<br />

This guide is designed to be a “rip and run” for each city department. A mayor should be<br />

able to take their section of the guide and begin preparation efforts right now. While it<br />

is impossible to design a guide that is tailored to every city, we endeavored to create a<br />

preparation guide that is easy to use and amend to fit your city’s needs.<br />

Executive Role in <strong>Disaster</strong> Preparation<br />

Most cities in Kentucky operate under the mayor-council form of government. In these cities, the<br />

mayor is the chief executive and administrative officer of the city.<br />

The next most common form of city government in Kentucky is the commission plan. In this form<br />

of government, the mayor and commissioners share executive and legislative authority. At the<br />

first annual meeting of the board of commissioners, each commission member is selected by<br />

consensus of the board to act as superintendent over a particular city department. For cities that<br />

operate under this form of government, the board of commissioners may assign various sections<br />

of the executive duties to develop a disaster preparation plan or assign all duties to the mayor. It is<br />

important for commissioners to understand that during a state of emergency the mayor assumes<br />

all executive authority according to Kentucky law.<br />

The remaining cities operate under a city manager plan of government. Like the commission form<br />

of government, the board of commissioners, which includes the mayor, shares all executive and<br />

legislative authority. The difference is that the board of commissioners selects a city manager to<br />

perform a majority of the city’s administrative functions. In this form of government, many of the<br />

disaster preparation duties may be performed by the city manager. However, like the commission<br />

EXECUTIVE ROLE IN DISASTER PREPAREDNESS


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form, by operation of Kentucky law the mayor assumes all executive authority during a state of<br />

emergency.<br />

It is important to note that Kentucky law authorizes city mayors to issue state of emergency<br />

declarations when the need arises. In addition to the mayor, the law provides that a city may enact<br />

an ordinance to appoint a nonelected officer as the mayor’s designee who can also issue a state of<br />

emergency declaration. In most instances, the designee will be a city manager, city administrator,<br />

police chief, or fire chief.<br />

I. UNDERSTAND EMERGENCY MANAGEMENT STATUTORY SCHEME<br />

A. KRS Chapter 39A governs the state’s response to disasters and emergencies.<br />

1. Creates the department of emergency management to develop, administer, and<br />

maintain a comprehensive disaster and emergency management program for the<br />

state in conjunction with all state and local government entities.<br />

2. Authorizes the governor and executive authority of counties and cities to declare a<br />

state of emergency in response to a statewide disaster or emergency. The governor’s<br />

declaration of a state of emergency expires in 30 days unless renewed by the general<br />

assembly during a regular or special session.<br />

3. Provides wide latitude to the state executive branch to respond to statewide disasters<br />

and emergencies.<br />

B. KRS Chapter 39B governs the local government authority to respond to disasters and<br />

emergencies.<br />

1. Authorizes local executive authority of counties and cities to declare a state of<br />

emergency for local disasters.<br />

2. Gives the mayor, as the executive authority, broad powers to ensure that city<br />

operations can continue. For most actions, the mayor can act by executive order,<br />

but consultation with members of the legislative body is critical for successful<br />

administration.<br />

3. Cities can avoid strict compliance with procurement requirements during an<br />

emergency. However, the Federal Emergency Management Agency (FEMA) will not<br />

reimburse the city for any goods or services unless state and federal procurement<br />

guidelines are followed. This includes contracts with consultants for FEMA<br />

reimbursement. Follow the bid process unless it is a matter of public safety.<br />

4. Authorizes other government employees to provide aid within the city utilizing the<br />

same powers, duties, rights, privileges, and immunities as they would have in their<br />

local jurisdiction.<br />

C. KRS Chapter 39C governs the administration of the state supplementary fund for local<br />

emergency management agencies.<br />

1. Emergency management agencies may apply for state supplementary funds on<br />

a reimbursement basis for the creation, administration, and support of emergency<br />

management. (50% max of expenditures)


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2. Only one emergency management agency per county can apply for funds, which is<br />

usually county emergency management.<br />

3. State emergency management conducts quarterly evaluations of programs receiving<br />

the monies.<br />

II. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to<br />

a disaster or any event that significantly disrupts any part of city operations.<br />

Leadership begins at the top. The executive can prioritize creating a city-wide COG/COOP and<br />

task each city department with creating individualized plans. <strong>KLC</strong> customized a COG/COOP plan<br />

that is attached to this guide as Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for each city department<br />

and for the city as a whole using the COG/COOP tool.<br />

1. COG/COOP for each department details the mission and purpose of each department<br />

and the specific essential functions each department oversees during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary for the departments to<br />

accomplish the tasks.<br />

3. Establishes a succession plan should individuals be unable to perform assigned<br />

functions.<br />

4. Separately addresses IT backup and recovery needs to continue operations.<br />

B. Continuity of government/continuity of operations plans (COG/COOP) can be utilized to<br />

prioritize government operational needs to establish and/or maintain essential city functions<br />

in response to a disaster or any event that significantly disrupts a part of city operations.<br />

Effective communications serve to provide citizens warning of pending danger, information<br />

about relief efforts, and connection with the city government and other citizens. All city<br />

communications should flow through the mayor or the mayor’s designee, especially in<br />

crisis situations. It is important to design communications to reach all citizens regardless of<br />

physical needs, e.g., hearing impaired, remote communities. <strong>KLC</strong> customized a COG/COOP<br />

plan that is attached to this guide as Appendix A.<br />

C. Create a continuity of government/continuity of operations plan for city communications.<br />

1. COG/COOP details the mission and purpose of communications and the specific<br />

essential functions during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary to accomplish duties.<br />

3. Establishes a succession plan should individuals be unable to perform assigned<br />

functions.<br />

4. Create a plan for the following:<br />

a. Process to assess priority resources available to effectively communicate with<br />

citizens, e.g., personnel, volunteers, businesses, radios, equipment, internet<br />

service.<br />

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b. Prioritize immediate communications needs, e.g., warning of pending disaster,<br />

reaching vulnerable populations, informing the public of available shelters.<br />

c. Establish partners that can provide communication resources on the city’s<br />

behalf if city communications are down, e.g., schools, local KSP post, KYEM,<br />

radio stations, ham radio operators.<br />

d. Identify employees and volunteers available to go door-to-door to make sure<br />

that vulnerable and remotely located residents receive information.<br />

e. Prioritize requests for communications, e.g., information on shelter locations,<br />

missing persons, location of food and water.<br />

f. Prepare to manage citizen expectations regarding FEMA recovery efforts. FEMA<br />

is not an insurance company. FEMA will not provide funding to replace or restore<br />

anyone’s home in the state it was prior to the disaster. FEMA’s mandate is to help<br />

people obtain safe, sanitary, and functional housing that meets basic needs.<br />

g. Create a social media plan that includes daily updates to provide information to<br />

a wide range of citizens once internet is established and utilize digital billboards<br />

to provide information to citizens that may not be aware.<br />

D. Identify vulnerable citizens and those with language barriers to determine how the city can<br />

best reach them.<br />

1. Regional Aging and Independent Living Agencies: https://www.chfs.ky.gov/<br />

agencies/dail/Pages/adrc.aspx<br />

2. Health Emergency Listing of Professionals for Surge (KHELPS): Public Health<br />

<strong>Preparedness</strong> Branch 502.564.7243<br />

3. Kentucky’s early intervention system regional points of contact for children: https://<br />

www.chfs.ky.gov/agencies/dph/dmch/ecdb/fs/POElistingforWebsite.pdf<br />

4. Kentucky Refugee Ministries: https://kyrm.org/<br />

5. Kentucky Refugee Resettlement Agencies: https://www.kentuckyrefugees.org/<br />

refugees-in-kentucky/resettlement-agencies/<br />

6. Mental Health Provider Locator: https://providerdirectory.dbhdid.ky.gov/<br />

ProviderDirectory.aspx<br />

7. Local Schools and Districts<br />

8. Community Action Agency: https://www.capky.org/network/<br />

9. SAMHSA: Mental Health Crisis Line 988<br />

PREPARE TO CREATE AND MAINTAIN CITY RECORDS<br />

A. Maintain a record of city communications and what information was provided at which point<br />

to make sure that any necessary information is provided on a consistent rotating basis.<br />

B. Take FEMA training to learn about the public assistance program. FEMA independent study<br />

courses can be found here. “Social Media During a <strong>Disaster</strong>” may be a useful course, among<br />

others.


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III. EMERGENCY OPERATIONS PLAN<br />

Emergency operations plans (EOP) are similar to COG/COOPs. The primary difference between<br />

an EOP and COG/COOP is that an EOP is a plan for the entire community rather than an internal<br />

operations plan for the city. To create an effective EOP for your city, it is important to gather input<br />

from citizens. Cities can create standing committees that contain city employees from different<br />

departments, community members, faith leaders, social services providers, and representatives<br />

from the business community.<br />

Standing committees may not be a good fit for your city. In that case, conducting annual public<br />

roundtables or forums to discuss the city EOP may be an option. To adopt this method, a city can<br />

schedule a series of roundtables or forums to gather public input on distinct sections of the city<br />

EOP. Regardless of which option is better for your city, it is critical to get public input and buy-in<br />

to develop a successful EOP.<br />

A. Create a city emergency operations plan (EOP) standing committee comprised of<br />

representatives from city departments and citizens to develop an emergency operations<br />

plan for the community that meets the requirements of KRS 39B.060. A standing<br />

committee is permanent in nature to ensure continuous review so that EOPs remain current<br />

and operational.<br />

1. FEMA has a fantastic publication to assist “Developing and Maintaining Emergency<br />

Operations Plans.” Section 4 contains the process for developing an EOP. EOPs<br />

developed from this template should comply with KRS 39B.060.<br />

2. Cities are generally covered by the county emergency operations plan, so it is not<br />

necessary to send it to Kentucky Emergency Management. However, county plans<br />

may not cover the individual needs of your city and your city may not have provided<br />

much input in crafting the plan. If you are not familiar with your county EOP, contact<br />

your county emergency management director and ask for a copy. This will help you<br />

determine whether it is a fit for your city or whether it is best to create a city-specific<br />

EOP.<br />

3. Consider city geography in the city EOP.<br />

a. Know the location of federal flood plain areas in your city, which you can find<br />

here.<br />

b. Identify potential debris dump sites, which might be difficult in mountainous<br />

areas.<br />

IV. POST-DISASTER RECOVERY PLAN<br />

A post-disaster recovery plan is a guidance document that establishes policies, operational<br />

strategies, roles, and responsibilities to facilitate long-term recovery efforts. Post-disaster recovery<br />

includes all disasters that interfere with government work, including natural disasters, mass<br />

shootings, pandemics, economic situations, etc. Long-term recovery means five years or more<br />

post-disaster.<br />

The plan may include temporary building regulations, historic preservation matters, processes to<br />

identify property boundaries, and temporary housing provisions.<br />

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A. Establish plain goals for long-term recovery like integrating long-term hazard mitigation,<br />

public safety, and resiliency.<br />

1. Profile and map hazard risks in your city to make informed policy decisions and<br />

anticipate potential hazards during a disaster.<br />

2. Develop a plan regarding how to rebuild the city and assist in rebuilding private<br />

properties should widespread devastation result from a disaster.<br />

3. Establish draft regulations the mayor can implement by executive order that<br />

temporarily suspend ordinances and zones that restrict temporary housing in<br />

residential zones or unnecessarily impede recovery efforts.<br />

4. Consider public safety and hazard elements in the city’s comprehensive plan and<br />

clearly identify how hazard mitigation integrates with the plan.<br />

5. Include disaster safety measures in capital projects by considering potential<br />

community needs during a disaster in road projects, building construction, and other<br />

infrastructure projects.<br />

6. Create plans to assist local businesses and citizens to weather economic downturns<br />

resulting from a potential disaster.<br />

7. Maintain partnerships with other local governments and state agencies that may assist<br />

as the city recreates an inviting business climate after a disaster.<br />

8. Kentucky Emergency Management has a great template adopted from FEMA called<br />

“Reconstitution Plan/Annex Template” designed to assist local governments to return<br />

to normal operations after a disaster that has caused work disruption. Reconstitution<br />

focuses on the internal process necessary to resume operations and does not address<br />

the community as a whole.<br />

9. Many tools exist for post-disaster recovery planning in the community. The American<br />

Planning Association, in partnership with FEMA, created a post-disaster document<br />

entitled “Planning for Post-<strong>Disaster</strong> Recovery: Next Generation.” Unlike the tools and<br />

templates above, the planning document can be a tough read. It is a dense document<br />

with lessons learned from disaster recoveries, how state and federal laws play into<br />

recovery and rebuilding, instructions on how to work with your community to design<br />

a recovery plan, and how to focus on resiliency during recovery. Page 94 contains a<br />

flow chart to help organize the planning process, but the entire document contains<br />

critical information for planning officials.<br />

B. Identify key community leaders, stakeholders, and others who can assist in response<br />

planning.<br />

1. Faith leaders, civic groups (Rotary, Kiwanis, Lions Club, and Junior League), attorneys,<br />

accountants, builders, plumbers, electricians, landscapers, realtors, property<br />

assessors, insurance agents, counselors, therapists, medical practitioners, pharmacists,<br />

animal welfare groups, Kentucky Cooperative Extension Office, restauranteurs,<br />

hoteliers, etc.<br />

2. Include your insurance agent in disaster planning for the city.<br />

C. Identify vulnerable citizens and those with language barriers to determine how the city can<br />

best reach them and what services may be needed should utilities cease to function.<br />

1. Regional Aging and Independent Living Agencies: https://www.chfs.ky.gov/


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agencies/dail/Pages/adrc.aspx<br />

2. Health Emergency Listing of Professionals for Surge (KHELPS): Public Health<br />

<strong>Preparedness</strong> Branch 502.564.7243<br />

3. Kentucky’s early intervention system regional points of contact for children: https://<br />

www.chfs.ky.gov/agencies/dph/dmch/ecdb/fs/POElistingforWebsite.pdf<br />

4. Kentucky Refugee Ministries: https://kyrm.org/<br />

5. Kentucky Refugee Resettlement Agencies: https://www.kentuckyrefugees.org/<br />

refugees-in-kentucky/resettlement-agencies/<br />

6. Mental Health Provider Locator: https://providerdirectory.dbhdid.ky.gov/<br />

ProviderDirectory.aspx<br />

7. Local Schools and Districts<br />

8. Community Action Agency: https://www.capky.org/network/<br />

9. SAMHSA: Mental Health Crisis Line 988<br />

D. Enter into interlocal agreements for mutual aid with local agencies and surrounding local<br />

governments. <strong>KLC</strong> is working with Kentucky Emergency Management and other partners on<br />

a statewide interlocal agreement for mutual aid.<br />

E. Identify several potential locations for an emergency operations center, staging areas for<br />

volunteers, and points of distribution for supplies. Locations need to be geographically<br />

separate.<br />

F. Add provisions in city contracts to ensure first priority for goods and services during a<br />

disaster, e.g., construction, maintenance, fuel, generators, lights, light poles, etc.<br />

G. Identify prospective rental locations to establish a temporary city hall and emergency<br />

services.<br />

1. Enter into agreements with ideal locations to ensure the city gets first priority to rent<br />

during a disaster.<br />

H. Reach out to the medical community, including the behavioral health community, to<br />

determine what resources are available to assist with physical and mental health during and<br />

post-recovery.<br />

1. Include members of the medical community on community advisory committees.<br />

I. Work with first responders and public works to develop evacuation routes and plans to<br />

evacuate citizens.<br />

J. Plan for documentation of every aspect of disaster recovery and focus on following<br />

procurement laws.<br />

1. All volunteer hours accounted for in sign-in/sign-out sheets that include assignment.<br />

2. Gather all maintenance records for roads, bridges, signs, lights, equipment, structures,<br />

etc., to produce to the insurance company and FEMA.<br />

3. Any loaned equipment, vehicles, etc., documented as to item, hours of usage, and<br />

donor/loaner.<br />

4. Debris removal documents, including approval to enter private property and approval<br />

of dumpsites.<br />

5. RFPs for any and all purchases, services, and items for disaster recovery, including<br />

EXECUTIVE ROLE IN DISASTER PREPAREDNESS


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hiring entities to help with FEMA reporting.<br />

6. Interlocal agreements with all agencies to assist with disaster relief and recovery, e.g.,<br />

building inspectors, electricians, plumbers, certified wastewater treatment workers,<br />

etc.<br />

V. COMMUNICATIONS PLAN<br />

A. Install generators on all critical infrastructure and have backup communications plans that<br />

distribute mass texts to employees and the general public, e.g., Reach Alert, Aladtec, or<br />

Active911.<br />

B. Establish a clear hierarchy of persons in charge of city communications during a disaster to<br />

include in the disaster response binder. The mayor is the official head of state for the city,<br />

but the mayor can delegate communications duties to a city employee by executive order.<br />

C. Create a list of all official city social media accounts with passwords in case the social media<br />

manager is unavailable during a disaster.<br />

VI. MANDATE AND/OR PRIORITIZE FEMA TRAINING<br />

The FEMA and KYEM offer various training opportunities for government entities. Training is not<br />

limited to first responders. FEMA’s professional development series contains trainings that can<br />

assist city officials and employees in preparing, navigating, and managing the after effects of a<br />

disaster. All FEMA independent study courses can be found here. All KYEM training courses can<br />

be found here.<br />

During the preparation process, it is useful to mandate or encourage key employees to take<br />

specific courses. For example, the city’s executive, city manager, city administrative officer, or<br />

public information officer may find “social media in emergency management” useful, whereas<br />

the public works director may find “the public works role in emergency management” is more<br />

appropriate. The city clerk or finance director might want to take “public assistance program and<br />

eligibility” or “local damage assessment” courses.<br />

Police, fire, EMS, and search and rescue have more in-person disaster and emergency training<br />

opportunities through KYEM. Offered course topics range from search and rescue to emergency<br />

operations during a hazmat emergency. Courses are offered regionally.<br />

END OF SECTION


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Legislative Role in <strong>Disaster</strong> Preparation<br />

Regardless of the city form of government, the mayor is the official head of state for the city<br />

during a state of emergency. Only the mayor can declare a state of emergency for a city. During<br />

the state of emergency, Kentucky law authorizes the mayor to operate the city without input from<br />

the legislative body.<br />

For cities operating under a mayor-council form of government, the shift in city operations will<br />

not be immediately apparent. However, in city manager and commission forms of government, the<br />

mayor’s authority during a state of emergency transitions from sharing executive authority as a<br />

member of the board of directors to having broad unilateral authority to operate the city.<br />

Members of the legislative body still have a role in disaster preparation and response. For example,<br />

in many instances the mayor will likely consult the legislative body before taking executive<br />

action, e.g., temporarily suspending zoning ordinances to allow placement of temporary housing.<br />

Furthermore, legislative involvement in COG/COOP, EOP, and post-disaster recovery planning is<br />

critical to success.<br />

I. EMERGENCY MANAGEMENT STATUTORY STRUCTURE (See above under Executive Authority)<br />

A. KRS Chapter 39A governs the state response to disasters and emergencies.<br />

1. Creates the department of emergency management to develop, administer, and<br />

maintain a comprehensive disaster and emergency management program for the state<br />

in conjunction with all state and local government entities.<br />

2. Authorizes the governor and executive authority of counties and cities to declare a<br />

state of emergency in response to a statewide disaster or emergency. The governor’s<br />

declaration of a state of emergency expires in 30 days unless renewed by the general<br />

assembly during a regular or special session.<br />

3. Provides wide latitude to the state executive branch to respond to statewide disasters<br />

and emergencies.<br />

B. KRS Chapter 39B governs the local government authority to respond to disasters and<br />

emergencies.<br />

1. Authorizes local executive authority of counties and cities to declare a state of<br />

emergency for local disasters.<br />

2. Gives the mayor, as the executive authority, broad powers to ensure that city<br />

operations can continue. For most actions, the mayor can act by executive order,<br />

but consultation with members of the legislative body is critical for successful<br />

administration.<br />

3. Cities can avoid strict compliance with procurement requirements during an<br />

emergency. However, FEMA will not reimburse the city for any goods or services<br />

unless state and federal procurement guidelines are followed. This includes contracts<br />

with consultants for FEMA reimbursement. Follow the bid process unless it is a matter<br />

of public safety.<br />

LEGISLATIVE ROLE IN DISASTER PREPAREDNESS


Page | 13<br />

4. Authorizes other government employees to provide aid within the city utilizing the<br />

same powers, duties, rights, privileges, and immunities as they would have in their<br />

local jurisdiction.<br />

C. KRS Chapter 39C governs the administration of the state supplementary fund for local<br />

emergency management agencies.<br />

1. Emergency management agencies may apply for state supplementary funds on a<br />

reimbursement basis for the creation, administration, and support of emergency<br />

management. (50% max of expenditures)<br />

2. Only one emergency management agency per county can apply for funds, which is<br />

usually county emergency management.<br />

3. State emergency management conducts quarterly evaluations of programs receiving<br />

the monies.<br />

II. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

1. Members of the legislative body should collaborate with the executive to serve on<br />

preparation and recovery committees.<br />

a. For cities operating under a mayor-council form of government, council<br />

members can consider unique experiences and talents they may have to assist<br />

with external committees, e.g., a council member who is a restaurant owner<br />

may volunteer to serve on the committee considering food distribution during a<br />

crisis.<br />

b. For cities operating under a commission form of government, individual<br />

commissioners will likely participate on internal committees for the area of<br />

government over which they have superintendency.<br />

c. For cities operating under a city manager form of government, again it can<br />

be useful to consider specific interests and talents to participate in external<br />

committees.<br />

END OF SECTION


Page | 14<br />

City Manager/City Administrative Officer Role<br />

Under Kentucky law, only a city mayor can issue a state of emergency declaration unless the city<br />

adopts an ordinance appointing a nonelected officer as designee. For cities with a city manager or<br />

city administrative officer, that appointment will likely fall to them.<br />

I. UNDERSTAND EMERGENCY MANAGEMENT STATUTORY SCHEME<br />

A. KRS Chapter 39A governs the state response to disasters and emergencies.<br />

1. Creates the department of emergency management to develop, administer, and<br />

maintain a comprehensive disaster and emergency management program for the state<br />

in conjunction with all state and local government entities.<br />

2. Authorizes the governor and executive authority of counties and cities to declare a<br />

state of emergency in response to a statewide disaster or emergency. The governor’s<br />

declaration of a state of emergency expires in 30 days unless renewed by the general<br />

assembly during a regular or special session.<br />

3. Provides wide latitude to the state executive branch to respond to statewide disasters<br />

and emergencies.<br />

B. KRS Chapter 39B governs the local government authority to respond to disasters and<br />

emergencies.<br />

1. Authorizes local executive authority of counties and cities to declare a state of<br />

emergency for local disasters.<br />

2. Gives the mayor, as the executive authority, broad powers to ensure that city<br />

operations can continue. For most actions, the mayor can act by executive order,<br />

but consultation with members of the legislative body is critical for successful<br />

administration.<br />

3. Cities can avoid strict compliance with procurement requirements during an<br />

emergency. However, FEMA will not reimburse the city for any goods or services<br />

unless state and federal procurement guidelines are followed. This includes contracts<br />

with consultants for FEMA reimbursement. Follow the bid process unless it is a matter<br />

of public safety.<br />

4. Authorizes other government employees to provide aid within the city utilizing the<br />

same powers, duties, rights, privileges, and immunities as they would have in their<br />

local jurisdiction.<br />

C. KRS Chapter 39C governs the administration of the state supplementary fund for local<br />

emergency management agencies.<br />

1. Emergency management agencies may apply for state supplementary funds on a<br />

reimbursement basis for the creation, administration, and support of emergency<br />

management. (50% max of expenditures)<br />

CITY MANAGER/CITY ADMINISTRATIVE OFFICER’S ROLE IN DISASTER PREPAREDNESS


Page | 15<br />

2. Only one emergency management agency per county can apply for funds, which is<br />

usually county emergency management.<br />

3. State emergency management conducts quarterly evaluations of programs receiving<br />

the monies.<br />

II. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to<br />

a disaster or any event that significantly disrupts any part of city operations.<br />

Leadership begins at the top. The executive can prioritize creating a city-wide COG/COOP and<br />

task each city department with creating individualized plans. <strong>KLC</strong> customized a COG/COOP plan<br />

that is attached to this guide as Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for each city department<br />

and for the city as a whole using the COG/COOP tool.<br />

1. COG/COOP for each department details the mission and purpose of each department<br />

and the specific essential functions each department oversees during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary for the departments to<br />

accomplish the tasks.<br />

3. Establishes a succession plan should individuals be unable to perform assigned<br />

functions.<br />

4. Separately addresses IT backup and recovery needs to continue operations.<br />

III. EMERGENCY OPERATIONS PLAN<br />

Emergency operations plans (EOP) are similar to COG/COOPs. The primary difference between<br />

an EOP and COG/COOP is that an EOP is a plan for the entire community rather than an internal<br />

operations plan for the city. To create an effective EOP for your city, it is important to gather input<br />

from citizens. Cities can create standing committees that contain city employees from different<br />

departments, community members, faith leaders, social services providers, and representatives<br />

from the business community.<br />

Standing committees may not be a good fit for your city. In that case, conducting annual public<br />

roundtables or forums to discuss the city EOP may be an option. To adopt this method, a city can<br />

schedule a series of roundtables or forums to gather public input on distinct sections of the city<br />

EOP. Regardless of which option is better for your city, it is critical to get public input and buy-in<br />

to develop a successful EOP.<br />

A. Create a city emergency operations plan (EOP) standing committee comprised of<br />

representatives from city departments and citizens to develop an emergency operations<br />

plan for the community that meets the requirements of KRS 39B.060. A standing committee<br />

is permanent in nature to ensure continuous review so that EOPs remain current and<br />

operational.


Page | 16<br />

1. FEMA has a fantastic publication to assist “Developing and Maintaining Emergency<br />

Operations Plans.” Section 4 contains the process for developing an EOP. EOPs<br />

developed from this template should comply with KRS 39B.060.<br />

2. Cities are generally covered by the county emergency operations plan, so it is not<br />

necessary to send it to Kentucky Emergency Management. However, county plans<br />

may not cover the individual needs of your city and your city may not have provided<br />

much input in crafting the plan. If you are not familiar with your county EOP, contact<br />

your county emergency management director and ask for a copy. This will help you<br />

determine whether it is a fit for your city or whether it is best to create a city-specific<br />

EOP.<br />

3. Consider city geography in the city EOP.<br />

a. Know the location of federal flood plain areas in your city, which you can find<br />

here.<br />

b. Identify potential debris dump sites, which might be difficult in mountainous<br />

areas.<br />

IV. POST-DISASTER RECOVERY PLAN<br />

A post-disaster recovery plan is a guidance document that establishes policies, operational<br />

strategies, roles, and responsibilities to facilitate long-term recovery efforts. Post-disaster recovery<br />

includes all disasters that interfere with government work, including natural disasters, mass<br />

shootings, pandemic, economic, etc. Long-term recovery means five years or more post-disaster.<br />

The plan may include temporary building regulations, historic preservation matters, process to<br />

identify property boundaries, and temporary housing provisions.<br />

A. Establish plain goals for long-term recovery like integrating long-term hazard mitigation,<br />

public safety, and resiliency.<br />

1. Profile and map hazard risks in your city to make informed policy decisions and<br />

anticipate potential hazards during a disaster.<br />

2. Develop a plan regarding how to rebuild the city and assist in rebuilding private<br />

properties should wide-spread devastation result from a disaster.<br />

3. Establish draft regulations that the mayor can implement by executive order that<br />

temporarily suspends ordinances and zones that restrict temporary housing in<br />

residential zones or unnecessarily impedes recovery efforts.<br />

4. Consider public safety and hazard elements in the city’s comprehensive plan and<br />

clearly identify how hazard mitigation integrates with the plan.<br />

5. Include disaster safety measures in capital projects by considering potential<br />

community needs during a disaster in road projects, building construction, and other<br />

infrastructure projects.<br />

6. Create plans to assist local businesses and citizens to weather economic downturns<br />

resulting from a potential disaster.<br />

CITY MANAGER/CITY ADMINISTRATIVE OFFICER’S ROLE IN DISASTER PREPAREDNESS


Page | 17<br />

7. Maintain partnerships with other local governments and state agencies that may assist<br />

as the city recreates an inviting business climate after a disaster.<br />

8. Kentucky Emergency Management has a great template adopted from FEMA called<br />

“Reconstitution Plan/Annex Template” designed to assist local governments to return<br />

to normal operations after a disaster that has caused work disruption. Reconstitution<br />

focuses on the internal process necessary to resume operations and does not address<br />

the community as a whole.<br />

9. Many tools exist for post-disaster recovery planning in the community as well. The<br />

American Planning Association, in partnership with FEMA, created a post-disaster<br />

document entitled “Planning for Post-<strong>Disaster</strong> Recovery: Next Generation.” Unlike the<br />

tools and templates above, the planning document can be a tough read. It is a dense<br />

document with lessons learned from disaster recoveries, how state and federal law<br />

play into recovery and rebuilding, instructions on how to work with your community<br />

to design a recovery plan, and how to focus on resiliency during recovery. Page 94<br />

contains a flow chart to help organize the planning process, but the entire document<br />

contains critical information for planning officials.<br />

B. Identify key community leaders, stakeholders, and others who can assist in response<br />

planning.<br />

1. Faith leaders, civic groups (Rotary, Kiwanis, Lions Club, and Junior League), attorneys,<br />

accountants, builders, plumbers, electricians, landscapers, realtors, property assessors,<br />

insurance agents, counselors, therapists, medical practitioners, pharmacists, animal<br />

welfare groups, Kentucky Cooperative Extension Office, restauranteurs, hoteliers, etc.<br />

2. Include your insurance agent in disaster planning.<br />

C. Identify vulnerable citizens and those with language barriers to determine how the city can<br />

best reach them and what services may be needed should utilities cease function.<br />

1. Regional Aging and Independent Living Agencies: https://www.chfs.ky.gov/agencies/<br />

dail/Pages/adrc.aspx<br />

2. Health Emergency Listing of Professionals for Surge (KHELPS): Public Health<br />

<strong>Preparedness</strong> Branch 502.564.7243<br />

3. Kentucky’s early intervention system regional points of contact for children: https://<br />

www.chfs.ky.gov/agencies/dph/dmch/ecdb/fs/POElistingforWebsite.pdf<br />

4. Kentucky Refugee Ministries: https://kyrm.org/<br />

5. Kentucky Refugee Resettlement Agencies: https://www.kentuckyrefugees.org/<br />

refugees-in-kentucky/resettlement-agencies/<br />

6. Mental Health Provider Locator: https://providerdirectory.dbhdid.ky.gov/<br />

ProviderDirectory.aspx<br />

7. Local Schools and Districts<br />

8. Community Action Agency: https://www.capky.org/network/<br />

9. SAMHSA: Mental Health Crisis Line 988


Page | 18<br />

D. Enter into interlocal agreements for mutual aid with local agencies and surrounding local<br />

governments. <strong>KLC</strong> is working with Kentucky Emergency Management and other partners on<br />

a statewide interlocal agreement for mutual aid.<br />

E. Identify several potential locations for an emergency operations center, staging areas for<br />

volunteers, and points of distribution for supplies. Locations need to be geographically<br />

separate.<br />

F. Add provisions in city contracts to ensure first priority for goods and services during a<br />

disaster, e.g., construction, maintenance, fuel, generators, lights, light poles, etc.<br />

G. Identify prospective rental locations to establish a temporary city hall and emergency<br />

services.<br />

1. Enter into agreements with ideal locations to ensure the city gets first priority to rent<br />

during a disaster.<br />

H. Reach out to the medical community, including the behavioral health community, to<br />

determine what resources are available to assist with physical and mental health during and<br />

post-recovery.<br />

1. Include members of the medical community on community advisory committees.<br />

I. Work with first responders and public works to develop evacuation routes and plans to<br />

evacuate citizens.<br />

J. Plan for documentation of every aspect of disaster recovery and focus on following<br />

procurement laws.<br />

1. All volunteer hours accounted for in sign-in/sign-out sheets that include assignment.<br />

2. Gather all maintenance records for roads, bridges, signs, lights, equipment, structures,<br />

etc., to produce to the insurance company and FEMA.<br />

3. Any loaned equipment, vehicles, etc., documented as to item, hours of usage, and<br />

donor/loaner.<br />

4. Debris removal documents, including approval to enter private property and approval<br />

of dumpsites.<br />

5. RFPs for any and all purchases, service, and items for disaster recovery, including<br />

hiring entities to help with FEMA reporting.<br />

6. Interlocal agreements with all agencies to assist with disaster relief and recovery, e.g.,<br />

building inspectors, electricians, plumbers, certified wastewater treatment workers,<br />

etc.<br />

CITY MANAGER/CITY ADMINISTRATIVE OFFICER’S ROLE IN DISASTER PREPAREDNESS


Page | 19<br />

V. COMMUNICATIONS PLAN<br />

A. Install generators on all critical infrastructure and have backup communications plans that<br />

distribute mass texts to employees and the general public, e.g., Reach Alert, Aladtec, or<br />

Active911.<br />

B. Establish a clear hierarchy of persons in charge of city communications during a disaster to<br />

include in the disaster response binder. The mayor is the official head of state for the city,<br />

but the mayor can delegate communications duties to a city employee by executive order.<br />

C. Create a list of all official city social media accounts with passwords in case the social media<br />

manager is unavailable during a disaster.<br />

VI. MANDATE AND/OR PRIORITIZE FEMA TRAINING<br />

The FEMA and KYEM offer various training opportunities for government entities. Training is not<br />

limited to first responders. FEMA’s professional development series contains trainings that can<br />

assist city officials and employees in preparing, navigating, and managing the after effects of a<br />

disaster. All FEMA independent study courses can be found here. All KYEM training courses can be<br />

found here.<br />

During the preparation process, it is useful to mandate or encourage key employees to take<br />

specific courses. For example, the city’s executive, city manager, city administrative officer, or<br />

public information officer may find “social media in emergency management” useful, whereas<br />

the public works director may find “the public works role in emergency management” is more<br />

appropriate. The city clerk or finance director might want to take “public assistance program and<br />

eligibility” or “local damage assessment” courses.<br />

Police, fire, EMS, and search and rescue have more in-person disaster and emergency training<br />

opportunities through KYEM. Offered course topics range from search and rescue to emergency<br />

operations during a hazmat emergency. Courses are offered regionally.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “Mayor (City Manager/City<br />

Administrator)”<br />

END OF SECTION


Page | 20<br />

Police Chief<br />

CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to<br />

a disaster or any event that significantly disrupts a part of city operations.<br />

Leadership begins at the top. Each city department should have a COG/COOP. During a disaster,<br />

the city police department will be a primary first responder for search and rescue, protection,<br />

volunteer coordination, and security matters. <strong>Disaster</strong> preparation is essential to effective<br />

emergency response. <strong>KLC</strong> customized a COG/COOP plan that is attached to this guide as<br />

Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for the police department.<br />

1. COG/COOP details the mission and purpose of the police department and the specific<br />

essential functions it oversees during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary for the departments to<br />

accomplish the tasks.<br />

3. Establishes a succession plan should individuals be unable to perform assigned<br />

functions.<br />

4. Develop an internal planning team consisting of employees, partners, and external<br />

customers to identify threats/hazards and conduct a risk assessment for disaster<br />

mitigation and response.<br />

5. Identify and train personnel tasked with the following:<br />

a. Collect, analyze, and disseminate information on direct and indirect disaster or<br />

incident impacts.<br />

b. Assess available resources, human and supplies, available to effectively respond<br />

to the incident, e.g., personnel, volunteers, businesses, communications, vehicles,<br />

PPE.<br />

c. Prioritize immediate response needs, e.g., search and rescue, traffic and access<br />

control, equipment and supplies, evacuation and re-entry support, secure<br />

essential structures, security for staging and shelters.<br />

d. Manage intake of all law enforcement and security requests for assistance.<br />

e. Coordinate law enforcement scheduling, meals, break periods, and mandatory<br />

rest.<br />

f. Coordinate mental health and crisis counseling for first responders.<br />

g. Coordinate processes for first responder health and safety, e.g., radiological/<br />

chemical/biohazards monitoring, elements exposure injuries.<br />

h. Monitor and direct all law enforcement resources, including city personnel and<br />

volunteer LEOs.<br />

i. Maintain department documentation of reported damage and all costs and<br />

expenses associated with response and recovery with separate accounting of<br />

disaster-related work versus daily activity.<br />

POLICE CHIEF’S ROLE IN DISASTER PREPAREDNESS


Page | 21<br />

B. Install generators on all critical infrastructure and have backup communications plans that<br />

distribute mass texts to employees and the general public, e.g., Reach Alert, Aladec, or<br />

Active911.<br />

C. Maintain properly updated equipment for emergency responders, including eye and face,<br />

respiratory, head, foot, and hand protection.<br />

D. Gather all maintenance records for equipment, vehicles, etc., to produce to the insurance<br />

company and FEMA.<br />

E. Provide emergency response training and make sure all first responders know what to do<br />

when confronted with compromised electrical equipment and wiring.<br />

F. Ensure first responders attend FEMA training. State funding is available on a reimbursement<br />

basis, but it must be requested through county emergency management.<br />

G. Engage in mitigation planning, e.g., ensure gasoline contracts give police and fire<br />

departments first priority in a disaster (diesel and 87 octane); identify gasoline tankers<br />

for use if pumps go out (KYNG); if a storm is coming in, authorize take-home vehicles<br />

if not currently allowed by policy; develop clear schedules for first responders that<br />

include mandatory rest for all employees; shelter for employee families; and identify local<br />

refrigerator trucks that may be used in emergency for mass casualties.<br />

H. Develop a list of priority structures to secure in the event of a disaster.<br />

I. Establish clear chains of command should ranks be impacted by disaster.<br />

J. Collaborate with the county and commonwealth’s attorney to develop a plan to deal with<br />

looters.<br />

1. Emergency declaration establishing a curfew.<br />

2. Prosecutors can help determine what and when criminal citations and/or arrest is<br />

appropriate.<br />

3. Schedule rotation for property protection, etc.<br />

K. Develop evacuation routes and evacuation planning in collaboration with the mayor and<br />

public works.<br />

L. It is important to remember that officers and employees rendering aid have the same<br />

authority as they do in their local jurisdiction during an emergency declared under KRS<br />

39B.070.<br />

1. KRS 39B.080 Powers, duties, rights, privileges, and immunities of employees<br />

rendering outside aid. When the employees of any county, urban-county, charter<br />

county, or city are rendering outside aid pursuant to the authority contained in this<br />

chapter, the employees shall have the same powers, duties, rights, privileges, and<br />

immunities as if they were performing their duties in the jurisdiction in which they are<br />

normally employed.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “Police Chief”<br />

END OF SECTION


Page | 22<br />

Fire Chief<br />

CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to<br />

a disaster or any event that significantly disrupts a part of city operations.<br />

Leadership begins at the top. Each city department should have a COG/COOP. During a disaster,<br />

the city fire department will be a primary first responder for search and rescue, emergency<br />

services response, and volunteer coordination. <strong>Disaster</strong> preparation is essential to effective<br />

emergency response. <strong>KLC</strong> customized a COG/COOP plan that is attached to this guide as<br />

Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for the fire department.<br />

1. COG/COOP details the mission and purpose of the fire department and the specific<br />

essential functions it oversees during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary for the departments to<br />

accomplish the tasks.<br />

3. Establishes a succession plan should individuals be unable to perform assigned<br />

functions.<br />

4. Develop an internal planning team consisting of employees, partners, and external<br />

customers to identify threats/hazards and conduct a risk assessment for disaster<br />

mitigation and response.<br />

5. Identify and train personnel tasked with the following:<br />

a. Collect, analyze, and disseminate information on direct and indirect disaster or<br />

incident impacts.<br />

b. Assess available firefighting and emergency response resources available to<br />

effectively respond to the incident, e.g., personnel, volunteers, equipment, fuel,<br />

communications, vehicles, PPE.<br />

c. Prioritize immediate response needs, e.g., search and rescue, equipment and<br />

supplies, provisions for mass care/triage operations, decontamination provisions.<br />

d. Manage intake of all fire department requests for assistance with the<br />

understanding that many requests may not involve fire.<br />

e. Coordinates fire department scheduling, meals, break periods, and mandatory<br />

rest.<br />

f. Coordinate mental health and crisis counseling for firefighters.<br />

g. Coordinate processes for firefighter health and safety, e.g., radiological/<br />

chemical/biohazards monitoring, elements exposure injuries.<br />

h. Monitor and direct all law enforcement resources, including city personnel and<br />

volunteer LEOs.<br />

i. Maintain department documentation of reported damage and all costs and<br />

expenses associated with response and recovery with separate accounting of<br />

disaster-related work versus daily activity.<br />

FIRE CHIEF’S ROLE IN DISASTER PREPAREDNESS


Page | 23<br />

B. Install generators on all critical infrastructure and have backup communications plans that<br />

distribute mass texts to employees and the general public, e.g., Reach Alert, Aladtec, or<br />

Active911.<br />

C. Maintain properly updated equipment for emergency responders, including eye and face,<br />

respiratory, head, foot, and hand protection.<br />

D. Gather all maintenance records for equipment, vehicles, etc., to produce to the insurance<br />

company and FEMA.<br />

E. Provide emergency response training and make sure all first responders know what to do<br />

when confronted with compromised electrical equipment and wiring.<br />

F. Ensure first responders attend FEMA, National Fire Academy, and KYEM disaster/emergency<br />

response trainings.<br />

1. FEMA trainings can be located here.<br />

2. NFA trainings can be located here.<br />

3. KYEM trainings can be located here.<br />

G. Engage in mitigation planning, e.g., ensure gasoline contracts give police and fire<br />

departments first priority in a disaster (diesel and 87 octane); identify gasoline tankers<br />

for use if pumps go out (KYNG); if a storm is coming in, authorize take-home vehicles if<br />

not currently allowed by policy; develop clear schedules for first responders that include<br />

mandatory rest for all employees; shelter for employee families; identify local refrigerator<br />

trucks that may be used in emergency for mass casualties; and identify resources for<br />

general emergency equipment supplies.<br />

H. Establish clear chains of command should ranks be impacted by disaster.<br />

I. Important to remember that officers and employees rendering aid have the same authority<br />

as they do in their local jurisdiction during an emergency declared under KRS 39B.070.<br />

1. KRS 39B.080 Powers, duties, rights, privileges, and immunities of employees<br />

rendering outside aid. When the employees of any county, urban-county, charter<br />

county, or city are rendering outside aid pursuant to the authority contained in this<br />

chapter, the employees shall have the same powers, duties, rights, privileges, and<br />

immunities as if they were performing their duties in the jurisdiction in which they are<br />

normally employed.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “Fire Chief”<br />

END OF SECTION


Page | 24<br />

City Clerk Role in <strong>Disaster</strong> Preparation<br />

City clerk duties vary widely among cities. While one city clerk may perform only statutorily<br />

required duties, another might also serve as the de facto finance director, human resources<br />

administrator, and city administrative officer with or without official assignment.<br />

During a disaster or emergency, a city clerk will be critical to successfully navigate the response.<br />

The same applies to disaster preparation.<br />

I. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to<br />

a disaster or any event that significantly disrupts a part of city operations.<br />

During a disaster the city clerk will coordinate meetings of the legislative body, maintain all<br />

city records to document disaster response efforts, ensure all executive orders are signed and<br />

submitted to KYEM, and perform many other essential functions to maintain city operations. In<br />

many cities the city clerk also serves as the finance and human resources officer, so those duties<br />

must be considered.<br />

City clerk offices may combine COG/COOP plans with other city departments, but it is important<br />

to prioritize the specific duties of city clerk separately. <strong>Disaster</strong> preparation is essential to effective<br />

emergency response and all city functions need to be addressed. <strong>KLC</strong> customized a COG/COOP<br />

plan that is attached to this guide as Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for the city clerk.<br />

1. COG/COOP details the mission and purpose of the city clerk and the specific essential<br />

functions during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary to accomplish duties.<br />

3. Create a plan for the following:<br />

a. Process to assess priority resources available to effectively respond to the<br />

incident, e.g., personnel, volunteers, businesses, communications, equipment<br />

vehicles, PPE.<br />

b. Prioritize immediate response needs, e.g., search and rescue, traffic and access<br />

control, equipment and supplies, evacuation and re-entry support, secure<br />

essential structures, security for staging and shelters.<br />

c. Continued access to city funds, including payroll, bill pay, etc.<br />

d. Coordinate city communication with citizens, outside agencies, etc.<br />

e. Coordinate mental health and crisis counseling for city employees and citizens.<br />

II. PREPARE TO CREATE AND MAINTAIN CITY RECORDS<br />

A. Take FEMA training to learn about the public assistance program. FEMA independent study<br />

courses can be found here. Several useful courses include:<br />

1. Public Assistance Program and Eligibility<br />

2. Conditions of Public Assistance Grant<br />

3. Documenting <strong>Disaster</strong> Damage and Developing Project Files<br />

4. Emergency Protective Measures (documentation course)<br />

B. Develop a physical binder to distribute to all elected and appointed city officials in<br />

CITY CLERK’S ROLE IN DISASTER PREPAREDNESS


Page | 25<br />

collaboration with the police and fire chief. The binder should include the following:<br />

1. Updated contact information for all elected city officials, non-elected officers,<br />

essential personnel, and county officials;<br />

2. State, city, and county emergency management officials;<br />

3. Local state police and department of transportation contacts;<br />

4. Up-to-date paper maps of the city and county;<br />

5. Fill-in-the-blank state of emergency declarations pursuant to KRS 39A.100 and<br />

39A.070 stating the justification for the state of emergency and establishing a curfew;<br />

6. FEMA forms for tracking equipment use, volunteer time, and employee time;<br />

7. Interlocal agreements;<br />

8. Insurance documents that include agent contact information;<br />

9. Any hazard assessments for public buildings and infrastructure;<br />

10. COG/COOP and emergency operations plan;<br />

11. List of rendezvous locations;<br />

12. Hospital and other medical contacts;<br />

13. Locations of certified disaster shelters;<br />

14. Locations of public and private schools;<br />

15. Any other helpful documents.<br />

C. Check with your county emergency management to determine what agencies orchestrate<br />

the ESF-6, which is the emergency support function for mass care, housing, and human<br />

services support.<br />

1. If the city becomes overwhelmed in providing for the housing, feeding, and human<br />

services functions for persons impacted by a disaster or emergency and volunteers<br />

responding to assist, county and state emergency management should trigger ESF-6<br />

to provide assistance.<br />

D. Coordinate resource support functions of disaster planning.<br />

1. Prepare and maintain emergency operating procedures, resource inventories,<br />

personnel rosters, and resource mobilization information necessary for implementation<br />

of the responsibilities of disaster and emergency response.<br />

2. Prepare templates for public assistance requests from outside agencies and for<br />

impending damage survey reports for the city.<br />

3. Include in contracts for computer services and software companies provisions that<br />

address rapid response and city priority for goods and services in the event of a<br />

disaster.<br />

4. Identify state and federal funding sources available to assist in disaster and/or<br />

emergency response.<br />

5. Coordinate planning and preparations committees, maintain all committee meeting<br />

minutes, coordinate and maintain city department GOP/COOP plans; maintain city<br />

EOP.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “City Clerk (City Manager/City<br />

Administrator)”


Page | 26<br />

Public Works<br />

CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to<br />

a disaster or any event that significantly disrupts a part of city operations. Each city department<br />

should develop a COG/COOP plan to identify and address the department’s priority functions in<br />

responding to a disaster.<br />

During a disaster, the public works department will assist with clearing roads, assisting with<br />

evacuation routes, debris removal, etc. <strong>Disaster</strong> preparation is essential to effective emergency<br />

response. <strong>KLC</strong> customized a COG/COOP plan that is attached to this guide as Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for the public works<br />

department.<br />

1. COG/COOP details the mission and purpose of the public works department and the<br />

specific essential functions it oversees during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary for the department to<br />

accomplish the tasks.<br />

3. Establishes a succession plan should individuals be unable to perform assigned<br />

functions.<br />

4. Develop an internal planning team consisting of employees, partners, and external<br />

customers to identify threats/hazards and conduct a risk assessment for disaster<br />

mitigation and response.<br />

5. Identify and train personnel tasked with the following:<br />

a. Collect, analyze, and disseminate data on the public works system to analyze<br />

potential damage and prioritize response, e.g., roads and bridges; traffic control<br />

devices.<br />

b. Assess available department response resources available to effectively respond<br />

to the incident, e.g., personnel, volunteers, equipment, fuel, communications,<br />

vehicles, PPE.<br />

c. Create and maintain a list of construction contractors and engineers with active<br />

contracts with the city who may be able to assist in restoration of infrastructure.<br />

d. Prioritize immediate response needs, e.g., emergency clearance of debris;<br />

cleaning, repairing, or reconstruction of damaged emergency access routes;<br />

emergency restoration of critical public services and facilities; emergency<br />

demolition of damaged structures and facilities; and technical assistance and<br />

damage assessment of private utility operations.<br />

e. Manage intake of all department requests for assistance with the understanding<br />

that many requests may not involve public works, e.g., transportation of persons.<br />

THE ROLE OF PUBLIC WORKS IN DISASTER PREPAREDNESS


Page | 27<br />

f. Coordinate public works department scheduling, meals, break periods, and<br />

mandatory rest.<br />

g. Coordinate mental health and crisis counseling for employees.<br />

h. Coordinate processes for public works employee health and safety, e.g.,<br />

elements exposure injuries, general physical injury.<br />

i. Monitor and direct all public works resources, including city personnel and<br />

volunteer public works assistance.<br />

j. Maintain department documentation of reported damage, all costs and expenses<br />

associated with response and recovery with separate accounting of disasterrelated<br />

work versus daily activity.<br />

B. Maintain an inventory of properly updated equipment for public works employees, including<br />

eye and face, respiratory, head, foot, and hand protection.<br />

C. Gather all maintenance records for roads, bridges, street lights, road signs, city facilities,<br />

equipment, vehicles, etc., to produce to the insurance company and FEMA.<br />

D. Ensure public works supervisors attend FEMA training.<br />

1. FEMA: Public Works and Emergency Management IS-0552 can be found here.<br />

E. Engage in mitigation planning, e.g., identify vulnerable infrastructure to maintain, create<br />

a plan for debris removal, including potential dump sites, disposal process for hazardous<br />

materials and contaminated debris and soil, roadway priorities for clearing, infrastructure<br />

restoration priorities, and response equipment, including partner inventory for requisition.<br />

F. Develop evacuation routes and evacuation planning in collaboration with the mayor and<br />

emergency responders.<br />

G. Plan for mental health providers to assist employees witnessing loss of life.<br />

H. Identify employees with specific certifications, levels, and other skill sets that will be helpful<br />

in disaster response.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “Public Works”<br />

END OF SECTION


Page | 28<br />

Utilities<br />

CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to<br />

a disaster or any event that significantly disrupts a part of city operations. Each city department<br />

should develop a COG/COOP plan to identify and address the department’s priority functions in<br />

responding to a disaster.<br />

During a disaster, utilities departments will focus on securing dangerous lines and pipes, restoring<br />

services, and assisting in disaster response. <strong>Disaster</strong> preparation is essential to effective emergency<br />

response. <strong>KLC</strong> customized a COG/COOP plan that is attached to this guide as Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for the utilities<br />

departments.<br />

1. COG/COOP details the mission and purpose of the utilities departments and the<br />

specific essential functions it oversees during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary for the department to<br />

accomplish the tasks.<br />

3. Establishes a succession plan should individuals be unable to perform assigned<br />

functions.<br />

4. Develop an internal planning team consisting of employees, partners, and external<br />

customers to identify threats/hazards and conduct a risk assessment for disaster<br />

mitigation and response.<br />

5. Identify and train personnel tasked with the following:<br />

a. Collect, analyze, and disseminate data on the utility system to analyze potential<br />

damage and prioritize response, e.g., burst gas lines, downed power lines,<br />

disrupted sewer lines, broken water mains.<br />

b. Assess available department response resources available to effectively respond<br />

to the incident, e.g., personnel, volunteers, KYWARN to assist with emergency<br />

response, equipment, fuel, communications, vehicles, PPE.<br />

c. Create and maintain a list of construction contractors and engineers with<br />

active contracts with the city who may be able to assist in the restoration of<br />

infrastructure.<br />

d. Prioritize immediate response needs, e.g., emergency clearance of debris;<br />

cleaning, repairing, or reconstruction of damaged emergency access routes;<br />

emergency restoration of critical public services and facilities; emergency<br />

demolition of damaged structures and facilities; and technical assistance and<br />

damage assessment of private utility operations.<br />

e. Develop a plan to ration the use of electricity, gas, and water should the utility<br />

be compromised.<br />

f. Develop a plan to address sanitation needs if the sewer system is compromised<br />

or rendered unusable, e.g., locate chemical toilet retailers in the region.<br />

THE ROLE OF UTILITIES IN DISASTER PREPAREDNESS


Page | 29<br />

g. Manage intake of all department requests for assistance with the understanding<br />

that many requests may not involve utility services, e.g., transportation of<br />

persons, debris removal.<br />

h. Coordinates utility department scheduling, meals, break periods, and mandatory<br />

rest.<br />

i. Coordinate mental health and crisis counseling for employees.<br />

j. Coordinate processes for utility employee health and safety, e.g., elements<br />

exposure injuries, general physical injury.<br />

k. Monitor and direct all utility resources, including city personnel and volunteer<br />

public works assistance.<br />

l. Maintain department documentation of reported damage and all costs and<br />

expenses associated with response and recovery with separate accounting of<br />

disaster-related work versus daily activity.<br />

B. Maintain an inventory of properly updated equipment for utility employees, including eye<br />

and face, respiratory, head, foot, and hand protection.<br />

C. Gather all maintenance records for infrastructure repair, facilities, structures, equipment,<br />

vehicles, etc., to produce to the insurance company and FEMA.<br />

D. Ensure utility supervisors attend FEMA training and industry-specific training:<br />

1. FEMA<br />

2. American Public Power Association: All-Hazards Guidebook can be found here and<br />

the Emergency <strong>Preparedness</strong> Tabletop Exercise in a Box here. These tools are critical<br />

for successful planning and can be incorporated in the department GOP/COOP.<br />

3. American Gas Association: AGA Emergency <strong>Preparedness</strong> <strong>Handbook</strong> can be found<br />

here.<br />

4. PHMSA: Hazard Mitigation Planning for Pipelines can be found here.<br />

5. EPA Emergency <strong>Response</strong> for Drinking Water and Wastewater Utilities can be found<br />

here.<br />

E. Engage in mitigation planning, e.g., identify vulnerable utility structures to secure,<br />

prioritize utility restoration, identify available resources to assist in services restoration like<br />

industry groups, and know which utilities are available to assist through current mutual aid<br />

agreements.<br />

F. Develop evacuation routes and evacuation planning in collaboration with the mayor and<br />

emergency responders.<br />

G. Plan for mental health providers to assist employees witnessing loss of life.<br />

H. Identify employees with specific certifications, levels, and other skill sets that will be helpful<br />

in disaster response.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “Municipal Utilities”<br />

END OF SECTION


Page | 30<br />

Code Enforcement<br />

CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized<br />

to prioritize government operational needs to establish and/or maintain essential city<br />

functions in response to a disaster or any event that significantly disrupts a part of city<br />

operations.<br />

Many code enforcement departments consist of a single code enforcement officer and<br />

the code enforcement board. This should not prevent establishing a COG/COOP. Code<br />

enforcement officers should encourage the code enforcement board to engage in disaster<br />

planning and creation of a COP/COOP. The result can provide recommendations to the<br />

city on how to better adopt and enforce codes that encourage resilient buildings and<br />

communities to be able to better rebound from a disaster.<br />

During a disaster, code enforcement officials will be critical in assessing damage to<br />

buildings, locating people due to their familiarity with the city, and identifying sites for the<br />

deposit of debris. <strong>Disaster</strong> preparation is essential to effective emergency response. <strong>KLC</strong><br />

customized a COG/COOP plan that is attached to this guide as Appendix A.<br />

Create a continuity of government/continuity of operations plan for the code enforcement<br />

department that includes the code enforcement board, any building inspectors, and<br />

planning administrators in those cities with planning and zoning or participate in the GOP/<br />

COOP plan for police and fire.<br />

A. COG/COOP details the mission and purpose of code enforcement and the specific<br />

essential functions during a disaster.<br />

1. Includes all equipment, resources, and facilities necessary for the department<br />

to accomplish the tasks.<br />

2. Conduct a city-wide building integrity survey to identify priority structures to<br />

attend in a disaster.<br />

3. Develop an internal planning team consisting of employees, partners, and<br />

external customers to identify threats/hazards and conduct a risk assessment<br />

for disaster mitigation and response.<br />

4. Assist with debris removal planning by identifying potential dump sites<br />

that FEMA and the Army Corps of Engineers may authorize, e.g., bidding<br />

requirements for debris removal and processes to maximize recovery.<br />

CODE ENFORCEMENT’S ROLE IN DISASTER PREPAREDNESS


Page | 31<br />

a. FEMA Debris Management Guide can be found here.<br />

b. U.S. Army Corps of Engineers Debris Management information can be<br />

found here.<br />

c. EPA Planning for Natural <strong>Disaster</strong> Debris document can be found here.<br />

5. Identify and train personnel tasked with the following:<br />

a. Assess available department response resources available to effectively<br />

respond to the incident, e.g., equipment, fuel, communications, vehicles,<br />

PPE.<br />

b. Create and maintain a list of regional certified building inspectors,<br />

plumbing inspectors, electrical inspectors, fire marshals, and industry<br />

contractors that can assist the city post-disaster.<br />

c. Prioritize immediate response needs, e.g., locating missing persons,<br />

identifying dangerous structures.<br />

d. Manage intake of all department requests for assistance with the<br />

understanding that many requests may not involve code enforcement,<br />

e.g., transportation of persons.<br />

e. Establish a schedule and prioritize meals, break periods, and mandatory<br />

rest.<br />

f. Coordinate mental health and crisis counseling for employees.<br />

g. Coordinate processes for employee health and safety, e.g., elements<br />

exposure injuries, general physical injury.<br />

h. Maintain department documentation of reported damage and all costs<br />

and expenses associated with response and recovery with separate<br />

accounting of disaster-related work versus daily activity.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “Code Enforcement (DUTIES<br />

MAY BE ASSIGNED TO PUBLIC WORKS)”<br />

END OF SECTION


Page | 32<br />

Finance (City Clerk)<br />

I. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to a disaster<br />

or any event that significantly disrupts a part of city operations.<br />

Whether a city finance department consists of a city clerk, a payroll clerk, or a multi-person department,<br />

it is important to prioritize city finance operations and needs during a disaster. For single-person finance<br />

operations the COG/COOP can be incorporated into that of the city clerk or created as a stand-alone plan<br />

for larger city departments.<br />

During a disaster, finance officers will re-establish contact with financial institutions to ensure continuity<br />

of payroll, begin documenting all expenses to ensure federal and state reimbursement, and make sure all<br />

procurement processes are followed. <strong>KLC</strong> customized a COG/COOP plan that is attached to this guide as<br />

Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for the finance department.<br />

1. COG/COOP details the mission and purpose of the finance department and the specific<br />

essential functions during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary to accomplish duties.<br />

3. Establishes a succession plan should individuals be unable to perform assigned functions.<br />

4. Create a plan for the following:<br />

a. Process to assess priority resources available to effectively respond to the incident, e.g.,<br />

personnel, volunteers, businesses, communications, equipment.<br />

b. Prioritize immediate response needs, e.g., FEMA tracking, procurement processes.<br />

c. Continued access to city funds, including payroll, bill pay, etc.<br />

d. Locate a website to find the most up-to-date FEMA tracking codes for reimbursement.<br />

e. Plan to manage donations, state grants, federal grants, etc.<br />

II. PREPARE TO CREATE AND MAINTAIN CITY RECORDS<br />

A. Take FEMA training to learn about the public assistance program, FEMA independent study courses<br />

can be found here. Several useful courses include:<br />

1. Public Assistance Program and Eligibility<br />

2. Conditions of Public Assistance Grant<br />

3. Documenting <strong>Disaster</strong> Damage and Developing Project Files<br />

4. Emergency Protective Measures (documentation course)<br />

5. Communications<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “Finance (City Clerk)”<br />

END OF SECTION<br />

HUMAN FINANCE RESOURCES (CITY CLERK’S) (CITY ROLE CLERK’S) IN DISASTER ROLE: DISASTER PREPAREDNESS PREPAREDNESS


Page | 33<br />

Human Resources (City Clerk)<br />

I. CONTINUITY OF GOVERNMENT/CONTINUITY OF OPERATIONS PLAN<br />

Continuity of government/continuity of operations plans (COG/COOP) can be utilized to prioritize<br />

government operational needs to establish and/or maintain essential city functions in response to a disaster<br />

or any event that significantly disrupts a part of city operations.<br />

Whether the human resources department consists of a city clerk, a payroll clerk, or a multi-person<br />

department, it is important to prioritize human resources operational needs during a disaster. For singleperson<br />

human resources operations the COG/COOP can be incorporated into that of the city clerk or<br />

created as a stand-alone plan for larger city departments.<br />

During a disaster, human resources will identify critical infrastructure employees, secure continuity payroll<br />

operations, ensure health insurance and other benefits continue, and collaborate with other departments to<br />

make sure that needed resources are available. <strong>KLC</strong> customized a COG/COOP plan that is attached to this<br />

guide as Appendix A.<br />

A. Create a continuity of government/continuity of operations plan for human resources.<br />

1. COG/COOP details the mission and purpose of human resources and the specific essential<br />

functions during a disaster.<br />

2. Includes all equipment, resources, and facilities necessary to accomplish duties.<br />

3. Establishes a succession plan should individuals be unable to perform assigned functions.<br />

4. Create a plan for the following:<br />

a. Access and protection of all personnel files, e.g., store electronically, off-site electronic<br />

storage.<br />

b. Secure payroll operations if city services are impacted, e.g., outsourced payroll contracts<br />

must include continuity of operations provisions, an in-house payroll plan to ensure<br />

distribution, paper check delivery if necessary, a plan in place with a bank if banking<br />

operations are disrupted.<br />

c. Plan to contact and provide data to the benefits administrator if city operations are<br />

impacted, e.g., process for benefits access, 401k withdrawals, payments to vendors,<br />

retirement.<br />

d. Contact employee family members during a disaster.<br />

e. Coordinate EAP, mental health, and crisis counseling for employees.<br />

f. Coordinate processes for employee health and safety, e.g., elements exposure injuries,<br />

general physical injury.<br />

II. PREPARE TO CREATE AND MAINTAIN CITY RECORDS<br />

Take FEMA training to learn about the public assistance program. FEMA independent study courses can be<br />

found here. “Introduction to Community Lifelines” may be a useful course, among others.<br />

Follow this link to be taken directly to your <strong>Disaster</strong> Plan: “City Clerk (City Manager/City<br />

Administrator)”<br />

END OF CHAPTER 1<br />

HUMAN RESOURCES (CITY CLERK’S) ROLE: DISASTER PREPAREDNESS


ACTION PLAN<br />

Page | 34<br />

Page | 34<br />

DISASTER ACTION PLAN<br />

EXECUTIVE SUMMARY<br />

This guide is designed to provide city officials with an overview of emergency management<br />

roles, responsibilities, and operations.<br />

The purpose of emergency management operations is to provide timely response to<br />

emergency or disaster situations in order to save lives, protect property, protect the economic<br />

base, and preserve the environment.<br />

In an emergency, cities and city officials play a vital role in the response to maintain the health,<br />

safety, and welfare of their citizens. State and federal resources may be used to assist or<br />

supplement, but not supplant, local jurisdiction efforts. This plan is to be used in conjunction<br />

with the county emergency operations plan.<br />

It is important for the executive to clearly delegate the below duties. Some duties may be<br />

applicable to multiple departments. Clear direction is imperative to avoid duplication of effort.<br />

Mayor (City Manager/City Administrator)<br />

First 24 hours<br />

A. Declare a state of emergency and issue a separate emergency declaration to impose a<br />

curfew to protect the public and discourage looting.<br />

B. Contact county emergency management to coordinate the response effort.<br />

1. Contact name and phone: _______________________________________<br />

C. Contact the city insurance company/agent to initiate claims for damaged city property.<br />

1. Contact name and phone: _______________________________________<br />

D. Convene at a predetermined location, if available. If not, identify and secure a base for all<br />

disaster response operations.<br />

E. Contact the governor’s office (Kentucky Emergency Management) to request a disaster<br />

declaration and start the federal disaster declaration process, if applicable.<br />

F. Contact all department heads/directors/supervisors and call a meeting at the base of<br />

operations to delegate the following assignments:<br />

1. If it’s not already clear, assign a person to coordinate search and rescue efforts<br />

immediately.<br />

2. Identify citizens’ needs and available resources, e.g., safe structures for shelters, water,<br />

electricity needs for medical equipment, food, sanitation.<br />

ROLE OF MAYOR (CITY MANAGER/CITY ADMINISTRATOR) DURING DISASTER


Page | 35<br />

Page | 35<br />

G. Begin to execute the Government Operations Plan/Continuity of Operations Plan if the city<br />

has one.<br />

1. If not, prioritize immediate city operational needs to provide services to citizens (e.g.,<br />

manage dangerous electricity, sanitation, EMS, police, fire, etc.).<br />

2. Identify administrative needs of the city for continuity of operation and available<br />

resources (e.g., computers, Wi-Fi, email, phones, etc.).<br />

H. Coordinate a list of damaged and destroyed city property.<br />

I. Coordinate the influx of volunteers, construction contractors, etc. Delegate one person to<br />

intake volunteers including name, government entity, skilled labor, volunteer, and the hours<br />

worked.<br />

J. Activate a plan relating to at-risk population (e.g., non-English speaking, physical/cognitive<br />

impairments, etc.).<br />

K. Coordinate outside agency assistance from police, fire, emergency services (e.g., identify<br />

each agency assisting, the number of personnel and resources provided, and collect and<br />

maintain hours worked for the personnel).<br />

1. Establish volunteer check-in located away from command and donations centers.<br />

L. Manage and track street closures, street openings, utility service discontinuation/recovery<br />

process and progress, areas closed or accessible to the citizen, and reconstruction status.<br />

M. Point of contact for reporting and location of lost persons, children, pets, etc.<br />

N. Manage donations.<br />

1. Donations at Red Cross sites – set up a donation location site.<br />

O. Main point of contact for all emergency response teams to report.<br />

P. Contact community leaders to identify the needs of citizens and assist in identifying<br />

available resources (e.g., religious leaders, healthcare providers, city and county elected and<br />

nonelected officers, social services organizations, elderly assistance organizations).<br />

Q. Maintain records related to all disaster-related purchases and loaned equipment.<br />

1. If it’s not clear, identify one person in charge of tracking.<br />

R. Identify and secure a commercial rental property and enter into a contract for a temporary<br />

city hall, police department, etc., if needed.<br />

1. Pre-plan for available space.<br />

2. Police – mobile command post.<br />

S. Request assistance under currently executed mutual aid agreements.<br />

24-72 Hours<br />

1. Statewide mutual aid agreement.<br />

A. Locate a source of bedding/mattresses for displaced citizens.<br />

B. Identify a means of transportation for citizens to access donations, resources, etc.<br />

C. Document and track every expenditure.<br />

D. Keep track of the language in the federal and state disaster declarations. Presidential<br />

declarations will indicate whether FEMA reimbursements will be 75% or higher. Higher<br />

FEMA reimbursement authorization will be for a limited time period, so watch the clock.


Page | 36<br />

Page | 36<br />

E. Resist awarding of contracts to outside consultants and coordinate with your insurance<br />

carrier because you must follow the bid process to recover costs through FEMA.<br />

F. Resist awarding construction, debris removal, or other contracts until you consult with<br />

federal agencies. Again, contracts must be awarded through the bid process to recover<br />

costs through FEMA. Check the state price contract for debris removal vendors.<br />

G. Contact the Army Corps of Engineers, FEMA, and Kentucky Emergency Management to<br />

begin debris removal.<br />

H. Identify emergency response vehicles you can use with minimal repair and a source to repair<br />

vehicles.<br />

I. Ask all departments to collect maintenance records for all roads, bridges, city equipment,<br />

buildings, etc., to provide to FEMA and your insurance company.<br />

J. If a disaster affects multiple counties, Kentucky State Police/National Guard will have<br />

regular meetings and the mayor or a designee will attend the meetings.<br />

K. Appoint personnel to identify potential housing quarters for volunteers, as hotel<br />

accommodations may be limited.<br />

L. Focus on communicating updated information to citizens via radio, television, and social<br />

media. Make sure that every city employee understands that communications go through<br />

the mayor’s office.<br />

M. Begin managing citizen expectations for FEMA recovery. FEMA is not an insurance company<br />

and will not provide full replacement value for homes. There may be short-term rental<br />

assistance. Any housing funds will be to provide people with safe, sanitary, and functional<br />

living accommodations, not full restoration of the previous home.<br />

First Week<br />

A. Develop bid specs for all procurement and services to ensure federal reimbursement.<br />

B. For outside disaster relief consultants, include in bid specs and contracts that they have<br />

experience with the type of disaster the city experienced and that they coordinate with the<br />

city’s insurance carrier. Make sure they are familiar with your insurance policy so they know<br />

the appropriate reimbursement agency.<br />

C. Locate facilities to house first responders, volunteers (e.g., state parks, etc.).<br />

D. Remember to focus on what you can do now. There will be a lot of well-meaning people<br />

trying to pull your focus to what will happen in six months or a year. That can cause<br />

confusion and indecision.<br />

E. Continue implementing your communications plan to provide accurate, updated information<br />

to citizens.<br />

Follow this link to go back to the “City Manager/City Administrative Officer Role”<br />

<strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

END OF SECTION<br />

ROLE OF MAYOR (CITY MANAGER/CITY ADMINISTRATOR)


ACTION PLAN<br />

Page | 37<br />

Page | 37<br />

Council Member/Commissioner<br />

First 24 hours<br />

A. Assemble at a pre-determined location to check in and assist with relief efforts.<br />

B. Review Kentucky Revised Statutes 39B (enacted 2021), which addresses local emergency<br />

management processes, procedures, and authorities.<br />

C. Implement your Continuity of Government/Continuity of Operations Plan.<br />

24-72 Hours<br />

A. If appropriate, pass resolutions in support of the mayor’s actions under the emergency<br />

declaration. This is not required by law but can be a good tool for cooperation and<br />

consistency.<br />

B. Assist with establishing emergency meetings of the legislative body, including finding a<br />

temporary location to meet.<br />

C. When consulted, resist awarding construction, debris removal, or other contracts until you<br />

consultat with federal agencies.<br />

D. When consulted, resist awarding contracts to outside consultants and coordinate with the<br />

insurance carrier.<br />

First Week<br />

A. When consulted for outside disaster relief consultants, include in bid specs and contract<br />

that they have experience with the type of disaster the city experienced and that they<br />

coordinate with the city’s insurance carrier.<br />

Follow this link to go back to the “Legislative Role in <strong>Disaster</strong> Preparation” Section.<br />

END OF SECTION<br />

ROLE OF COUNCIL MEMBER/COMMISSIONER DURING DISASTER


ACTION PLAN<br />

Page | 38<br />

Page | 38<br />

Police Chief<br />

First 24 hours<br />

A. Convene at a predetermined location for assignment if possible. If not, notify the mayor or the<br />

mayor’s designee ASAP.<br />

B. Establish a communications method for all available first responders. Reach out to your<br />

local Kentucky State Police post for assistance with radios and dispatch if necessary.<br />

C. Provide emergency and medical triage services to citizens.<br />

D. Coordinate with Red Cross or other assisting agencies in opening and managing shelters.<br />

E. Secure the affected area and perform traffic and crowd control.<br />

F. Determine the scope of the incident as to immediate casualties/destruction and whether the<br />

incident has the potential to expand and escalate.<br />

G. Take stock of all necessary administrative equipment available to maintain operational needs<br />

and the necessary equipment to obtain for operational continuity.<br />

H. Establish and secure priority structures/facilities.<br />

I. Report necessary information to appropriate law enforcement agencies.<br />

J. Enforce curfew restrictions.<br />

K. Establish a shift rotation to ensure staff members are getting adequate rest and downtime<br />

with mandatory rest periods.<br />

1. The shift working at the time of the disaster should be sent home for a sleep cycle.<br />

Establish rotating shifts that may include 7-day-per-week work shifts until no longer<br />

needed.<br />

L. Establish a means of obtaining and securing gasoline. If the community is without power,<br />

traditional gas pumps will not function.<br />

1. Need diesel and 87 octane.<br />

2. Request Kentucky National Guard (KYNG) fuel trucks ASAP and stage near the<br />

disaster site, but not within the perimeter.<br />

3. Maintain relevant information for each fill-up: date, cruiser/vehicle number, badge<br />

number, gallons, fuel type, etc.<br />

M. Identify points of distribution. (Note, if you identify too many points of distribution you have<br />

to have the manpower to secure them.)<br />

N. Coordinate with National Guard, state emergency management, and area emergency<br />

management in disaster response.<br />

O. Secure sleeping quarters for personnel.<br />

P. Work with the city clerk and other administrative staff to document all personnel and<br />

volunteer hours worked, equipment donated and loaned, as well as other items which may<br />

be eligible for FEMA reimbursement, if applicable.<br />

ROLE OF POLICE CHIEF DURING DISASTER


Page | 39<br />

Page | 39<br />

24-72 Hours<br />

A. Assist in locating and securing available rental property to continue government operations.<br />

B. Assess all damaged equipment, buildings, and other resources to identify immediate needs.<br />

C. Collect maintenance records for all vehicles, equipment, buildings, etc., to provide to FEMA<br />

and your insurance company.<br />

D. Reach out to the Kentucky Association of Chiefs of Police to coordinate LEO assistance.<br />

E. Prepare for a significant influx of looters, both local and transient.<br />

F. Manage volunteers. Designate an individual to coordinate with the local emergency<br />

management director.<br />

G. Provide the mayor with regular updates on search and rescue, secured buildings, and<br />

general activity reports.<br />

H. Continue documenting personnel and volunteer hours worked, equipment donated and<br />

loaned, as well as other items eligible for FEMA reimbursement.<br />

I. Assist in locating housing quarters for LEO volunteers as there may be limited hotel<br />

availability (e.g., old schools, gymnasiums, churches).<br />

J. Remind staff that all public and media communications go through the mayor or the<br />

mayor’s designee.<br />

First Week<br />

A. Coordinate with citizens to direct resources to impacted residents (e.g., power, water,<br />

rescue, etc.).<br />

B. Continue documenting personnel and volunteer hours worked, equipment donated and<br />

loaned, as well as other items eligible for FEMA reimbursement.<br />

C. Continue to assist with locating housing facilities for LEO volunteers.<br />

D. Continue providing regular updates to the mayor.<br />

Follow this link to go back to the “Police Chief” <strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

END OF SECTION


ACTION PLAN<br />

Page | 40<br />

Page | 40<br />

Fire Chief<br />

First 24 hours<br />

A. Convene at a predetermined location for assignment, if possible. If not, notify the mayor or<br />

the mayor’s designee ASAP.<br />

B. Provide emergency and medical triage services to citizens.<br />

C. Identify key resources to meet the needs of citizens and provide them first with food, water,<br />

shelter, and medical.<br />

D. Determine the scope of the incident as to immediate casualties/destruction and whether the<br />

incident has potential to expand and escalate.<br />

E. Take stock of all necessary administrative equipment available to maintain operational needs<br />

and the necessary equipment to obtain for operational continuity.<br />

F. Report necessary information to appropriate law enforcement agencies.<br />

G. Establish a shift rotation to ensure staff is getting adequate rest and downtime with<br />

mandatory rest periods.<br />

1. The shift working at the time of the disaster should be sent home for a sleep cycle.<br />

Establish rotating shifts that may include 7-day-per-week work shifts until no longer<br />

needed.<br />

H. Establish a means of obtaining and securing gasoline. If the community is without power,<br />

traditional gas pumps will not function.<br />

1. Need diesel and 87 octane.<br />

2. Request KYNG fuel trucks ASAP and stage near the disaster site but not within the<br />

perimeter.<br />

3. Maintain relevant information for each fill-up: date, cruiser/vehicle number, badge<br />

number, gallons, fuel type, etc.<br />

I. Coordinate with National Guard, state emergency management, and area emergency<br />

management in disaster response.<br />

J. Secure sleeping quarters for personnel.<br />

K. Work with the city clerk and other administrative staff to document all personnel and<br />

volunteer hours worked, equipment donated and loaned, as well as other items which may<br />

be eligible for FEMA reimbursement, if applicable.<br />

ROLE OF FIRE CHIEF DURING DISASTER


Page | 41<br />

Page | 41<br />

24-72 Hours<br />

A. Assist in locating and securing available rental property to continue government operations.<br />

B. Assess all damaged equipment, buildings, and other resources to identify immediate needs.<br />

C. Collect maintenance records for all vehicles, equipment, buildings, etc., to provide to FEMA<br />

and your insurance company.<br />

D. Utilize other departments pursuant to state aid agreements to coordinate fire response.<br />

E. Continue documenting personnel and volunteer hours worked, equipment donated and<br />

loaned, as well as other items eligible for FEMA reimbursement.<br />

F. Provide the mayor with regular updates on search and rescue and general activity reports.<br />

G. Assist in locating housing quarters for first responder volunteers as there may be limited<br />

hotel availability (e.g., old schools, gymnasiums, churches).<br />

H. Remind staff that all public and media communications go through the mayor or the<br />

mayor’s designee.<br />

First Week<br />

A. Coordinate with citizens to direct resources to impacted residents (e.g., power, water,<br />

rescue, etc.).<br />

B. Continue documenting personnel and volunteer hours worked, equipment donated and<br />

loaned, as well as other items eligible for FEMA reimbursement.<br />

C. Continue to assist with locating housing facilities for first responder volunteers.<br />

D. Continue providing regular updates to the mayor.<br />

Follow this link to go back to the “Fire Chief” <strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

END OF SECTION


ACTION PLAN<br />

Page | 42<br />

Page | 42<br />

City Clerk (City Manager/City Administrator)<br />

First 24 hours<br />

A. Prepare an executive order for the mayor’s signature declaring a state of emergency. If it is<br />

in paper form, fill in the blanks.<br />

B. Locate contact information for all members of the legislative body, department heads, and<br />

critical infrastructure employees.<br />

C. Convene at a pre-established location with city officials and employees for coordination<br />

efforts.<br />

D. Contact the insurance agent and file a claim immediately.<br />

1. Contact name and phone: _______________________________________<br />

E. Assist in establishing clear lines of communication for citizens, city employees, and city<br />

officials (e.g., 800 number, radio station, social media, email, etc.).<br />

F. Take stock of all useable administrative tools and immediate needs (e.g., office space,<br />

computers, phones, printers, etc.).<br />

G. Assist in securing all available rental property for city use, if needed.<br />

H. Assist in securing available shelter for displaced persons. Multiple locations may be helpful.<br />

If at all possible, include people with pets (significant need), specific medical needs (access<br />

to electricity), and bathroom/shower facilities. Inform PD of the various shelter locations for<br />

periodic security checks.<br />

I. Initiate a document management system to maintain an account of all personnel hours<br />

(volunteer and city staff), equipment borrowed, equipment purchased, etc., for potential<br />

FEMA reimbursement.<br />

**The duties assigned may not apply to the city clerk in your city.<br />

It is important to note that Kentucky law authorizes city mayors to issue state of emergency<br />

declarations when the need arises. In addition to the mayor, the law provides that a city may enact<br />

an ordinance to appoint a nonelected officer as the mayor’s designee who can also issue a state of<br />

emergency declaration. In most instances, the designee will be a city manager, city administrator,<br />

police chief, or fire chief.<br />

ROLE OF CITY CLERK (CITY MANAGER/ADMINISTRATOR) DURING DISASTER


Page | 43<br />

Page | 43<br />

24-72 Hours<br />

A. Identify the disaster category stated in the presidential disaster declaration, if applicable.<br />

This determines the level of FEMA reimbursement.<br />

B. Work with elected officials to establish city meeting locations/dates/times, as needed.<br />

C. Establish a separate disaster filing system for the incident for all receipts, time sheets,<br />

equipment usage sheets, etc. (Applicant Agent for FEMA)<br />

D. Assess damage to city records and relocate as necessary.<br />

E. Assist in assessing damage to all city structures, equipment, property, etc.<br />

F. Collect maintenance records for all roads, bridges, city equipment, buildings, etc., to provide<br />

to FEMA and your insurance company.<br />

G. Assist in locating sleeping quarters for volunteers as there may be limited hotel availability<br />

(e.g., old schools, gymnasiums, churches).<br />

H. Provide the mayor with regular updates on general activity.<br />

First Week<br />

A. Serve as a contact to coordinate all volunteers, assistance requests, donations, food<br />

vendors, etc.<br />

B. Establish a reoccurring day and time for directors and management personnel to provide<br />

your office with all disaster-related records.<br />

C. Continue to assist with locating housing facilities for volunteers.<br />

Follow this link to go to the “Table” Section.<br />

Follow this link to go back to the “City Manager/City Administrative Officer Role”<br />

<strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

END OF SECTION


ACTION PLAN<br />

Page | 44<br />

Page | 44<br />

Public Works<br />

First 24 hours<br />

A. Ensure that all department personnel have been alerted and asked to report as the situation<br />

directs.<br />

B. Assess available equipment and personnel to respond to the emergency and establish a list<br />

of equipment needed to assist in recovery efforts.<br />

1. Backhoes, trackhoes, loaders, cherry pickers, dump trucks, garbage trucks, cranes.<br />

C. Identify one person to intake all city and public requests for assistance.<br />

1. Document calls for assistance.<br />

2. Provide calls for assistance to director/supervisor for response understanding that<br />

many requests may not involve public works matters.<br />

D. Assign one supervisor to coordinate scheduling, meals, break periods, and mandatory rest<br />

for staff.<br />

E. Identify and clear disrupted transportation routes.<br />

1. Assign one person to gather information on which roads, bridges, paths, etc., are<br />

blocked or damaged beyond use.<br />

2. Prioritize routes for clearing.<br />

3. If routes are blocked by downed electrical wires, broken gas lines, broken water mains,<br />

or similar utility malfunctions, notify the utility provider immediately to have them<br />

fixed.<br />

F. Coordinate with law enforcement on travel restrictions/road closures and maintain<br />

communication to help identify missing persons.<br />

G. Assist with clearing priority roads to facilitate disaster response.<br />

H. Assist with traffic control and access to the affected area.<br />

I. Help prepare maps locating infrastructure damage, power outages, road closures, and other<br />

conditions.<br />

J. Assist with the shutdown of utilities such as gas and electric services to the affected area.<br />

K. If necessary, coordinate flood fighting activities, including sandbagging, emergency diking,<br />

and pumping operations.<br />

L. Provide emergency generators and lighting when possible.<br />

M. Assign one person to document all personnel hours, equipment used, damage reports, and<br />

expenses.<br />

Follow this link to go back to the “Public Works” <strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

ROLE OF PUBLIC WORKS DURING DISASTER


Page | 45<br />

Page | 45<br />

24-72 Hours<br />

A. Continue focus on debris removal from public transportation routes by priority.<br />

B. If there is an immediate need for equipment to assist in disaster response, begin reaching<br />

out to public and private entities capable of loaning equipment.<br />

C. Document damage to public transportation routes caused by the disaster.<br />

D. Document damage to city property and structures, including parks, storage, playgrounds,<br />

etc.<br />

E. Collect maintenance records for all roads, bridges, city equipment, buildings, etc., to provide<br />

to FEMA and your insurance company.<br />

F. Assess and document traffic control device status and prioritize repair and replacement.<br />

G. Contact contractors and subcontractors with whom the city has contracts to assist in<br />

recovery efforts.<br />

H. If debris has chemical, biological, or other hazardous contaminants, begin the process to<br />

identify a separate debris contamination zone for public safety. Notify KYEM if debris is<br />

contaminated.<br />

I. If solid waste collection is disrupted, develop a plan to reestablish collection and removal<br />

schedules.<br />

1. Get volunteer assistance from other governments.<br />

2. Contract with private entities.<br />

J. Create public service information on how and where the public can dispose of hazardous<br />

waste, debris, and rubbish as the cleanup process begins.<br />

K. Provide the mayor, public safety departments, and EOC with regular updates on status of<br />

damage, reopening of transportation routes, transportation route detours, debris removal,<br />

etc.<br />

L. Remind staff that all public and media communications go through the mayor or the<br />

mayor’s designee.<br />

First Week<br />

A. Focus on rebuilding public works buildings, replacing equipment and vehicles, and<br />

documenting employee time on recovery efforts.<br />

B. Continue restoration of transportation routes, road signs, road signals, etc.<br />

C. Provide the mayor, public safety departments, and EOC with regular updates on status of<br />

damage, reopening of transportation routes, transportation route detours, debris removal,<br />

etc.<br />

END OF SECTION


ACTION PLAN<br />

Page | 46<br />

First 24 hours<br />

Municipal Utilities<br />

A. Ensure that all department personnel have been alerted and asked to report as the situation directs.<br />

B. Assess available equipment, including PPE, and personnel to respond to the emergency.<br />

C. If a utility is a separate commission, prepare and adopt an executive order to authorize the executive<br />

director to begin immediate recovery efforts as needed.<br />

D. Assess damage to utility facilities and prioritize repair or emergency demolition.<br />

E. Assess any breakages or disruptions that pose a public safety danger for immediate remediation.<br />

F. Identify one person to intake all city and public requests for assistance.<br />

1. Document calls for assistance.<br />

2. Provide calls for assistance to the director/supervisor for response, understanding that many<br />

requests may not involve public works matters.<br />

G. Assign one supervisor to coordinate scheduling, meals, break periods, and mandatory rest for staff.<br />

H. Assign a person to collect, analyze, and disseminate data on the status of city utility infrastructure.<br />

I. Assign a person to locate all resource needs to manage utility, chemicals for water and wastewater<br />

treatment, lines to restore power, lines to restore gas linkages, etc.<br />

J. Determine if it’s necessary to ration utility use and work with city leadership to implement rationing.<br />

K. Address sanitation needs if the sewer system is compromised or unusable.<br />

L. Prioritize utility restoration and deploy personnel accordingly.<br />

M. Contact outside entities for assistance (e.g. KYWARN, KY Rural Water, KY Municipal Utilities Assoc., etc.).<br />

24-72 Hours<br />

A. Continue to focus on the restoration of buildings, facilities, and infrastructure necessary to safely restore<br />

service.<br />

B. Document damage to the utility infrastructure and develop a plan for long-term recovery.<br />

C. Document all volunteer hours, equipment used, employee hours, expenses, etc., for FEMA recovery.<br />

D. Collect maintenance records for all city equipment, utility infrastructure, buildings, etc., to provide to<br />

FEMA and your insurance company.<br />

E. Draft a request for proposals to advertise for any goods and services that will exceed the city’s small<br />

purchase authority of $40,000.<br />

F. Obtain three quotes for goods and services above $10,000 and up to $40,000 to ensure FEMA recovery.<br />

G. Provide the mayor, public safety departments, and EOC with regular updates on status of damage,<br />

infrastructure repair process, service priorities, reestablishing service, etc.<br />

H. Remind staff that all public and media communications go through the mayor or the mayor’s designee.<br />

First Week<br />

A. Focus on rebuilding utility buildings, replacing equipment and vehicles, and documenting employee time<br />

on recovery efforts.<br />

B. Continue restoration of utilities following established priorities.<br />

C. Provide the mayor, public safety departments, and EOC with regular updates on the status of damage,<br />

the infrastructure repair process, service priorities, reestablishing service, etc.<br />

Follow this link to go back to the “Utilities” <strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

END OF SECTION<br />

ROLE OF MUNICIPAL UTILITIES DURING DISASTER


ACTION PLAN<br />

Page | 47<br />

First 24 hours<br />

Finance (City Clerk)<br />

A. Contact your bank. Have account numbers and phone numbers available.<br />

B. Convene at a pre-established location with city officials and employees for coordination<br />

efforts.<br />

C. Contact the insurance agent and file a claim immediately.<br />

1. Contact name and phone: _______________________________________<br />

D. Make a list of all open city contracts for building and construction, electrical, water and<br />

wastewater, gas, sanitation, street and road repair, sidewalk repair, and other related services<br />

to determine the scope and whether the contracts can be utilized for disaster recovery.<br />

E. Initiate a document management system to maintain an account of all personnel hours<br />

(volunteer and city staff), equipment borrowed, equipment purchased, etc., for potential<br />

FEMA reimbursement.<br />

24-72 Hours<br />

A. Focus on federal and state disaster declarations to help determine available sources of<br />

money. Presidential declarations will indicate whether FEMA reimbursements will be 75% or<br />

higher. Higher FEMA reimbursement authorizations will be for a limited time period.<br />

B. Draft requests for proposals to advertise for any goods and services that will exceed the<br />

city’s small purchase authority of $40,000.<br />

C. Obtain three quotes for goods and services above $10,000 and up to $40,000 to ensure<br />

FEMA recovery.<br />

D. Establish a separate disaster filing system for the incident for all receipts, time sheets,<br />

equipment usage sheets, etc. (Applicant Agent for FEMA)<br />

E. Assess damage to city records and relocate as necessary.<br />

F. Assist in assessing damage to all city structures, equipment, property, etc.<br />

First Week<br />

1. Assist in locating sleeping quarters for volunteers as there may be limited hotel<br />

availability (e.g., old schools, gymnasiums, churches).<br />

A. Serve as a contact to coordinate all volunteers, assistance requests, donations, food<br />

vendors, etc.<br />

B. Establish a reoccurring day and time for directors and management personnel to provide<br />

your office with all disaster-related records.<br />

C. Continue to assist with locating housing facilities for volunteers.<br />

Follow this link to go back to the “Finance (City Clerk)” <strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

ROLE OF FINANCE DURING DISASTER<br />

END OF SECTION


ACTION PLAN<br />

Page | 48<br />

Page | 48<br />

Code Enforcement (DUTIES MAY BE ASSIGNED TO PUBLIC WORKS)<br />

First 24 hours<br />

A. Assist in search and rescue efforts (e.g., help locate missing and at-risk persons,<br />

transport).<br />

B. Review potential sites to deposit debris.<br />

24-72 Hours<br />

A. Continue assisting with search and rescue efforts.<br />

B. Debris removal – Assess personal property debris removal but make sure you obtain<br />

a signed copy of right-of-entry on private property for debris removal prior to<br />

accessing private property.<br />

C. Propose debris dump sites.<br />

D. Inform citizens to sort debris into six different piles:<br />

1. Electronics<br />

2. Appliances<br />

3. Hazardous materials (e.g., cleaners, garden chemicals, motor oil)<br />

4. Vegetation<br />

5. Construction material (e.g., wood, glass, carpet, tile, roofing, equipment)<br />

6. Household garbage<br />

E. Provide the mayor and/or police chief and fire chief with regular updates on the<br />

debris removal process.<br />

First Week<br />

A. Continue with the debris removal processes.<br />

B. Document time spent on disaster recovery efforts, equipment used, etc., for FEMA<br />

reimbursement.<br />

ROLE OF CODE ENFORCEMENT (DUTIES MAY BE ASSIGNED TO PUBLIC WORKS)


Page | 49<br />

Page | 49<br />

After 30-days<br />

A. Continue to focus on debris removal, FEMA documentation, communicating with the<br />

community, and general recovery efforts.<br />

B. Ask FEMA representatives about the FEMA hazards mitigation program to secure<br />

available funding to rebuild in a way that reduces and/or mitigates future disaster<br />

losses. It is available after a presidentially declared disaster.<br />

C. Develop a plan to house volunteers as part of the city’s long-term recovery plan.<br />

Rebuilding efforts will take years. Many volunteers will return seasonally to assist in<br />

rebuilding homes and buildings. Consider keeping some FEMA trailers for volunteer<br />

housing for couples who may not be comfortable in larger communal housing.<br />

D. Develop a team for long-term city planning to ensure that reconstruction comports<br />

with your vision for the city.<br />

E. Begin planning to replace your lost housing stock.<br />

1. Consider updating the city or city/county comprehensive plans if the city has<br />

planning and zoning. If the city did not previously adopt or develop a GOP/<br />

COOP, use that tool in the disaster preparation guide to determine the future<br />

plan for your city.<br />

2. Work with builders, nonprofit organizations, contractors, and other industry<br />

operators to begin construction of replacement housing.<br />

3. Keep in mind that rebuilding will take significant time.<br />

Follow this link to go back to the “Code Enforcement” <strong>Disaster</strong> <strong>Preparedness</strong> Section.<br />

END OF CHAPTER 2


Page | 50<br />

Federal <strong>Disaster</strong><br />

Assistance


Page | 51<br />

Table of Contents<br />

Federal Programs Overview<br />

Federal/State Action<br />

Local Action<br />

<strong>Disaster</strong> Field Office (DFO)<br />

The Federal Coordinating Officer and Staff<br />

State Coordinating Officer (SCO) & Staff<br />

<strong>Disaster</strong> Assistance for Individuals<br />

Small Business Administration Programs (SBA)<br />

Agriculture <strong>Disaster</strong> Guidelines<br />

National Flood Insurance Program (NFIP)<br />

Public Assistance (PA)<br />

Public Assistance Eligibility<br />

General Work Eligibility<br />

Public Assistance Project Category Descriptions<br />

Section 406 – PA – Hazard Mitigation<br />

Specific Documentation Required<br />

Post Award Monitoring<br />

Reconcile and Close PA Prime Award<br />

Review and Audit<br />

For Projects Under $1 Million<br />

Hazard Mitigation Grant Program<br />

Contracts<br />

Click on a page number to be<br />

taken directly to each section.<br />

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Page | 52<br />

Federal Programs Overview<br />

The federal government provides public agency and individual assistance for natural and manmade disasters<br />

in accordance with the Robert T. Stafford <strong>Disaster</strong> Relief and Emergency Assistance Act (Public Law 93-<br />

288), as amended.<br />

The Robert T. Stafford <strong>Disaster</strong> Relief and Emergency Assistance Act, PL 100-707, signed into law Nov. 23,<br />

1988, amended the <strong>Disaster</strong> Relief Act of 1974, PL 93-288. This act constitutes the statutory authority for<br />

most federal disaster response activities especially as they pertain to the Federal Emergency Management<br />

Agency (FEMA) and FEMA programs.<br />

In order to establish possible eligibility for FEMA Supplemental Assistance, the president reviews the disaster<br />

information and makes a determination as to whether the disaster has caused sufficient damage to require<br />

federal aid. If so, the president will declare the situation a major disaster and release federal resources to<br />

assist the communities in the recovery effort.<br />

Once the declaration is made, the Department of Homeland Security (DHS) through FEMA coordinates<br />

the numerous federal recovery programs for the disaster area. When a major disaster occurs (or before, for<br />

predictable events), the regional support team (RST) staff is activated to the ROC by the regional director<br />

of the FEMA regional office. The RST staff is the initial coordination organization for federal activity. Other<br />

elements of the initial federal response may include the emergency support team (EST) and the emergency<br />

response team (ERT).<br />

The ERT is the federal interagency team which is activated following a presidential disaster or emergency<br />

declaration. The ERT coordinates the overall federal response and recovery activities and provides assistance<br />

and support to the affected state and local governments. The ERT is headed by a federal coordinating<br />

officer (FCO) and operates from a disaster field office (DFO). The size and composition of the ERT can<br />

range from one that includes only FEMA regional staff, to an interagency team with representation from ESF<br />

primary and support agencies.<br />

The EST is an interagency group that operates from the National Interagency Emergency Operations Center<br />

(NIEOC) located at FEMA headquarters. Its role is to coordinate and support the federal response by serving<br />

as an information source and by helping access and coordinate needed resources.<br />

In cooperation with state and local governments, FEMA establishes a disaster field office (DFO) to oversee<br />

and support the entire operation. In conjunction with the state, FEMA also establishes disaster recovery<br />

centers (DRCs) in the disaster areas to assist in administering the individual assistance programs.<br />

The disaster recovery center (DRC) concept has evolved from the original disaster application aenter (DAC)<br />

operation. The DRC provides additional “direct follow-up” assistance to disaster victims by enabling the<br />

individual applicant to personally establish contact with the different agencies providing assistance.<br />

I. There are two main avenues through which federal assistance is administered:<br />

A. The individual assistance program for grants, loans, temporary housing, food, etc. These programs<br />

are long-term recovery actions for individuals, families, and small businesses.<br />

1. The American Red Cross and other voluntary agencies frequently will normally be on the scene<br />

first administering such emergency short-term assistance as food, clothing, bedding, and<br />

shelter.<br />

2. The entire effort is conducted cooperatively by the federal, state, and local governments and<br />

voluntary organizations. The intent is to help those people who have been affected by the<br />

disaster.<br />

FEMA DISASTER RECOVERY ASSISTANCE


Page | 53<br />

B. The public assistance program for the repair to public property such as the courthouse, city hall,<br />

community centers, parks, recreation center, etc. These programs are for public service type<br />

applicants such as cities, counties, American Indian tribes, and eligible private-nonprofit agencies.<br />

Federal/State Action State Action<br />

Once the presidential disaster declaration is received, the DHS/FEMA and the state emergency management<br />

agency move immediately to coordinate disaster assistance programs.<br />

Assistance is provided through the individual assistance and public assistance programs. Both programs<br />

are administered cooperatively by the federal coordinating officer (FCO) and the state coordinating officer<br />

(SCO) and respective staff once the disaster field office (DFO) is opened.<br />

The DFO serves as the administrative center for the recovery effort and coordinates all federal and state<br />

efforts with the local officials.<br />

Initial operations at the DFO will focus on the delivery of information relating to the individual assistance<br />

programs and the establishment of additional facilities in or near the areas of worst damage called disaster<br />

recovery centers. These additional facilities will operate only long enough to process claims for individuals,<br />

families, and businesses in that particular area and will augment the toll-free telephone registration<br />

operation. Federal, state, and local officials will coordinate the necessary actions to ensure the disaster<br />

registration information is available to every citizen in the declared disaster area.<br />

Once the DFO has established the satisfactory operation of the individual assistance programs, the actions<br />

for the implementation of the public assistance and hazard mitigation programs will be initiated. All field<br />

actions for the public assistance program will be coordinated through the DFO.<br />

The DFO remains open until disaster assistance activities can be supported by local, state, and federal<br />

offices. The FCO and SCO staff will scale down during the recovery process depending on the requirements<br />

of the disaster situation. The DFO will not be closed until a joint decision on the matter is made by the<br />

appropriate FEMA region director and the governor’s authorized representative (GAR).<br />

Local Action Action<br />

Local city and county government officials are responsible for making the recovery from a disaster situation.<br />

All recovery efforts should be initiated at the local level. In the process of working this task through there are<br />

five basic steps:<br />

A. A fairly accurate damage assessment must be made to determine the extent of the disaster damage.<br />

B. An analysis of the damage must be performed to determine the kind and quality of supplemental<br />

assistance needed.<br />

C. A request for assistance for resources outside of the community must be prepared and submitted<br />

appropriately to the governor through the state emergency management agency.<br />

D. The recovery effort must be directed and guided in the best interest of the community.<br />

E. Locate an adequate facility to house one or more disaster recovery centers. This facility will be<br />

secured by FEMA and staffed with the coordinated efforts of FEMA and the state.<br />

Detailed information on damage assessment, requesting assistance, individual assistance, public assistance,<br />

hazard mitigation, public information, and documentation of work are covered in sections of this handbook.


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<strong>Disaster</strong> Field Office (DFO)<br />

Once a presidential disaster declaration has been authorized, the DFO is established in the vicinity of the<br />

disaster area or as close as possible. The facility is obtained by FEMA with the assistance of the GSA and<br />

houses the FCO and SCO staff. When a small disaster does not require the activation of a large staff to<br />

support a JFO, a smaller field operations facility may be opened when agreed to by local, State and FEMA<br />

officials. The DFO will probably function in the same location the entire time the individual and public<br />

assistance programs are being administered. This procedure differs from that of the DRC, which operate for<br />

a limited period of time, then close or move to another location to serve other individual applications for<br />

assistance.<br />

Overall supervision and guidance of all assistance programs is accomplished from the DFO. The DFO also<br />

provides an operating location for Federal and State operations and include disaster functions such as:<br />

A. All activated Federal Emergency Support Functions (ESFs).<br />

B. Temporary Housing (TH).<br />

C. Public Information (PIO).<br />

D. National Flood Insurance Program coordination (NFIP).<br />

E. Community Relations (CR).<br />

F. <strong>Disaster</strong> Housing Operations (DHOPS) mission.<br />

G. Federal Assistance to Individuals and Households Program (IHP).<br />

H. Public Assistance (PA).<br />

I. Hazard Mitigation (HM).<br />

J. Administrative and financial support for federal disaster program workers.<br />

K. <strong>Disaster</strong> worker employee office.<br />

L. American Red Cross.<br />

In a situation where the damaged area covers a large geographical area, there may be a need for a<br />

supplemental DFO or area field office (AFO) to support work in other areas. In this case, a satellite office will<br />

be established to operate in a limited capacity to extend the efficiency of DFO/AFO operations throughout<br />

the entire disaster area.<br />

The Federal Federal Coordinating Coordinating Officer and Staff Officer and Staff<br />

The federal coordinating officer (FCO) is appointed by the president for each disaster and coordinates the<br />

disaster assistance activities of all federal agencies, including the FEMA regional activities of the region in<br />

which the disaster occurred. The FCO and staff are located in the DFO.<br />

A cadre of professional disaster assistance employees (DAEs) have been designated by FEMA and will in<br />

most situations staff the FCO positions.<br />

In the performance of duties, the FCO is responsible for the overall recovery efforts, including:<br />

A. Determining the types of assistance that are most urgently needed.<br />

B. Rendering assistance to those who need it as quickly as possible.<br />

C. Gathering all federal agencies that have disaster assistance programs and coordinating their<br />

activities.<br />

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D. Staffing the DFO/and support facilities in addition to the DRCs with required representation of<br />

federal agency personnel.<br />

E. Coordinating the efforts of private relief organizations, such as the American Red Cross, which agree<br />

to operate under FCO supervision.<br />

F. Taking any other appropriate action to help the local population obtain all assistance to which it is<br />

entitled.<br />

State Coordinating Officer (SCO) & Staff<br />

State Coordinating Officer (SCO) & Staff<br />

Once the president has authorized a FEMA disaster declaration in accordance with the provisions of the<br />

Code of Federal Regulations, 44 CFR, Part 206.31-48, and in accordance with the provisions of the Code of<br />

Federal Regulations, 44 CFR, Part 206.41(c) the governor shall designate a state coordinating officer (SCO)<br />

who shall coordinate state and local disaster assistance efforts with those of the federal government.<br />

The SCO will normally reside at either the disaster field office (DFO) or the field operating facility (FOF)<br />

depending on the size of the declared event and the type of facility required. The SCO will coordinate all<br />

state disaster assistance programs on behalf of the governor’s authorized representative (GAR) with the<br />

Federal Emergency Management Agency (FEMA).<br />

Eligible disaster programs will depend on the type of disaster request by the governor and authorized by the<br />

president, but may include any or all of the following:<br />

I. Individual Assistance<br />

A. Temporary Housing Assistance<br />

B. Federal Assistance to Individuals and Households Program (IHP)<br />

C. <strong>Disaster</strong> Unemployment Assistance<br />

D. Food Commodities<br />

E. Relocation Assistance<br />

F. <strong>Disaster</strong> Legal Services<br />

G. Crisis Counseling Assistance<br />

H. Community Relations (CR)<br />

II. Public Assistance<br />

A. Debris Removal<br />

B. Emergency Protective Measures<br />

C. Restoration of Damaged Facilities<br />

III. Hazard Mitigation<br />

A. Hazard Mitigation Grant Program (HMGP)<br />

B. Flood Mitigation Assistance (FMA)<br />

C. The SCO staff is sized and composed according to the anticipated workload of the particular disaster<br />

assistance effort. This is normally accomplished by evaluating the number of structures damaged,<br />

the size of the geographical area, and the number of people affected by the disaster. Normally the<br />

SCO staff varies from 10 to approximately 50 workers. For very large catastrophic disaster events the<br />

number of workers will be in the hundreds.


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Assistance for Individuals<br />

<strong>Disaster</strong> Assistance for Individuals<br />

When disaster strikes, the Federal Emergency Management Agency (FEMA) and the state emergency<br />

management agency with assistance from each local government emergency management office with<br />

eligible damages may administer a number of disaster assistance programs for individuals, families, and<br />

small businesses in order to provide services to help the people through the recovery process.<br />

Once a disaster has happened, the following are some of the factors that must be taken into consideration<br />

when it is anticipated that the damage may result in a request for a presidential declaration for individual<br />

assistance:<br />

A. The number of homes and families affected.<br />

B. What is the total impact upon the community and what effects have the disaster had upon the<br />

continued normal day-to-day life and functioning of that community?<br />

C. What degree of insurance coverage exists among the families affected?<br />

D. Has the area or community suffered an active history of past disasters?<br />

E. What percentage of the homes damaged are not primary residences, but instead the individuals’<br />

secondary homes, camps, or vacation homes?<br />

F. What is the pre-disaster level of unemployment, the degree of damage to the business community,<br />

how much unemployment is a direct result of the disaster, and any other economic situations that<br />

may be unique to the specific disaster event?<br />

G. Does the severity of damage create the need for a significant number of families to relocate and<br />

occupy temporary accommodations?<br />

H. Does the degree of damage exceed that which is normally expected of a homeowner or landlord to<br />

repair utilizing their own funds?<br />

I. Do the degree and severity of the damage, the number of homes affected, and the estimated<br />

recovery cost of the disaster exceed the capability of the voluntary agencies to assist?<br />

Individual assistance is supplemental federal assistance provided under the provisions of the Stafford Act<br />

and The Code of Federal Regulations, Part 206, for individuals and families adversely affected by a major<br />

disaster or an emergency. Such assistance is normally provided by the federal government, state and local<br />

governments, disaster relief organizations, and the Small Business Administration (SBA). The types of<br />

assistance available are:<br />

A. FEMA Housing Assistance<br />

Housing Assistance: Housing assistance to individuals and families whose permanent homes were damaged<br />

or destroyed by the disaster. FEMA now provides a lump sum grant of $41,000 (FY 22-23) for:<br />

1. Temporary housing up to 18 months.<br />

2. Repairs needed to make a residence habitable.<br />

3. Replacement.<br />

4. Permanent construction.<br />

Individual and Household Programs: Provide grants to individuals and families to meet serious disasterrelated<br />

needs and necessary expenses not covered by insurance or other federal, state, or voluntary agency<br />

disaster assistance programs.<br />

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B. Additional <strong>Disaster</strong> Individual Assistance Programs<br />

1. <strong>Disaster</strong> unemployment assistance<br />

2. Food commodities<br />

3. Medical, dental, and funeral expenses<br />

4. Personal property transportation<br />

5. <strong>Disaster</strong> legal services<br />

6. Crisis counseling assistance and training<br />

No individual or household shall receive financial assistance greater than $41,000 with respect to a single<br />

disaster. (FY 22-23)*<br />

NOTE- Many cost rates changes are based on the Consumer Price Index (CPI) at the beginning of each<br />

federal fiscal year (Oct. 1).<br />

C. FEMA Individual Assistance Support Programs<br />

1. Cora Brown Fund Assistance: The purpose of this assistance is to make funds available to<br />

assist victims of natural disasters for disaster-related needs that have not been or will not be<br />

met by governmental agencies or other relief organizations. This grant would only be available<br />

after a presidential declaration for individual assistance is made and would only be applicable<br />

after the individual had not been successful in obtaining assistance from any other source.<br />

Application would be made through the governor’s authorized representative (GAR).<br />

2. Crisis Counseling Assistance: The purpose of this assistance is to provide professional<br />

counseling services to victims of major disasters to relieve mental health problems caused or<br />

aggravated by a major disaster or its aftermath. Available assistance will be provided by the<br />

National Institute of Mental Health, Public Health Service, and the State Department of Health<br />

and Human Services following a presidential declaration and when requested.<br />

3. <strong>Disaster</strong> Housing: The purpose of this assistance is to provide temporary housing for<br />

individuals and families displaced as a result of a disaster. This assistance is available after the<br />

presidential declaration of a major disaster or an emergency. Temporary housing is provided<br />

in the form of government, private, and commercial resources or grants for minor repairs to<br />

owner-occupied damaged structure. Temporary assistance is also provided with mortgage or<br />

rental payments for persons faced with losses of their residence because of disaster-created<br />

financial hardships. Eligible applicants are individuals and families displaced from their homes<br />

by a disaster. Application is made at the disaster recovery center (DRC).<br />

4. Flood Insurance: This assistance is to enable both individuals and state and local governments<br />

to purchase flood insurance against losses from physical damage to, or loss of, buildings and<br />

their contents as a result of floods, flood-related mud slides, or flood-related erosion.<br />

a. Assistance is available to provide insurance at a reasonable rate, backed by the federal<br />

government, for buildings and their contents.<br />

b. Eligible applicants are property owners in communities participating in the National<br />

Flood Insurance Program (NFIP).<br />

c. People with structures or personal property in or near the flood plain should contact<br />

their local insurance agent for information and an application.<br />

5. Food Distribution Program - Emergency Assistance: The purpose of this program is to provide<br />

commodities for the mass feeding of eligible victims of natural disasters.


Page | 58<br />

a. This assistance can be provided by the Food and Nutrition Service, U.S. Department of<br />

Agriculture, or after a presidentially declared disaster. The intent is to distribute food<br />

commodities for mass feeding purposes in locations in which commercial food sources<br />

have been disrupted. Approval of the secretary of agriculture is required.<br />

b. Application procedure is through the American Red Cross, Salvation Army, or other<br />

recognized local disaster-feeding organization. Information is available in the DRC.<br />

6. Food Stamp Program - Emergency Issue: The purpose of this program is to provide emergency<br />

issuance of food stamps to victims in disaster areas where the normal channels of food<br />

distribution have been disrupted.<br />

a. This assistance can be provided by the Food and Nutrition Service or the U.S.<br />

Department of Agriculture after a national-level approval by the Food and Nutrition<br />

Service following a presidentially declared disaster. Maximum food stamp allotment size<br />

will be made for victims of natural disasters who are otherwise eligible. Application for<br />

low-income households and other eligible disaster victims is made through the local<br />

Department of Human Services Office.<br />

7. Individual and Household Grants Program: The purpose of this assistance is to provide grants<br />

to individuals to meet disaster-related necessary expenses or serious needs of individuals or<br />

families adversely affected by a major disaster.<br />

a. Eligible applicants are individuals or families with disaster-related necessary expenses or<br />

serious unmet needs that cannot be met through assistance under other provisions of<br />

the Robert T. Stafford Act (PL 100-707) or from other means.<br />

b. Assistance is available after the presidential declaration of a major disaster with a lump<br />

sum grant of $41,000 (FY 22-23) per individual or family. This figure is adjusted each<br />

Oct. 1, based on the Consumer Price Index (CPI).<br />

c. The program is funded by FEMA and the state on a 75%/25% federal/state cost-sharing<br />

arrangement. There is no cost to the local government or the individual applicant. If the<br />

state is an Option 1 state, then FEMA manages the entire program.<br />

Applications are taken by either of the following:<br />

a. In-person at the disaster recovery center (DRC) by interviewers and referred to the<br />

appropriate state agency.<br />

b. By registration through a phone call to 800.621.FEMA (3362).<br />

c. Eligible categories for assistance include housing, housing items, clothing, tools, moving<br />

expenses, transportation expenses, medical or dental expenses, and funeral expenses.<br />

d. Ineligible categories for assistance include business loans, improvements to personal<br />

property, landscaping, and financial obligations incurred prior to the disaster.<br />

8. Relocation Assistance: The purpose of this program is to ensure that no person otherwise<br />

eligible for any kind of replacement housing payment under the Uniform Relocation Assistance<br />

and Real Property Acquisition Policies Act shall be denied such eligibility as a result of being<br />

unable, because of a major declared disaster to meet the occupancy requirements established<br />

by the act.<br />

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D. Other Agency Programs<br />

1. American Red Cross<br />

The purpose of assistance by the American Red Cross is to mitigate the suffering caused by a<br />

disaster regardless of the size of the catastrophe or the number of people involved. In the event<br />

of a presidential declaration of a major disaster, the Red Cross cooperates to the fullest extent<br />

with the federal coordinating officer appointed by the president and works in coordination with<br />

state and local governments and other voluntary agencies.<br />

Assistance available from the Red Cross is in the form of food, clothing, shelter, and first aid<br />

provided through shelters, at aid and feeding stations, and directly to individual families.<br />

Supplementary nursing care and blood products are distributed to hospitals and other<br />

emergency medical facilities. Welfare inquiries from outside the affected areas are also handled.<br />

Funds or purchase orders are issued to individual families for clothing, medical care, health<br />

items, essential household furnishings, and needed occupational supplies. In order for families<br />

to reoccupy their homes, the following items are also provided: equipment, emergency housing<br />

rental, transportation, and temporary home repairs.<br />

Information about available state and federal aid and other resources is given to disaster victims.<br />

Grant aid may be available for more extensive repairs or rebuilding of a home and the<br />

replacement of household goods when there is not a major disaster declaration, if the family is<br />

not eligible for government benefits, or such benefits are inadequate to meet essential disastercaused<br />

needs.<br />

Contact the local chapter of the American Red Cross or specially established disaster service<br />

centers for more information.<br />

2. Churches<br />

Assistance through local churches or interfaith groups is usually available for immediate needs<br />

such as food, clothing, spiritual, and other personal needs. Local churches usually belong to<br />

a regional disaster assistance network that provides resources for needs within this particular<br />

region. Regional networks may be denominational, but they help the general population and can<br />

be very resourceful in meeting community needs following a disaster.<br />

3. Department of Labor - Unemployment Assistance<br />

The purpose of this assistance is to provide financial assistance to people unemployed as a result<br />

of a major disaster.<br />

Assistance is available after the presidential declaration of a major disaster in the form of job<br />

placement and disaster unemployment assistance which is administered through the State<br />

Employment Commission for the U.S. Department of Labor. The compensation received will<br />

not exceed the maximum amount of payment authorized under the employment compensation<br />

program for the state. Assistance may be provided until an individual is re-employed, but no<br />

longer than 26 weeks after the date of the major disaster declaration.<br />

Eligible applicants are individuals who are unemployed as a result of a declared major disaster<br />

by the president. Application by the individual is made to the State Employment Commission at<br />

either their local office or their representative at the disaster recovery center (DRC).


Page | 60<br />

4. Internal Revenue Service (Tax Information and Education)<br />

The purpose of this assistance is to ensure that taxpayers who suffered losses receive the<br />

most current information regarding casualty loss claims and the filing of amended tax returns.<br />

Assistance is available after a presidential disaster declaration of a major disaster or an<br />

emergency for advisory services, counseling, and guidance on tax matters, including assistance<br />

in the preparation of returns. Assistance is also provided in obtaining copies of prior year returns<br />

when necessary to file amended returns.<br />

Eligible applicants are the taxpayers who suffer losses as a result of a presidential disaster<br />

declaration or emergency.<br />

For assistance call the Internal Revenue Service toll-free tax information telephone number listed<br />

in any telephone directory, 1.800.TAX.1040, or visit a disaster recovery center. Tax assistance<br />

information may include:<br />

a. Federal: The Internal Revenue Service (IRS) allows underinsured casualty losses that<br />

were suffered on home, personal property, and household goods to be deducted on<br />

income tax returns. Amended returns may be filed for a previous year’s filing so that<br />

disaster victims can receive a tax refund.<br />

b. State: Assistance and information on casualty loss deductions on state income tax<br />

returns can also be obtained from the Department of Revenue and Taxation.<br />

c. Local: Tax assessors may provide information and assistance on property tax.<br />

d. Farm Assistance: Emergency loans are available from the state Department of<br />

Agriculture and Forestry to farmers who were operating and managing a farm at the<br />

time of a disaster<br />

e. Insurance Information: Assistance and/or counseling regarding ways to obtain copies of<br />

lost policies, file claims, settlements, etc., from the state insurance department.<br />

f. Legal assistance: Free legal services for low-income disaster victims on such matters<br />

as replacing legal documents, transferring titles, contracting problems, will probates,<br />

insurance problems, and certain landlord-related problems are available from the<br />

attorney general’s office.<br />

g. Social Security Benefits: Assistance in expediting delivery of checks delayed by the<br />

disaster, and assistance in applying for Social Security disability and survivor benefits.<br />

Social Security Administration.<br />

h. Veterans Benefits: Assistance in expediting delivery of information concerning:<br />

(1) Health care<br />

(2) Financial services<br />

(3) Personnel matters<br />

(4) Supply support<br />

(5) Housing assistance<br />

(6) Food distribution<br />

(7) Technical assistance<br />

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Page | 61<br />

5. Legal Services<br />

The purpose of this assistance is to provide legal services to low-income families and individuals<br />

who need assistance because of a major disaster event.<br />

This service can be provided, after the Presidential declaration of a major disaster, by appropriate<br />

Federal agencies, State and local bar associations and the Young Lawyers Division of the<br />

American Bar Association.<br />

Further information on this program may be obtained at the DRC.<br />

6. Mennonite <strong>Disaster</strong> Service<br />

The purpose of the Mennonite <strong>Disaster</strong> Service is to assist individuals and communities with repair<br />

and rehabilitation work following a declared disaster.<br />

Assistance available through the Mennonite <strong>Disaster</strong> Service is for:<br />

a. General, immediate clean up and restoration of disaster locations.<br />

b. Repairs, temporary or permanent, to homes of the elderly and the under insured.<br />

c. The reconstruction and rehabilitation of residences and vital building facilities in an<br />

affected community.<br />

d. Mental health support programs in cooperation with the Mennonite Mental Health<br />

Centers.<br />

Any disaster victim or community that has sustained damage because of a major disaster is<br />

eligible for assistance. Priority is given to the elderly, handicapped, widowed, disadvantaged<br />

minorities, and impoverished.<br />

For assistance contact the nearest office of the Mennonite <strong>Disaster</strong> Service.<br />

7. Salvation Army<br />

The purpose of the Salvation Army is to meet the needs of victims of natural and manmade<br />

disasters. Assistance available through the Salvation Army is for:<br />

a. Spiritual counseling - comforting the bereaved, consoling the injured and distressed.<br />

b. Family counseling and case worker services.<br />

c. Registration and identification of victims.<br />

d. Missing persons services - locating individuals and answering inquiries from concerned<br />

relatives and families.<br />

e. Medical assistance.<br />

f. Temporary shelter.<br />

g. Mass and mobile feeding - hot meals or snacks for disaster victims and emergency<br />

workers.<br />

h. Collection of donated goods for victims - according to predetermined need.<br />

i. Distribution of clothing, food, commodities, furniture, bedding, cleaning supplies, and<br />

bibles.<br />

j. Services to emergency workers.<br />

k. Referrals - to appropriate government and private agencies for special services.


Page | 62<br />

l. Other services as required.<br />

To be eligible for assistance, an individual (including disaster workers) or a community<br />

should have sustained damage as a result of a disaster. For assistance, contact the nearest<br />

office of the Salvation Army.<br />

8. Senior Citizens Assistance<br />

The purpose of this program is to provide assistance to senior citizens who have been affected by<br />

a presidentially declared disaster.<br />

The service is provided by the local senior citizen activity center which serves the host community<br />

and is activated by FEMA as a normal function of establishing the disaster recovery center (DRC)<br />

structure for disaster recovery operations.<br />

9. State Voluntary Organizations Active in <strong>Disaster</strong>s (VOAD)<br />

Following a state disaster declaration, VOAD may coordinate unmet needs. County directors may<br />

request assistance through the state.<br />

10. Rubicon (Team Rubicon)<br />

Rubicon trains and coordinates volunteers to respond to disasters or crises. Team Rubicon<br />

focusses efforts on vulnerable and at-risk populations affected by disaster. Rubicon provides<br />

medical, leadership, debris removal, and building expertise to assist in recovery efforts.<br />

Small Business Administration Programs (SBA)<br />

Small Business Administration Programs (SBA)<br />

Why is it necessary for disaster victims to call FEMA first, particularly if they are business owners seeking<br />

SBA assistance?<br />

During presidential disaster declarations, the one phone call to FEMA (800.621.FEMA) registers the disaster<br />

victim for assistance and provides critical information on the various forms of federal assistance available<br />

following a declared major disaster. Online registration is also available at www.fema.gov. Homeowners and<br />

renters must call FEMA to register for assistance.<br />

Although businesses are not required to register with FEMA, SBA suggests they do so as a matter of record.<br />

Private nonprofits must also register and may be eligible for assistance from FEMA for damages in excess<br />

of those covered by a disaster loan. If any further assistance might be made available to businesses, the<br />

registered businesses will already be in the FEMA system. During the registration process, disaster victims<br />

will be asked several questions about their circumstances, including their income. Most homeowners and<br />

renters will be referred to the SBA and sent disaster loan application packages. If homeowners or renters<br />

are issued applications, they must fill out and return the applications to the SBA to be considered for other<br />

forms of assistance, including grants. If the SBA declines a home loan request or cannot make a loan for all<br />

of the disaster victim’s losses, SBA will refer the applicant to FEMA to be considered for its “Other Needs<br />

Assistance” (ONA) grant program.<br />

A presidential declaration automatically triggers Small Business Administration (SBA) loans to individuals<br />

and businesses. These loans are made at lower rates of interest to help disaster victims recover from the<br />

effects of the disaster. The interest rate charged varies depending on the availability of loans from other<br />

sources and other economic factors and can change at any time. The interest rates given below were<br />

in effect at the time of this publication. It is important to note that SBA loans are not automatic. To be<br />

approved, the applicant must show the ability to repay the loan.<br />

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A. Types of <strong>Disaster</strong> Loans Available<br />

1. Physical <strong>Disaster</strong> Loans<br />

These disaster loans are a primary source of funding for permanent rebuilding and replacement<br />

of uninsured disaster damages to privately owned real and/or personal property. SBA’s physical<br />

disaster loans are available to homeowners, renters, non-farm businesses, and eligible PNPs.<br />

a. Home Physical <strong>Disaster</strong> Loan amounts are limited to $500,000 to repair/replace<br />

damaged primary residences and $100,000 to repair/replace personal property.<br />

The amount of the actual loan is limited to the verified uninsured disaster loss. These<br />

are loans made to homeowners or renters to repair disaster-related damage to primary<br />

homes or replace personal property. Refinancing of existing loans on damaged real<br />

property is also available under certain conditions. Renters are only eligible for personal<br />

property loans.<br />

Current rates on home loans are 8% if credit is available elsewhere or 4% if credit is not<br />

available from other sources. Refinancing proceeds are loaned at the lower rate. The loan<br />

amount for real property Loans can be increased by up to 20% for mitigating devices for<br />

damaged real property.<br />

2. Terms – The repayment period depends on the size of the loan and the repayment capability of<br />

the applicant. The maximum term is 30 years. Loan proceeds may be used to return a structure<br />

to pre-disaster condition. With the exception of mitigating devices, loan proceeds cannot be<br />

used to upgrade or make additions. Loan proceeds may not be used to replace luxury items or<br />

recreational vehicles. Functional antiques will be replaced by modern items. Dollar limitations<br />

apply to hobbies and other unnecessary items.<br />

3. Business Physical <strong>Disaster</strong> Loans are limited to $2 million for real estate, inventory, machinery,<br />

equipment, and all other physical losses. The amount of the actual loan is limited to the verified<br />

uninsured disaster loss. Nonprofit organizations are also eligible for these loans.<br />

a. Terms – The applicant can be allowed up to 30 years to repay if there was no credit<br />

available from other sources. However, if credit was available from other sources, the<br />

loan must be repaid within three years. Loan proceeds may be used to restore land,<br />

buildings, household improvements, inventory, machinery, equipment, furniture, and<br />

fixtures to pre-disaster condition. Upgrading is not authorized except to meet building<br />

codes or finance mitigation measures. Mitigation measures are limited to 20% of the loan<br />

amount and do not increase the maximum limit.<br />

b. Economic Injury <strong>Disaster</strong> Loans (EIDL)<br />

These disaster loans help provide necessary working capital for small businesses and<br />

small agricultural cooperatives and private nonprofit organizations to assist them<br />

through the disaster recovery period. These loans are limited to $2 million. The loan<br />

amount is calculated by the SBA and the loan is available only to small businesses that<br />

cannot provide for their own recovery from non-government sources.<br />

Terms - These loans are made for a period of up to 30 years. The proceeds may be used<br />

to pay expenses, overhead, and fixed-debt installments which could have been paid if<br />

the disaster had not happened.


Page | 64<br />

B. Types of Declarations Available<br />

a. Presidential: When the president declares a major disaster which includes the provision<br />

of individual assistance, SBA will issue a disaster declaration making all disaster loan<br />

programs available for the declared counties. Counties adjacent to declared counties are<br />

also declared for Economic Injury <strong>Disaster</strong> Loan assistance only.<br />

b. Administrative: The administrator of the SBA may make a physical disaster declaration<br />

upon a written request by the governor subject to the damages meeting the minimum<br />

criteria for a declaration. Once requested, the SBA determines the amount of eligible<br />

damages in a joint survey with the state. To be declared, a county must have at least<br />

25 homes and/or businesses with uninsured losses of 40% or more of their estimated<br />

fair replacement value or pre-disaster fair market value, whichever is less. An economic<br />

injury declaration always accompanies a presidential or administrative physical<br />

declaration.<br />

c. Secretary of Agriculture: The SBA may provide economic injury assistance for a natural<br />

disaster declared by the secretary of agriculture. Under these designations, the SBA<br />

makes economic injury loans available to eligible small businesses dependent on<br />

agricultural producers.<br />

d. Governor’s Certification: When disaster damage is insufficient for a presidential,<br />

administrative, or secretary of agriculture declaration the state may certify the disaster<br />

has caused economic injury to small businesses in the state to the extent federal<br />

assistance is necessary. To support such a request, the state is required to provide<br />

substantiating evidence showing five or more businesses in the county have sustained<br />

substantial economic loss due to the disaster. The SBA administrator will make a disaster<br />

declaration decision based on the information provided by the state.<br />

4. Declaration Criteria<br />

Application for the programs described can be made at the disaster recovery center (DRC),<br />

nearest SBA office, or by calling the SBA toll-free number listed for the disaster.<br />

Agriculture <strong>Disaster</strong> Guidelines<br />

Agriculture <strong>Disaster</strong> Guidelines<br />

A. Purpose: To provide general guidance on the presidential and secretary of agriculture disaster<br />

declaration and application processes as it applies to farmers, ranchers, and aquaculture operators.<br />

B. General: Following either a presidential disaster declaration or a secretary of agriculture disaster<br />

declaration, farmers, ranchers, and aquaculture operators may be eligible for loans and assistance<br />

programs to help them recover from the effects of a declared disaster.<br />

If producers are unable to obtain credit elsewhere, and the event is declared a disaster by either the<br />

president or the secretary of agriculture, they may be eligible for:<br />

1. Farm Service Agency (FSA) (formerly FMHA) loans for physical/production losses to restore or<br />

replace damaged property.<br />

2. Emergency Conservation Program funds for erosion or debris damage to farmland.<br />

3. In addition, under a presidential declaration, producers may be eligible for:<br />

4. Temporary housing.<br />

5. Low-interest Small Business Administration (SBA) loans.<br />

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The county emergency board (CEB) is responsible for monitoring and assessing agricultural damage<br />

on the county level in connection with secretarial declarations. The CEB consists of representatives<br />

from the local Farm Service Agency (FSA), Cooperative Extension Service (CES), Natural Resources<br />

Conservation Service (NRCS), and Rural Development (RD) offices. In some cases, the U.S. Forestry<br />

Service (USFS), Animal and Plant Health Inspection Services (APHIS), or other USDA agencies<br />

may designate local representatives to serve on the board. The CEB provides reports to the state<br />

emergency board (SEB). The SEB is composed of the following agencies on the state level.<br />

a. Farm Service Agency (FSA)<br />

b. Animal and Plant Health Inspection Service (APHIS)<br />

c. Cooperative Extension Service (CES)<br />

d. Food and Consumer Service (FCS)<br />

e. Food Safety and Inspection Service (FSIS)<br />

f. Forest Service (FS)<br />

C. <strong>Disaster</strong> Designations:<br />

g. National Agricultural Statistics Service (NASS)<br />

h. h. Natural Resources Conservation Service (NRCS)<br />

i. Rural Development (RD)<br />

j. Rural Utilities Service (RUS)<br />

1. Presidential Declaration<br />

a. The governor must make a written request to the president in accordance with the<br />

provisions of the Robert T. Stafford <strong>Disaster</strong> Relief and Emergency Assistance Act<br />

when on-site inspections indicate a need for either a declaration for individual or public<br />

assistance. The Federal Emergency Management Agency (FEMA) is responsible for<br />

making recommendations to the president.<br />

b. If a presidential declaration is granted, assistance from USDA and SBA is automatically<br />

authorized.<br />

c. In the event a presidential declaration for individual and/or public assistance is not<br />

authorized, producers suffering agricultural damages may still be eligible for assistance,<br />

provided that a secretary of agriculture declaration is granted.<br />

2. Secretary of Agriculture <strong>Disaster</strong> Declaration: The secretary of agriculture may make a disaster<br />

declaration if there are severe production losses within a specific area which:<br />

a. The secretary determines that there has been a 30% loss county-wide in the normal<br />

year’s dollar value of a single enterprise.<br />

b. The secretary determines after exercising discretion that although the conditions set<br />

forth in (a) above have not been met, the unusual and adverse weather conditions or<br />

natural phenomena have resulted in such significant production losses or have produced<br />

such extenuating circumstances as to warrant a finding that a natural disaster has<br />

occurred. In making this determination, the secretary may request the FSA administrator<br />

to provide for consideration of such factors as the nature and extent of production<br />

losses; the number of farmers who sustained qualifying production losses; the number<br />

of farmers in the county that lenders indicate they will not be in a position to finance;<br />

whether the losses will cause undue hardships to a certain segment of farmers in the


Page | 66<br />

county; whether damage to particular crops has resulted in undue hardships; whether<br />

other federal and state benefit programs, which are being made available due to the<br />

same disaster, will consequently lessen undue hardship and the demand for emergency<br />

loans; and other factors considered relevant. The secretary will consider this information<br />

in deciding whether a natural disaster has occurred.<br />

3. Designation by FSA administrator: The administrator for the FSA has the authority to designate<br />

parishes as a natural disaster area when the losses are only physical. The FSA director initiates<br />

the request.<br />

D. Request procedures for a secretary of agriculture designation:<br />

1. Within 24 hours of the occurrence of a natural disaster, the county emergency board (CEB)<br />

prepares a “flash report” and submits it to the state emergency board (SEB). This report serves<br />

as an alert to SEBs and Washington of a possible disaster situation.<br />

2. If the damage is substantial and warrants the need for implementation of programs, the<br />

SEB will require completion of the damage assessment report (DAR) by the CEBs who have<br />

determined that their county has suffered qualifying losses.<br />

3. The CEB will meet and determine if the county has experienced qualifying losses. The<br />

assessment of losses will be based on the on-site inspections, knowledge of CEB members,<br />

and any other information available. Farmers, ranchers, and aquaculture operators may report<br />

any losses to any local CEB member.<br />

4. Upon receipt of DARs, the SEB will review the reports and make recommendations to the<br />

governor. This request will be forwarded directly to the governor’s office with copies to<br />

the state department of agriculture, the state emergency management agency, and the<br />

Washington FSA office. Simultaneous with the request to the governor’s office, FSA will<br />

provide damage assessment information to the national office. If any DAR indicates that<br />

a particular county did not sustain qualifying losses, but did have individual farmers who<br />

experienced qualifying losses, the SEB will ask that the governor request the secretary of<br />

agriculture to use his discretionary authority as stated in the secretary of agriculture disaster<br />

declaration.<br />

5. The governor’s request to the secretary of agriculture must be made within three months of<br />

the last day of the disaster.<br />

6. Notification of the designation will be made to the following:<br />

1. Governor state emergency management office.<br />

2. FSA National Office.<br />

3. FSA state office: FSA state director shall notify the national congressional delegation<br />

of the affected area of the designation.<br />

4. State emergency management office, which should notify the state legislative<br />

delegation.<br />

E. Noninsured Assistance Program (NAP):<br />

The Noninsured Assistance Program (NAP) exists for crop losses that are not covered by the Federal<br />

Crop Insurance Program. It requires a recommendation from the county committee and state<br />

committee to the administrator of the Farm Service Agency. The area affected by this disaster must<br />

be 320,000 acres or an entire county.<br />

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National Flood Insurance Program (NFIP)<br />

A. Established by Congress in 1968 to enable property owners in participating communities to purchase<br />

flood insurance to be deposited into a fund to cover eligible flooding losses in the future.<br />

B. The community must agree to adopt and enforce a floodplain management ordinance to reduce<br />

future flood risk to new construction in the floodplain.<br />

C. Flood insurance is designed to provide an insurance alternative to disaster assistance to reduce the<br />

escalating repair costs caused by floods.<br />

D. Major components of the program are:<br />

1. Identifying and mapping flood-prone communities,<br />

2. Requirement for communities to adopt and enforce floodplain regulations,<br />

3. Provision for Flood insurance including mandatory purchase requirements,<br />

4. Community Rating System (CRS)<br />

5. Flood Mitigation Assistance (FMA) program<br />

E. FEMA Policy Statement on Market Value of Substantial Damage to Structures: If a building has been<br />

damaged to 50% of its market value (substantially damaged), the building’s lowest floor must be<br />

elevated to or above the 100-year flood level in the repair and restoration process. FEMA’s guidance,<br />

to use replacement cost to estimate market value, is not a request to communities that they change<br />

their rules or practices, only an option to be given by FEMA region staff that replacement cost is<br />

another method for estimating market value that can be used if a community chooses to do so.<br />

The guidance is not to be offered when prohibited by state law. The use of the policy by communities<br />

is in recognition of post-catastrophic settings involving widespread devastation and massive<br />

rebuilding efforts in which:<br />

1. Building reconstruction and permit demands are overwhelming.<br />

2. There is disruption in local supply and demand forces, which drives reconstruction costs to<br />

abnormally high levels.<br />

The guidance recognizes that market value determinations by local officials are based upon a<br />

number of criteria for estimating value. There is no one consistent standard for estimating value.<br />

Market value estimates can be derived from:<br />

a. Appraisals by professional appraisers.<br />

b. Estimates of the structure’s replacement cost or actual cash value.<br />

c. Tax assessment property appraisals.<br />

d. NFIP flood claims data.<br />

e. Qualified estimates by a local building department or tax assessor’s office staff (a<br />

judgment call).


Page | 68<br />

Public Assistance (PA)<br />

Public assistance is supplementary federal assistance provided under the Stafford Act to state and local<br />

governments or certain private, nonprofit organizations other than assistance for the direct benefit of<br />

individuals and families.<br />

The reimbursement program provides funding on a percentage basis to eligible disaster applicants who have<br />

suffered damages as a result of a presidentially declared disaster and whose damages are within an area<br />

authorized for public assistance (PA). Funding under this program is limited to repairing/restoring damaged<br />

items or facilities to their pre-disaster condition and will only be provided once all other means of funding<br />

have been exhausted.<br />

A public facility includes the following facilities owned by a state or local government: any flood control,<br />

navigation, irrigation, reclamation, public power, sewage treatment and collection, water supply and<br />

distribution, watershed development, airport, non-federal aid road, building, structure, or park.<br />

A public entity means an organization formed for a public purpose whose direction and funding are<br />

provided by one or more political subdivisions of the state.<br />

Eligible applicants under the public assistance program are:<br />

A. State agencies and local governments.<br />

B. Private nonprofit (PNP) organizations or institutions which own or operate a private nonprofit facility<br />

that provides an essential government service to the general public and has an IRS tax exemption<br />

letter or a state (PNP).<br />

C. Indian tribes or authorized tribal organizations.<br />

Public assistance initially is administered through the disaster joint field office (JFO) and consists of two<br />

main types of work:<br />

A. Emergency<br />

B. Permanent<br />

Emergency work means work which must be done immediately to save lives and to protect improved<br />

property and public health and safety, or to avert or lessen the threat of a major disaster. The two categories<br />

of emergency work are:<br />

A. Category “A” Debris Clearance, on public roads and streets including rights of way, public property,<br />

and private property in some cases.<br />

B. Category “B” Emergency Protective Measures, to save lives, to protect public health and safety, and<br />

to protect improved property.<br />

Permanent work means restorative work that must be performed through repairs or replacement, to restore<br />

an eligible facility on the basis of its pre-disaster design and current applicable standards. When evaluating<br />

permanent work, the following considerations must be included:<br />

A. Repair work damages must be less than 50% of the replacement cost.<br />

B. Replacement is allowed only if the damages are more than 50% and when the total project is cost<br />

effective and approved by FEMA application of current standards.<br />

C. Floodplain management evaluation.<br />

D. Hazard mitigation possibilities.<br />

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1. The five categories of permanent work are:<br />

a. Category “C” Road and Bridge Systems include roads, bridges and drainage components<br />

such as road bases, traffic controls, streets, culverts, shoulders, ditches, engineering and<br />

design, decking, abutments, wing-walls, approaches, piers, cross drains and low-water<br />

crossings.<br />

b. Category “D” Water Control Facilities include flood control, drainage channels, irrigation<br />

facilities, levees, dams, reservoirs, seeding and sodding in disturbed areas, manmade<br />

sand dunes, bulkheads, and sea walls.<br />

c. Category “E” Public Buildings & Equipment include restoration, replacement, and<br />

relocation of buildings, supplies, and equipment.<br />

d. Category “F” Public Utility Systems include public electrical, water, gas, sewer, waste<br />

treatment, and irrigation facilities.<br />

e. Category “G” Park/Recreation & Other (PNP Excluded) include playgrounds, swimming<br />

pools, ballparks (including fences, lighting, and scoreboards), cemeteries, trees, grass,<br />

and in some cases beaches.<br />

Public Assistance Eligibility<br />

A. Applicant Eligibility<br />

1. The following are eligible applicants:<br />

a. State governments<br />

b. Local governments<br />

c. Indian tribes and Alaska native villages<br />

d. Private nonprofit (PNP) facilities means any private nonprofit educational, utility,<br />

emergency, medical, or custodial care facility, including a facility for the aged or<br />

disabled, and other facility providing essential governmental type services to the general<br />

public. 44 CFR 206.221(e) further defines private nonprofit facility. PNPs not falling<br />

within the listed criteria must:<br />

(1) Apply with the Small Business Administration and<br />

(2) Be declined for SBA Loan assistance prior to filing for FEMA assistance.<br />

A private nonprofit (PNP) organization must have an IRS letter of tax exemption under Section 501 (c), (d),<br />

or (e) or satisfactory evidence from the state that the nonrevenue producing organization or entity is a<br />

nonprofit one organized or doing business under state law.<br />

General Work Eligibility<br />

(1) To be eligible for financial assistance, an item of work must:<br />

1. Be required as the result of the emergency or major disaster event.<br />

2. Be located within the designated are of a major disaster or emergency declaration, except that<br />

sheltering and evacuation activities may be located outside the designated area.<br />

3. Be the legal responsibility of an eligible applicant.


Page | 70<br />

A. Emergency Protective Measures<br />

1. Measures to eliminate or lessen immediate threats to life, public health, and safety are eligible.<br />

2. Measures to eliminate or lessen immediate threats of damage to improved property are<br />

eligible.<br />

3. An immediate threat is from an event which can reasonably be expected to occur within one<br />

year.<br />

4. Documented security activities of the National Guard may be eligible.<br />

5. Other activities of the National Guard or prison inmates doing eligible project work may be<br />

eligible when records document the eligible work.<br />

B. Permanent Restoration<br />

1. Immediate pre-disaster design and use.<br />

2. Applicable standards that:<br />

a. Are in writing and adopted before project approval.<br />

b. Apply uniformly to all similar types of facilities and work regardless of the funding<br />

sources.<br />

c. Apply to bridge or road standards no longer in use. FEMA will defer to the local<br />

standard.<br />

If FEMA requires any hazard mitigation measure in the restoration, its cost for permanent work damage may<br />

be eligible for 75%-25% assistance. These measures are part of Section 406 Hazard Mitigation Assistance.<br />

Replacement of a facility is eligible when it is 50% damaged. Relocation may be requicosts and cost may be<br />

eligible, including land if the overall project is justified.<br />

When a facility is under construction at the time of the disaster, any part of the facility is still the<br />

responsibility of the contractor and will not be eligible.<br />

A. Categories of Work for Public Assistance Eligibility – General<br />

1. Ownership - Damaged facility is owned by a local government or eligible private nonprofit<br />

organization. When a leased facility is damaged, the lease contract must specify that the<br />

applicant has repair responsibility. Attach a copy of the lease to the project worksheet (PW).<br />

2. Location – The damaged facility must be located within the designated disaster area.<br />

3. Time of Damage – The damage had to be caused by the disaster during the incident period<br />

and did not occur before or after the official incident period.<br />

4. Cost Minimum – Each damaged site must exceed $1,000 in total estimated repair cost.<br />

5. Facility Use – The facility must have been in active use when the damage occurred.<br />

6. Insurance – Repair costs covered by insurance are not eligible. Total repair costs are reduced by<br />

the amount of insurance coverage. Deductible and depreciation are eligible.<br />

7. Flood damage to an insurable structure occurring within the 100-year flood zone is reduced<br />

by the amount of flood insurance coverage or the maximum amount that would have been<br />

available if insured.<br />

8. General hazard insurance commitment required the amount of damages when repair costs<br />

exceed $5,000.<br />

9. Other Federal Agencies – Damage is not eligible for FEMA funding when under other federal<br />

programs.<br />

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Page | 71<br />

10. Maintenance – Normal or heavy maintenance, such as potholes, surface ruts, routine pulling<br />

of ditches, and minor gravel replacement, is not eligible. All eligible damages must exceed<br />

maintenance levels. Deferred maintenance and repairs such as rotted timber, deteriorated<br />

asphalt, leaking roofs, etc., are not eligible.<br />

11. Negligence – Damage was not caused by negligence of applicant.<br />

12. Idle Equipment Time – Not eligible. Actual working time of equipment is what counts, and not<br />

that it was sitting at a job site all day. Equipment hours are compared to operator hours and<br />

the amount of repair to be accomplished.<br />

13. Salary – Regular salary is only eligible for Category C-G work items and not eligible for<br />

Category A and B work items. Administrative personnel are usually not eligible. Overtime and<br />

compensatory time are eligible in accordance with the established policy of the applicant.<br />

Compensatory time is eligible at regular rates, but must be a part of the official timekeeping<br />

system. Fringe benefits on force account labor are eligible when the salary is eligible and<br />

are based on a percentage of direct labor. Fringe benefits will be different for regular and<br />

overtime. Volunteer labor is not eligible. When using FEMA equipment rates, do not include<br />

mechanics’ time. equipment rates include maintenance costs.<br />

14. Private nonprofit facilities – To be eligible, all private nonprofit facilities must be owned and<br />

operated by an organization meeting the definition of a private nonprofit organization as per<br />

44 CFR, Part 206.221(f): “any nongovernmental agency or entity that currently has:<br />

a. An effective ruling letter from the U.S. Internal Revenue Service, granting tax exemption<br />

under sections 501(c), (d)m or (e) of the Internal Revenue Code of 1954, or<br />

b. Satisfactory evidence from the state that the non-revenue-producing organization or<br />

entity is a nonprofit one organized or doing business under state law.”<br />

15. Facilities serving a rural community or unincorporated community or unincorporated town or<br />

village. To be eligible for assistance, a facility not owned by an eligible applicant, as described<br />

in Part 206.222, must be owned by a private nonprofit organization and provide an essential<br />

governmental service to the general public. Applications for these facilities must be submitted<br />

through a state or political subdivision of the state.<br />

16. Mobilization and demobilization of equipment brought to and returned from a project site are<br />

eligible costs.<br />

Public Assistance Project Category Descriptions<br />

A. Category A Debris Removal (44 CFR 206. 224)<br />

1. Debris on Public Property - Eligible debris removal activities include the clearance of trees<br />

and woody debris; building wreckage; sand, mud, silt, and gravel; vehicles; and other disasterrelated<br />

material.<br />

2. Debris on Private Property - Eligible for removal if it presents a safety or health hazard (such as<br />

fire or insect infestation). Ineligible under most other conditions. Normally requires the owner<br />

to move the debris to the right-of-way (ROW) and a hold harmless agreement.<br />

3. Debris on Federal Aid System (FAS) roads - Eligible for removal if FHWA is not active early in<br />

the disaster.<br />

4. Garbage Pickup - Cutoff date is the end of the period of incidence. After that date only the<br />

material exceeding the average garbage pickup volumes is eligible. Only disaster generated<br />

debris is eligible. Routine garbage pickup is not eligible.


Page | 72<br />

5. Idle Equipment Time - Idle or standby time is not eligible. Total equipment hours should be<br />

compared to actual personnel hours.<br />

6. High-Paid Personnel - Specialists such as electricians should not be paid to remove debris.<br />

Their hours can be used with an average pay rate for all other workers expected to be<br />

performing that type of work.<br />

7. Compensatory Time - If compensatory time is given in place of overtime, then that policy<br />

stands and overtime is not eligible. Compensatory time may be claimed for eligible overtime<br />

work, but it must be a part of the official timekeeping system.<br />

8. Mechanics - Time is not eligible. Equipment rates include costs.<br />

9. Tree Stumps and Root Systems - The removal is not eligible.<br />

10. Demolition of Public and Private Buildings - The buildings must be beyond repair. Private<br />

buildings must pose an immediate safety hazard.<br />

11. Removal of Emergency Levees - These costs are eligible only when the levees are removed to<br />

open roads or when in the public interest.<br />

12. Trees - Standing dead or dying trees and trimming of trees are not eligible. Hand labor for<br />

picking up small branches is not eligible.<br />

a. Debris Removal: Removal of debris from public and private lands and waters may be<br />

eligible when it is necessary to:<br />

(1) Eliminate immediate threats to life, public health, and safety on public or private<br />

property.<br />

(2) Eliminate immediate threats of significant damage to improved public or private<br />

property.<br />

(3) Ensure economic recovery of the affected community to the benefit of the<br />

community at large.<br />

(4) When debris is being removed from private property, clearance of the entire lot<br />

except for areas used for crops and livestock is eligible.<br />

(5) Mitigate the risk to life and property by removing substantially damaged<br />

structures and associated appurtenances as needed to convert property acquired<br />

through a FEMA hazard mitigation program to uses compatible with open space,<br />

recreation, or wetlands management practices. Such removal must be completed<br />

within two years of the declaration date unless FEMA extends this period.<br />

(6) Debris removal from private property. When it is in the public interest for an<br />

eligible applicant to remove debris from private property in urban, suburban, and<br />

rural areas, including large lots, clearance of the living recreational and working<br />

area is eligible except those areas used for crops and livestock or unused areas.<br />

(7) No assistance will be provided directly to an individual or private organization or<br />

to an eligible applicant for reimbursement of an individual or private organization<br />

for the cost of removing debris from their own property.<br />

B. Category B Emergency Protective Measures<br />

1. Emergency Protective Levees - These levees are eligible when built to protect life and<br />

property. Work by individuals to protect their own homes is not eligible.<br />

2. Sandbagging and Emergency Pumping - This expense is eligible. Bags furnished by the<br />

Corps of Engineers at a price are reimbursable. Pumping of private property is eligible only if<br />

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Page | 73<br />

pumping is widespread.<br />

3. Safety Barricades and Signs - This equipment and time is eligible. If the equipment is reusable,<br />

then salvage should be taken.<br />

4. Health and Safety Hazards - Removal of health and safety hazards is eligible. Items include<br />

draining trapped water, pumping of basements, and emergency access to private homes.<br />

Vector control must be pre-approved by the Federal Health Service and FEMA.<br />

5. Temporary Repairs - Emergency work such as a road detour at a damaged location, emergency<br />

repair to levees, temporary roof repairs to public buildings, rental of temporary facilities for<br />

public employees, and bypass at sewer breaks are eligible. Most temporary repairs costs in<br />

Categories C-G will be included with permanent work.<br />

6. Fixed Pumps - Costs of fixed-pump operations (labor, pumps, power) are eligible. Emergency<br />

pumping status will cease at flood stage. Repair of damage to such facilities will be under<br />

Category D. Do not deduct three-year average costs.<br />

7. Personnel Time - Regular time is not eligible for police, firefighters, and other disaster<br />

responders. Overtime is eligible if compensatory time is not an established policy and<br />

personnel are involved directly in disaster operations in the field. Personnel not directly<br />

involved in disaster operations are not eligible. Volunteer labor is not eligible. Reserves are<br />

eligible for overtime if the established policy is to pay them for overtime. Fringe benefits on<br />

force account labor are eligible for overtime hours. A copy of the applicants policy will be<br />

required.<br />

8. Food and Shelter - Eligible when provided by the subgrantee for victims.<br />

9. Idle Equipment Time - Not eligible. Actual equipment working time is what counts and not<br />

the time it is just sitting at a job site. Equipment and personnel hours should be compared to<br />

ensure accuracy.<br />

10. Vehicle Damage - Vehicles damaged or destroyed during search and rescue operations are<br />

eligible for repairs. Repairs caused by extraordinary use in search/rescue and flood fighting<br />

are eligible. Eligible cost of repairs may not exceed the depreciated value of the equipment.<br />

(Normal maintenance costs are not eligible.) If an applicant desires to replace a piece of<br />

damaged or destroyed equipment with new or better equipment, the FEMA assistance will<br />

normally be limited to the lesser of the following:<br />

a. The cost of repairs above less any insurance recovery.<br />

b. The Blue Book retail value of equivalent equipment, which is readily available within a<br />

reasonable time and distance.<br />

c. Equipment damage will be included with Category E items.<br />

In general, actions taken by applicants before, during, and after a disaster to save lives, protect<br />

public health and safety, and prevent damage to improved public and private property. Emergency<br />

communications, emergency access, and emergency public transportation costs may also be eligible.<br />

Examples of Eligible CAT B Items:<br />

1. Warning devices (barricades, signs, and announcements)<br />

2. Search and rescue<br />

3. Emergency medical care<br />

4. Security in disaster area (police and guards)<br />

5. Construction of emergency temporary levees


Page | 74<br />

6. Provision of shelters or emergency care<br />

7. Activation of state or local EOCs<br />

8. Sandbagging<br />

9. Bracing/shoring damaged structures<br />

10. Provision of food, water, ice, and other essential needs<br />

11. Emergency repairs to protect facilities from further damage<br />

12. Emergency demolition<br />

13. Removal of health and safety hazards<br />

Other Types of Emergency Work<br />

a. Emergency communications<br />

b. Emergency public transportation<br />

c. Building inspection<br />

d. Snow removal<br />

C. Category C Road Systems<br />

1. Repairs and Replacements - The damage must be directly related to the disaster. It cannot be<br />

a pre-existing condition nor caused by an event after the official period of incidence. Repairs<br />

to structures must be made when less expensive than replacement unless the structure is<br />

damaged greater than 50%.<br />

2. Road Repairs - On gravel roads, the base need not be damaged to be eligible for major gravel<br />

replacement. Loss of gravel must be evident. Potholes and rutted surfaces are not eligible.<br />

3. Maintenance - Routine and heavy maintenance is not eligible. Potholes and surface ruts are<br />

maintenance items and not eligible.<br />

4. Paving - Loss of paved surfaces is eligible. Alligator (cracked) surface is a sign of normal<br />

deterioration and is not eligible.<br />

5. Standards - Bridge and road standards that have been formally adopted and are in practice<br />

or adopted and placed in effect prior to project approval by the applicant are eligible. The<br />

standards must apply to work accomplished with applicant funds and not limited to that work<br />

receiving state and/or federal aid. Attach a copy of the standards and the council meeting<br />

minutes approving the standards to the project worksheet.<br />

6. Necessary Facilities - Facilities that are functional prior to the disaster and necessary to the<br />

community and local government are normally eligible.<br />

7. On-System Facilities - Facilities funded by other federal agencies, such as the Federal Highway<br />

Administration, are not eligible.<br />

8. Aesthetics - Aesthetic features are not eligible if they have no functional value. However, in<br />

some instances, limited landscaping may be eligible.<br />

9. Scheduled Replacement - Facilities are not eligible if scheduled for replacement within the next<br />

24 months.<br />

10. Culvert Washouts - Replace in-kind. Cleaning is routine maintenance. Look for hazard<br />

mitigation opportunities. Low water crossings are eligible.<br />

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D. Category D Water Control Facilities<br />

1. Levees and Dams - FEMA representatives write the PW, not the applicants. Reviewers will<br />

check with the Corps of Engineers (COE) and the Natural Resources Conservation Service<br />

(NRCS), formerly known as Soil Conservation Service (SCS), and if the damage falls within<br />

their authority, it is not eligible.<br />

2. Drainage Channels - Restore to pre-flood hydraulic capacity. The COE may be involved in some<br />

flood channels (not eligible). Manmade channels must show evidence of routine maintenance.<br />

Appropriate supporting documentation and statements should be included with PW.<br />

3. Natural Streams - Only debris that is foreign to that stream and constitutes an immediate<br />

threat to life and property is eligible. Usually, silt, sand, and boulders are not eligible. Debris<br />

located near bridges may be cleared upstream for 200 feet and downstream for 100 feet.<br />

Debris removal is a Category A item.<br />

4. Seeding and Sodding - Seeding is to be used in disturbed areas only. Sodding is to be used<br />

only in areas of high erosion that have been disturbed.<br />

5. Siltation - Amounts of siltation in catch basins and channels should be reduced to an amount<br />

that would ordinarily be expected since the last documented maintenance. A reservoir that<br />

has a remaining capacity which is several times the amount of debris that could be expected<br />

as a result of a major storm is not eligible for siltation removal. When it is documented that a<br />

portion of the siltation is the responsibility of the applicant, and a percentage portion of the<br />

siltation was the result of the disaster, FEMA will encourage the applicant to return the facility<br />

to design standard. This means that both FEMA and the applicant will pay the respective<br />

portions to return the facility to design. If 75% of a catch basin remains available, cleaning is<br />

not eligible.<br />

6. Dunes - Only manmade dunes that have been properly maintained are eligible.<br />

7. Shore Facilities - Bulkheads and sea walls are eligible if not covered under another federal<br />

program.<br />

8. Irrigation Facilities and Pumping Stations – Maintenance records or surveys must be provided<br />

to show the pre-disaster capacity. Facility must also have had a regular clearance schedule to<br />

be considered an actively used and maintained facility.<br />

E. Category E Public Buildings and Equipment<br />

1. Restoration - Buildings are to be restored to pre-disaster design capacity and function, in<br />

accordance with current codes and standards, if the estimated damages are less than 50% of<br />

the replacement cost.<br />

2. Replacement - If the estimated repair cost exceeds 50% of the estimated replacement costs<br />

and the applicant chooses to replace the facility, the replacement costs are eligible.<br />

3. Relocation - If the building is totally destroyed by a flood, then relocation from the flood plain<br />

must be studied.<br />

4. Use and Occupancy - The building must be in use prior to the disaster. If only part of the<br />

building was occupied at the time of the disaster, then the replacement will be made at the<br />

reduced size.<br />

5. Extensive Damages - Repairs are eligible when the building is structurally sound and feasible to<br />

repair. If not, the building should be replaced.<br />

6. Insurance - Inquire as to insurance presently in force. Insurance coverage pays first. Deductibles


Page | 76<br />

and depreciation are eligible. If repair costs exceed $5,000, a general hazard insurance<br />

commitment will be required equal to the amount of damages. Repair costs for flood damage<br />

occurring to buildings and/or contents within the 100-year flood zone will be reduced by the<br />

amount of flood insurance coverage or the maximum amount that would have been available if<br />

insured. Each structure is considered to be an independent project.<br />

7. Equipment - Office equipment and furniture should be replaced with used or surplus. Repair if<br />

feasible.<br />

8. Supplies - Consumable supplies replaced to pre-disaster quantities.<br />

9. Vehicles - One PW may be completed for all damaged vehicles. Special equipment such as<br />

two- way radios is eligible. Blue book prices should be used and salvage taken. Check for<br />

comprehensive insurance.<br />

10. Grounds - Damage to grounds around a building requires a separate PW.<br />

11. Cleaning - For buildings with light damage, cleaning and painting is eligible.<br />

12. Worship Facilities - Primarily for worship buildings are not eligible.<br />

F. Category F Public Utilities<br />

Utilities include water treatment plants and delivery systems; power generation and distribution<br />

facilities including generators, substations, and power lines; and sewage collection systems and<br />

treatment plants.<br />

1. Electrical Facilities - Restore to pre-disaster condition in the most economical manner. Extra<br />

pole structures are sometimes necessary to restore the pre-storm function when erosion<br />

or other factors have destroyed stream banks and other right-of-way areas where ground<br />

clearance must be maintained over longer distances. Repair of electrical distribution systems<br />

should be made with the same general type and size that previously existed. Repair or<br />

replacement of applicant owned measuring meters is eligible if damaged by the disaster.<br />

2. Sewer Collapse - Ground subsidence should be obvious.<br />

3. TV Inspection - Limited TV inspection is eligible when damage is apparent such as ground<br />

subsidence, backup, or stoppage. Use of TV inspection to search for problems is not eligible.<br />

TV inspection must be approved in advance by FEMA.<br />

4. Cleaning - Cleaning of sewer lines is eligible only when necessary to restore adequate<br />

functioning of the system in specific reaches, and when the blockage is directly related to the<br />

disaster.<br />

5. Revenues - Loss of revenues is not eligible. Added costs or charges for providing regular utility<br />

services are not eligible.<br />

6. Loss of Inventory - Loss of water purchased by eligible applicants is an eligible cost if such<br />

loss can be documented as having been caused by a break in a water line(s) as a result of<br />

a declared disaster, and the costs of the water have not been or will be passed on to the<br />

consumer.<br />

7. Emergency Hookups - Cost of emergency hookups such as tapping the water system of an<br />

adjoining community until normal facilities are operable is an eligible cost under Category B.<br />

8. How to become an eligible applicant - Facilities either (1) Belonging to a public entity, or<br />

(2) Serving a rural community or unincorporated town or village, or (3) Classified as private<br />

nonprofit (PNP) operation, and owned and operated by an organization meeting the definition<br />

of a private nonprofit organization in accordance with the provisions of 44 CFR, Part<br />

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206.221(f). The regulation states that a PNP means any nongovernmental agency or entity that<br />

currently has: (a) An effective ruling letter from the U.S. Internal Revenue Service, granting a<br />

tax exemption under the sections 501(c), (d) or (e), or (b) Satisfactory evidence from the state<br />

that a non-revenue producing organization or entity is a nonprofit one organized or doing<br />

business under state law.<br />

G. Category G Parks, Recreational, & Other<br />

1. Trees - Trees cannot be replaced on public property even when they have a functional value. In<br />

circumstances requiring erosion control measures, technical assistance should be requested.<br />

2. Grass - Disturbed areas can be reseeded to restore to the pre-disaster condition. Sodding will<br />

not be used except in rare cases where erosion control is essential.<br />

3. Damage Estimates - Each specific structure or damaged location within a park does not<br />

require its own project worksheet (PW). Similar work projects may be lumped together into<br />

one PW.<br />

4. Beaches - To be eligible, a beach must have been engineer designed, constructed, and<br />

regularly maintained in accordance with a nourishment plan prior to the disaster. Include<br />

documentation with the PW. Permanent restoration of the sand on natural beaches is<br />

not eligible. Emergency work under Category B may be eligible on an improved beach in<br />

accordance with the provisions of 44 CFR, Part 206.226(i):<br />

a. The beach was constructed by the placement of sand (proper grain size) to a designed<br />

elevation, width, and slope, and<br />

b. A maintenance program involving periodic re-nourishment of sand must have been<br />

established and adhered to by the applicant.<br />

5. Park Sites - Each specific structure or damaged site within a park does not require its own PW.<br />

Restoration of publicly owned recreational facilities damaged by a declared disaster that do<br />

not fit another category of damage, will be placed under Category G. Eligible publicly owned<br />

facilities include playground equipment, swimming pools, bath houses, tennis courts, boat<br />

docs, piers, picnic tables, and gold courses.<br />

6. Exclusions - Some operations and applicants that do not provide health and safety services<br />

of a governmental nature are not eligible for damages in this category. To be eligible, facilities<br />

must be open to the general public. Public facility means those owned by a state or local<br />

government and include: any flood control; navigation; irrigation; reclamation; public power;<br />

sewage treatment and collection; water supply and distribution; watershed development;<br />

airport facility; non-federal aid street or highway; and any other public building, structure, or<br />

system, including those used for educational, recreational, or cultural purposes, or any park.


Page | 78<br />

Section 406 – PA –– Hazard Mitigation<br />

Hazard mitigation measures consist of work that is above and beyond the work required to return the<br />

damaged facility to its pre-disaster design. Upgrades required to meet current codes and standards,<br />

however, are not considered hazard mitigation measures for the purposes of the PA program and have<br />

different eligibility criteria. Under the PA program, these elements can only be applied to the damaged<br />

element of a facility. For example:<br />

If floodwaters inundate a sanitary sewer, blocking manholes with sediment and damaging the manholes,<br />

cost-effective mitigation to prevent blockage of the damaged manholes in future events may be eligible.<br />

However, work to improve any undamaged manholes that are not part of the system is not eligible.<br />

A. For hazard mitigation measures to be approved, the measures must be reviewed by FEMA staff to<br />

ensure eligibility, technical feasibility, environmental and historical compliance, and cost effectiveness.<br />

The following considerations may affect the costs determination:<br />

1. HM measures may amount to up to 15% of the total eligible cost of the eligible repair work on a<br />

particular project.<br />

2. Certain HM measures may be determined to be cost-effective as long as the mitigation<br />

measure does not exceed the cost of the eligible repair work.<br />

3. For measures that exceed the costs of eligible repair work, the applicant must demonstrate<br />

through an acceptable benefit/cost analysis that the measure is cost effective.<br />

B. The following list includes examples of some Section 406 mitigation measures:<br />

1. Relocation of facilities from hazardous locations<br />

a. Roads and bridges<br />

b. Utilities<br />

c. Buildings<br />

2. Slope stabilization to protect facilities<br />

a. Placement of riprap<br />

b. Installation of cribbing or retaining walls<br />

c. Installation of soil retention blankets<br />

3. Protection from high winds<br />

a. Installation of shutters to protect windows<br />

b. Installation of hurricane clips<br />

c. Strengthening anchoring and connections of roof-mounted equipment<br />

4. Floodproofing of buildings<br />

a. Use of flood-resistant materials<br />

b. Elevation of mechanical equipment and utilities<br />

c. Elevation of buildings<br />

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5. Flood protection of bridges and culverts<br />

a. Use clear spans instead of multiple spans<br />

b. Installation of cut-off walls or headwalls on culverts<br />

c. Installation of riprap<br />

6. Seismic protection<br />

a. Bracing of overhead pipes and electrical lines<br />

b. Anchoring non-structural elements such as parapets and veneers<br />

c. Bracing interior walls and partitions<br />

7. Protection of utilities<br />

a. Use of disaster-resistant materials for power poles<br />

b. Anchoring fuel tanks to prevent movement<br />

c. Elevation of equipment, control panels, and electrical service to prevent flood damage<br />

C. Management and Administration of Public Assistance Work<br />

The primary responsibility for managing approved public assistance project worksheet reports (PWs)<br />

rests with the applicant (subgrantee). However, to ensure that the administration and management<br />

of those projects can be closed-out on a timely basis, the state (grantee) shall monitor all program<br />

activities for compliance.<br />

The subgrantee must maintain acceptable disbursement and accounting records to document and<br />

support work performed along with the cost incurred on each approved project. Each project PW<br />

shall have a folder to document the amounts claimed. In order to help organize the information<br />

needed to develop the PWs, the items listed on the next several pages should help develop each<br />

project.<br />

Specific Documentation Required<br />

Force Account - When the subgrantee uses its own equipment and materials to repair and/or restore the<br />

damaged facility or utility back to its pre-disaster condition. The records that should be included with the<br />

project include:<br />

A. Employees - Overtime (including police and firefighters) hours while performing eligible work must<br />

be shown. Regular time is not eligible for Category A and B work. The employers’ fringe benefits<br />

rate must be reduced to writing and computation shown. Eligible supervision costs are generally<br />

limited to working foreman level. If overtime is paid to management or salaried employees, these<br />

payments must be in accordance with a written policy that is in effect prior to the disaster. Note:<br />

(Compensatory time is eligible, but the policy must be in writing and in effect prior to the disaster.)<br />

B. Claims should contain:<br />

1. Name<br />

2. <strong>Disaster</strong> job classification- (Laborer, driver, etc.)<br />

3. Hours worked- (Hours each day including dates)<br />

4. Total hours (Total daily/weekly)


Page | 80<br />

5. Rate of pay (Without fringe Benefits)<br />

6. Total earnings (Include paycheck number)<br />

7. Fringe benefit percentage (Computed from formula)<br />

a. Equipment - Claims for the use of force account equipment on eligible disaster work<br />

must be documented on a schedule similar to that of the payroll and supported by<br />

work orders or equipment logs. Employees’ names can be used with equipment they<br />

exclusively used as a record of equipment time. Each piece of equipment must be<br />

identified as follows:<br />

(1) Type of equipment (complete description)<br />

(2) Equipment reference number<br />

(3) Dates / Number of hours used (List by day used)<br />

(4) Total hours used<br />

(5) Applicant or FEMA rates (whichever are less)<br />

(6) Total cost<br />

(7) No assistance will be provided directly to an individual or private organization or<br />

to an eligible applicant for reimbursement of an individual or private organization<br />

for the cost of removing debris from their own property.<br />

b. Materials - Claims must be broken down by project. The unit cost of material used from<br />

inventory must be supported by the invoice covering original purchase, applicants’ stock,<br />

or inventory card showing how the average price used was calculated. Only the actual unit<br />

cost paid will be reimbursed. New materials purchased must have a supporting invoice<br />

and identified as to the project referring to the scope of work.<br />

The invoice records should contain the following:<br />

(1) Vendor<br />

(2) Description<br />

(3) Quantity<br />

(4) Unit price<br />

(5) Total price<br />

(6) Date purchased<br />

(7) Check number (if for a single item)<br />

(8) Date used (including if item was purchased or used from stock)<br />

Note: Costs must be reasonable and necessary to accomplish eligible work and be in compliance with<br />

federal, state, and local laws and regulations. All credits must be deducted, such as: insurance proceeds,<br />

salvage, and purchase discounts. Claimed costs must not duplicate benefits from other federal agencies<br />

or programs.<br />

B. Contracts - This mechanism is used normally when a subgrantee does not have the necessary<br />

local resources to accomplish the approved “scope of work” (SOW). Contract costs incurred for<br />

approved eligible projects may include architect and engineering services necessary for the eligible<br />

work. Actual eligible costs under the terms of cooperative agreements between federal, state, and<br />

local governments are eligible. Preference should be given to local contractors when possible. The<br />

subgrantee must comply with 44 CFR Part 13 and 14 and applicable OMB circulars referenced in<br />

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Part 13 and competitive bidding must be used when required. Contracts under $10,000 will be in<br />

compliance with local requirements and those in excess of $10,000 will use competitive bidding.<br />

Those projects which are done by contract should have the following information:<br />

1. Copies of the request for bids<br />

2. Bid documents<br />

3. Bid summaries<br />

4. Contracts<br />

5. Invoices<br />

6. Daily inspection logs<br />

7. Issued checks (include copies of each)<br />

Changes in the project scope of work Scope of Work (SOW) must be pre-approved by the state and or<br />

FEMA, or they may become ineligible.<br />

C. Other Requirements - Documentation needed to support costs incurred from sources other than the<br />

subgrantee, or other political subdivisions for materials, equipment, and services. Invoices covering<br />

materials must describe the materials furnished, date furnished, where and/or how the material was<br />

used, quantity and unit cost, total cost of each item, and total amount of invoice applicable to the<br />

approved categories and projects.<br />

Only the unit cost to the supplier, with only handling and delivery added, will be paid. Earned cash<br />

discount (payment made without discount date indicated on invoice) must be deducted from the<br />

total of the invoice. Only the net amount may be claimed. The subgrantee must show on each invoice<br />

the date and amount paid, check or warrant number, or other evidence of cash payment.<br />

Volunteer labor and equipment are not eligible costs unless approved by FEMA.<br />

Invoices from other political subdivisions covering rental of publicly owned equipment (FEMA<br />

schedule of rates apply), materials, and labor must have the same details required for force account<br />

records.<br />

Equipment rented from a private owner, vendor, etc., the subgrantee must indicate on the invoice<br />

where and/or how the equipment was used. A copy of the rental agreement must be on file to<br />

support the subgrantee claim along with the following:<br />

1. Type of equipment<br />

2. Date(s) used<br />

3. Hours used<br />

4. Rate per hour – Indicate with/without operator<br />

5. Total cost<br />

6. Vendor<br />

7. Invoice number<br />

8. Date paid<br />

9. Amount paid<br />

10. Check number


Page | 82<br />

D. The completion deadlines are:<br />

1. Debris clearance - six months<br />

2. Emergency work - six months<br />

3. Permanent work - 18 months<br />

The grantee may authorize/impose lesser deadlines if appropriate and may also extend grant<br />

extensions should extenuating circumstances exist or if unusual project requirements are beyond the<br />

control of the subgrantee. All requests for time extensions must be submitted in accordance with the<br />

provisions of 44 CFR, Part 206.204(d) to the regional administrator. Requests for extensions are the<br />

responsibility of the subgrantee.<br />

Cost overruns may occur during the execution of approved work, the subgrantee may find project<br />

costs exceed the approved project estimates. Such cost overruns normally fall into three categories:<br />

a. Variations in the unit price(s)<br />

b. Change in the scope of eligible work<br />

c. Delays in completion of eligible work<br />

The subgrantee is responsible for evaluating each cost overrun and, when justified, submits a request<br />

for additional funding through the regional administrator in accordance with the provisions of 44<br />

CFR, Part 206.204(e). All requests shall contain sufficient documented justification to support the<br />

eligibility of all claimed work and costs. Normally, a review will not be conducted for an individual<br />

small project. When a subgrantee discovers a significant overrun related to the final cost for all small<br />

projects, the subgrantee may submit an appeal for additional funding within 60 days following the<br />

completion of all its small projects. This appeal should be included with the applicant’s submission of<br />

the final signed P.4.<br />

The grantee shall review the material submitted, make such additional investigations as necessary,<br />

and forward the request to the regional administrator with the grantee’s recommendation. When<br />

such a request is made, the subgrantee should be prepared for a complete project audit of all small<br />

projects.<br />

E. Documentation of Work<br />

Proper documentation of disaster recovery expenditures is necessary for work to be eligible for<br />

federal funds. Properly maintained records will help to avoid unnecessary difficulties in receiving those<br />

funds and assist with the close-out process.<br />

Generally, record keeping should include not only the specific documents to be identified herein, but<br />

also photographs and sketches for additional clarity.<br />

There are specific limitations in applying for federal disaster grants and for completing eligible<br />

restoration work. These items will be explained at the applicant’s briefing. Proper record keeping will<br />

provide a means of identifying the need for time extensions and supplemental funds. Cost overruns<br />

and the need for time extensions beyond the normal time allowance must be directed in writing to<br />

the governors authorized representative (GAR).<br />

Each applicant should establish a file system for all disaster-related work. A separate file should be<br />

created for each project worksheet (PW) and should include all supporting documents associated<br />

with the work project.<br />

It is essential to begin record keeping as soon as possible. If pre-disaster protective measures are<br />

taken, initiate this action immediately. If not, begin with the onset of a disaster. Some examples of<br />

documents that should be filed for contract work are:<br />

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1. Project worksheet (PW)<br />

2. Request for bid<br />

3. Bid documents<br />

a. Contracts<br />

b. Invoices submitted by the contractor<br />

c. Authorization for check issuance<br />

d. Copies of checks issued in payment<br />

e. For applicant’s own forces (force account) the project file folder should contain:<br />

4. Project worksheet (PW)<br />

5. Daily activity reports<br />

6. Applicant’s extracts from payrolls, with any cross-reference needed to locate original<br />

documents.<br />

7. A schedule of equipment used on the job with daily time sheets, if claimed.<br />

8. Summary of daily activity reports (such as Weekly or Biweekly)<br />

9. Invoices, warrants, and checks issued and paid for materials and supplies used.<br />

10. Inventory withdrawal forms for items taken from stock (inventory).<br />

All project file folders should contain a summary or worksheet that lists, with a brief description, the<br />

individual costs which make up the total claimed cost. The record keeping discussed here is offered<br />

as a suggestion and is presented to give an idea of the kinds of records that will be required during<br />

recovery from a presidential disaster declaration.<br />

If the applicant prefers to use their own system, it may be acceptable if the records are tied to specific<br />

projects. In order to be eligible for reimbursement, records must apply to and be identifiable as within<br />

the scope of work of a particular project.<br />

Establishing a record keeping system will provide an audit trail of expenditures and provide the<br />

documentation the reviewers and/or auditors will need to recommend prompt reimbursement of<br />

eligible recovery costs. Incomplete or improper records can lead to either partial or total loss of<br />

potential reimbursement funds.<br />

As work is completed in the various categories, the applicant is responsible for the final closeout.<br />

Once the s public assistance officer (PAO) confirms the applicant has completed the required work,<br />

the PAO will contact the applicant in order to schedule a “final close-out inspection” visit with the<br />

applicant. Once the final inspection has been completed, all outstanding claims associated with the<br />

project will be satisfied by FEMA.<br />

Small projects less than $1 million ( FY 22-23) may not require a federal or state final inspection unless<br />

there is a significant cost overrun (normally at least 10% of all small projects will be reviewed).<br />

The value for large/small projects will change each Oct. 1 based on the CPI.<br />

F. Filing<br />

It may be some time after the disaster before project worksheets (PWs) are prepared and provided<br />

to the applicant. In the meantime, emergency work must be accomplished. The problem is how<br />

to you keep a separate record of expenditures for each project when you do not know what each<br />

project will cover. One proven way is to establish, immediately after the disaster, a separate folder for


Page | 84<br />

each emergency work project that must be accomplished prior to receipt of the approved project<br />

application (this would include the reviewed PROJECT). If you have washout damage on three streets<br />

that must be repaired immediately, establish three separate folders.<br />

For building repairs (such as repairing roofs to prevent further rain damage), establish a folder for<br />

each building street location. In other words, set up a folder for each individual site damaged and one<br />

for each vehicle and building damaged.<br />

Eventually, the reviewed project worksheet reports will be provided to each applicant. At this time,<br />

the applicant makes sure that all work items related to the particular project are included in a<br />

single location file. All expenditures of wages, supplies and equipment on each Project must have<br />

appropriate supporting documentation. Missing and or lost documentation will result in reduced<br />

funding amounts. In accordance with FEMA guidelines, all requests for damage reimbursement must<br />

be supported by documented evidence. The applicant always maintains the original copy!<br />

1. Each project folder should contain:<br />

a. Pictures<br />

b. Invoices<br />

c. Daily activities reports<br />

d. Materials from stock (copy of inventory on hand at time of disaster)<br />

e. Rental/lease agreements<br />

f. Contract documents<br />

g. Detailed insurance information<br />

h. Field copy of project worksheet and attachments<br />

i. Approved project<br />

j. Fringe benefit<br />

k. Analysis<br />

l. Example<br />

m. Calculations<br />

John Smith works for the city and makes $20,800 per year. He receives two weeks’ vacation per<br />

year, and the city has nine paid holidays. The city pays an amount equal to 5% of his salary into a<br />

retirement system. The city also pays 7.65% of his salary to FICA (Social Security) and 1.30% for<br />

unemployment. The city pays $303.33 per month as its portion of Smith’s insurance. (Divide the<br />

monthly amount paid by the city by 173.33 hours per month to determine cost per hour; in this<br />

instance, $303.33/173.33 = $1.75/hr.).<br />

Because of his job, the city must pay the $7.50 per $100 earned into workers’ compensation. Fringe<br />

benefits for regular time are calculated as follows:<br />

1. Best pay rate would be ($20,800/2080 hrs.) = $10.00<br />

2. The amount of fringe benefit for vacation would be:<br />

a. 80 hours vacation/2080 = 3.85%<br />

3. The amount of fringe benefit for holiday time would be:<br />

a. 9 days x 8 hours = 72 hours/2080 = 3.46%<br />

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4. Retirement paid by city = 5%<br />

5. Social Security = 7.65%<br />

6. Unemployment = 1.30%<br />

7. Insurance paid by city = $1.75/$10.00 = 17.5%<br />

8. Workers’ comp = $7.50/$10.00 = 7.5%; no adjustment factors.<br />

Summary:<br />

a. Vacation 3.86%<br />

b. Holiday pay 3.46%<br />

c. Retirement 5.00%<br />

d. Social Security 7.65%<br />

e. Unemployment 1.30%<br />

f. Insurance 17.50%<br />

g. Workers’ comp 7.50%<br />

TOTAL 46.26%<br />

The percentage of fringe benefits for regular time is 46.26%.<br />

To determine the percentage of fringe benefits for overtime, subtract the percents calculated for<br />

vacation (3.85%), holiday pay (3.46%) and insurance (17.5%). Overtime fringe benefit would be 21.45%.<br />

(If retirement is based solely on regular salary, that percentage also should be subtracted.)<br />

G. Important Record-Keeping Forms<br />

There are numerous forms and documentation that must be completed and maintained in order to<br />

support the work accomplished supporting the particular eligible public assistance (PA) project.<br />

These forms may change as well as some of the supporting documentation requirements and will be<br />

reviewed during the kickoff meeting with each applicant.<br />

1. Project Worksheet – FEMA Form 90-91<br />

This report is designed to organize expenses and relate those expenses to a particular project.<br />

The instructions are located on the back of the form. These forms are available upon request<br />

from the State, FEMA, or your IEM representative.<br />

2. Project Worksheet – Damage Description and Scope of Work Continuation Sheet<br />

a. Project worksheet – photo sheet<br />

b. Project worksheet – maps and sketches sheet<br />

c. FEMA Form 90-128: Applicant benefits calculation included regular and overtime fringe<br />

benefit rate sheet/instructions<br />

d. Force account labor summary record/instructions<br />

e. Force account equipment summary record/instructions<br />

f. Materials summary record/instructions<br />

g. Rented equipment summary record/instructions<br />

h. Contract work summary record/instructions


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i. Special considerations questions<br />

j. Public assistance appeal procedure<br />

k. Project listing (P.4)<br />

l. Request for public assistance (RPA) FEMA Form 90-49:<br />

m. Final inspection/review and audit<br />

n. Small and large project amounts are based on the Consumer Price Index (CPI) and are<br />

subject to change.<br />

For Projects Under $1 $1 Million<br />

In August 2022, FEMA published a final rule to increase the established threshold for small project maximum<br />

for the agency’s public assistance (PA) program to $1 million (small project). The increased threshold<br />

reduces the administrative burden on state, local, tribal, or territorial (SLTT) governments and private<br />

nonprofit (PNP) organizations receiving FEMA financial grants following a disaster. A small project has costs<br />

below the threshold, while a large project has costs equal to or above the $1 million threshold (large project).<br />

Requirements<br />

A. Applicability: This policy applies to all PA small projects funded under major disasters and<br />

emergencies declared on or after the date of issuance. It applies to Stafford Act Sections 403, 406,<br />

407, and 502. It does not apply to management costs funded under Stafford Act Section 324 or<br />

donated resources.<br />

B. Documentation Requirements: FEMA is streamlining documentation requirements for small projects<br />

to include acceptance of applicants’ self-certified estimates and summary information for eligible<br />

facility, work and cost as outlined in Section C and in accordance with all laws, regulations, executive<br />

orders, and policies in lieu of providing more detailed documentation.<br />

C. Minimum Small Project Information Requirements: FEMA will accept eligible applicants submitting<br />

summary documentation and less information for small projects. Applicants must continue to retain<br />

all source documentation, including project eligibility records and financial records, for three years<br />

after the date the recipient submits to FEMA certification of completion of the last small project.<br />

The recipient must keep all financial and program documentation for three years after the date it<br />

submits the final SF-425 in accordance with 2 C.F.R. § 200.334 and access to records will be provided<br />

upon request in accordance with 2 C.F.R. § 200.337. SLTT government laws may require longer<br />

retention periods. Real property and equipment disposition, audits, and litigation may also require<br />

longer retention periods. If requested, applicants must provide documentation to FEMA. Recipients<br />

may require documentation not otherwise required by FEMA (such as actual cost documentation for<br />

small projects). In such cases, the applicant must provide the documentation to the recipient.<br />

D. Cost Estimates - To streamline the application process for small projects, FEMA does not adjust<br />

estimated costs to the actual incurred amount. Once the estimated amount is obligated, FEMA<br />

considers it reasonable and eligible and does not re-evaluate the cost if there is no evidence of fraud,<br />

waste or abuse, and the applicant complies with federal grant conditions.<br />

1. Completed work - FEMA may accept certified cost estimates for projects that have all work<br />

complete in cases where applicants are unable to compile actual costs within a reasonable<br />

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time frame, or when applicants have not yet received final invoices. FEMA does not develop<br />

estimates for completed work.<br />

2. Applicant-provided estimates - To streamline the process for small projects, FEMA will accept<br />

the applicants providing certified cost estimates. The applicant’s itemized cost estimate must<br />

include information to support the estimate and certify that the costs claimed directly correlate<br />

to work required to address major disaster and emergency related impacts in the project<br />

application. FEMA may use the cost estimating format (CEF) on small projects as necessary<br />

due to project complexities.<br />

a. Completed or partially completed work may be estimated based on an extrapolation of<br />

known actual costs.<br />

b. Employee labor costs for applicants’ force account labor estimates may be accepted<br />

based on summary information instead of providing detailed documentation (e.g., time<br />

sheets, labor rates). Estimates may be calculated based on the actual or estimated total<br />

number of staff and total hours with average pay rates. Average rates may only be used<br />

for employees at similar pay grades and same category of employee (i.e., permanent fulltime<br />

vs. part-time vs. temporary hire). Applicants should include fringe benefits as part<br />

of the labor estimate. Fringe benefits may be calculated based on a percentage of the<br />

hourly pay rate.<br />

c. Equipment and supplies cost estimates for purchased equipment or supplies may be<br />

accepted based on purchase orders, rental agreements, or the lowest of three quotes.<br />

Items that meet the PAPPG definition of equipment must include a reduction for<br />

depreciation or fair market value (estimated or actual) at the time the equipment is no<br />

longer needed. For small projects, fair market value and the associated reduction are<br />

addressed during project formulation. To calculate depreciation or fair market value,<br />

the date used to determine when equipment is no longer needed is based on the work<br />

completion deadline. For force account equipment, the estimate should be based on<br />

usage hours and applicable equipment rate. No reduction is taken for supplies for small<br />

projects during project formulation because the quantity of supplies for which funding is<br />

eligible is an amount that is necessary and reasonable, and the estimate is based on the<br />

aggregate unused supplies not exceeding $5,000.<br />

d. Contract costs are typically calculated based on a bid or contract amount obtained<br />

from a competitive procurement process. If a request for proposals has not yet been<br />

issued, contract work may be estimated based on historical costs or another applicant’s<br />

costs for projects that are similar in size and scope of work (e.g., similar quantities and<br />

types of debris, materials costs, and other factors). All small projects must comply with<br />

procurement and contracting laws and regulations. In instances where Applicants submit<br />

cost claims based on noncompetitive bids or contracts, time and materials contracts, or<br />

cost plus percentage-of-cost or percentage-of-construction contracts, FEMA will review<br />

the project for reasonable cost and procurement and contracting compliance.<br />

e. Construction estimates and summaries are permitted based on the below criteria. FEMA<br />

does not conduct additional cost validation or reasonable cost analysis unless there are<br />

scope of work (SOW) concerns or evidence of inaccurate information. When applicants<br />

provide estimates for construction work in accordance with the following criteria, the<br />

construction estimate must be:


Page | 88<br />

(1) Prepared by a licensed professional engineer or other estimating professional,<br />

such as a licensed architect or certified professional cost estimator who certifies<br />

the estimate was prepared in accordance with industry standards.<br />

(2) Based on a component-level scope of work that is clearly attributable to the<br />

disaster-related damage with a level of detail sufficient to validate that cost<br />

elements are neither omitted nor duplicated.<br />

(3) Accompanied by certification that the estimated cost directly corresponds to the<br />

repair of damage caused directly by the declared major disaster or emergency.<br />

(4) Based on unit costs for each component of the SOW and not a lump sum amount;<br />

or a bid or contract amount obtained from a competitive procurement process (if<br />

bid/contracting process has occurred). If the applicant plans to conduct any work<br />

with employee labor, the estimate must be developed based on the language in<br />

Sections C.2 (b) and (c), not (d) or (e) above.<br />

f. Post Award Monitoring<br />

(1) Audits: FEMA may adjust funding for small projects due to audit findings.<br />

Recipients and subrecipients are subject to federal and non-federal audits. A<br />

recipient or subrecipient that expends $750,000 or more in federal awards during<br />

its fiscal year must have a single or program-specific audit conducted<br />

for that year in accordance with 2 C.F.R. § 200.501. Additionally, recipients and<br />

subrecipients must have records available for review by SLTT auditors, FEMA, the<br />

U.S. Department of Homeland Security’s Office of Inspector General, or the U.S.<br />

Government Accountability Office. Monitoring and oversight requirements<br />

in connection with recipient compliance with federal civil rights laws are also<br />

authorized pursuant to 44 C.F.R Part 7. 3.<br />

(2) Payment Validation: FEMA may request documentation to validate recipient<br />

payment to the subrecipient on individual small projects under the Payment<br />

Integrity Information Act of 2019. The SLTT will follow its applicable laws and<br />

regulations for payment processing. 4. Sampling: FEMA may implement sampling<br />

procedures in order to evaluate the accuracy of estimates for small projects. Such<br />

reviews will not change the amount of funding awarded for individual projects but<br />

will be utilized to assess cost estimating processes under simplified procedures.<br />

FEMA reserves the right to conduct further review should there be audit findings<br />

as a result of the sampling procedures.<br />

g. Post Award Change(s) in Scope or Costs<br />

Once FEMA awards a small project, FEMA does not adjust the estimated cost or approved<br />

amount of an individual small project unless it is for one of the reasons listed below.<br />

This applies even when FEMA obligates the project based on an estimate and the actual<br />

project costs for completing the eligible scope of work differ from the estimated amount.<br />

FEMA only adjusts the approved amount on individual small projects for the following<br />

reasons: 1. The subrecipient did not complete the approved scope of work; 2. FEMA<br />

approves a change in scope of work, including any additional hazard mitigation; 3. The<br />

subrecipient received funding not previously deducted to prevent a duplication of benefits<br />

(e.g., when actual insurance proceeds exceed the estimated amount deducted); 4. When<br />

actual insurance proceeds are less than the estimated amount deducted; 5. Errors or<br />

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omissions; 6. Hidden damage; 7. Non-compliance with applicable laws, regulations, and<br />

executive orders; or 8. Fraud, waste, or abuse. In these cases, FEMA only adjusts the cost<br />

for the specific item(s) adjusted. FEMA will adjust the project size classification based on<br />

adjusted cost estimates for the project. FEMA must provide the required congressional<br />

notification under section 507 of the DHS Appropriations Act for any projects that equals<br />

to or exceeds $1 million.<br />

h. Simplified Closeout<br />

FEMA reconciles all small projects based on accepted certified summaries provided by<br />

recipients. To close small projects, the recipient must submit a small project completion<br />

certification and certify that:<br />

The subrecipient completed the approved SOWs for all of its small projects in accordance<br />

with the FEMA-state/territory/tribe agreement; and<br />

It made all payments in accordance with the FEMA-state/territory/tribal agreement<br />

(44 C.F.R. § 206.205(a). The applicant must provide documentation to substantiate<br />

final actual insurance proceeds and any other sources of funding that may duplicate<br />

FEMA PA funding. Applicants must provide documentation to show that they have<br />

obtained insurance and complied with all EHP conditions. Non-compliance with any<br />

applicable federal and SLTT laws, regulations, and EOs may result in adjustment, denial, or<br />

deobligation of funding.<br />

Post Award Monitoring<br />

I. LARGE PROJECT QUARTERLY REPORTS<br />

The Large Project Quarterly Progress Report (QPR) is a tool for FEMA and the recipient to track the<br />

progress of large projects. FEMA requires the recipient to report on the status of all open large projects on a<br />

quarterly basis. Recipients must submit QPRs to FEMA no later than 30 days after the end of each quarter.<br />

The subrecipient must submit the following for each incomplete large project on a quarterly basis:<br />

A. Total expenditures to date.<br />

B. Status of the project (either construction phase or percent complete).<br />

C. Whether the work is complete.<br />

D. Projected or actual work completion date.<br />

E. Any circumstances that could delay the project.<br />

In addition to verifying and submitting the subrecipient’s information above, the recipient must submit the<br />

following for each open large project on a quarterly basis:<br />

1. Total amount disbursed to the subrecipient.<br />

2. Whether final payment was made.<br />

3. Whether time extensions were approved; and<br />

4. Latest approved work completion deadline.


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II. DEADLINES FOR SUBMITTING QUARTERLY REPORTS<br />

Quarter Dates Deadline<br />

1 Oct. 1 – Dec. 31 Jan. 30<br />

2 Jan. 1 – March 31 April 30<br />

3 April 1 – June 30 July 30<br />

4 July 1 – Sept. 30 Oct. 30<br />

Final Reconciliation and Closeout<br />

A project transitions to the final reconciliation and closeout within 90 days of work completion. This phase is<br />

the final phase of the PA program delivery and includes closing projects, subrecipients, and recipients.<br />

To initiate project-level closeout, the subrecipient informs the recipient that its project is compete and<br />

certifies to work completion with the date work was completed.<br />

A. Large Projects: FEMA approves closeout of large projects individually, as each is completed. Prior to<br />

closing large projects, FEMA:<br />

1. Verifies there are no outstanding appeals or arbitration cases that warrant leaving the project<br />

open.<br />

2. Reviews invoices and other documentation related to the work performed to validate it was<br />

consistent with the approved SOW, including completion of any approved PA mitigation.<br />

3. Determines whether the subrecipient completed the work within the approved deadline (FEMA<br />

limits reimbursement to cost incurred within the deadline).<br />

4. Ensures no duplication of funding exists (e.g., with insurance or costs in any other related<br />

projects).<br />

5. Validates compliance with two C.F.R. cost principles.<br />

6. Validates compliance with all terms and conditions of the award.<br />

7. FEMA reviews and verifies the accuracy of the actual costs and evaluates and reconciles any<br />

cost overruns or underruns. For projects with funding changes, FEMA prepares a project<br />

amendment and obligates additional funds or reduces funding based on actual costs to<br />

complete the eligible SOW.<br />

Once FEMA completes its review and funding adjustments, FEMA approves closeout of<br />

the project and notifies the recipient in writing.<br />

B. Small Projects: To close small projects, the recipient submits a small project completion certification<br />

and certifies that:<br />

1. The subrecipient completed the approved SOW for all of its small projects in accordance with<br />

the FEMA-state/territory/tribe agreement.<br />

2. It made all payments in accordance with the FEMA-state/territory/tribe agreement.<br />

Once FEMA receives a small project completion certification from the recipient and completes the necessary<br />

review, FEMA approves closeout of the respective small projects and notifies the recipient in writing.<br />

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Reconcile and Close PA PA Prime Award<br />

Once FEMA has closed all projects and subrecipients, the recipient must submit its final federal financial<br />

report with a written request to close the PA prime award. FEMA PA and grants management staff<br />

coordinate with the recipient to certify that all work was completed and all eligible costs have been<br />

reimbursed and financially reconciled. For incidents declared after Nov. 12, 2020, the recipient must liquidate<br />

all obligations within 120 days of the end of the prime award period of performance.<br />

Review and Audit<br />

A. Audit and Investigations<br />

In accordance with 44 CFR, Part 206.16, FEMA or state auditors, the GAR, the administrator, the<br />

regional administrator, the assistant administrator for the disaster assistance directorate, the DHS<br />

inspector general, and the comptroller of the United States, or their duly authorized representatives,<br />

may inspect any books, documents, papers, and records of any person relating to any activity<br />

undertaken or funded under the Stafford Act.<br />

B. Audit Costs<br />

In accordance with the provisions of 44 CFR, Part 14.2, Appendix A (16) Audit Costs, the costs of<br />

audits made in accordance with the provisions of OMB Circular A-133 are allowable charges to federal<br />

assistance programs in accordance with the provisions of OMB Circular A-87.<br />

C. Summary<br />

All approved project worksheets (PWs) are subject to random state or federal audits for a period up<br />

to three years beyond the official close-out of the applicant by the grantee (state).<br />

Large projects which are equal to exceed the CPI amount for that year should anticipate an audit<br />

during the three-year period of time. Small projects may be audited on a random basis. The dollar<br />

amount identifying a large Project amount changes annually with the Consumer Price Index (CPI).<br />

All projects should be reviewed by representatives from either the state office or FEMA and some<br />

projects may be selected for review by the office of the inspector general (OIG). It is important to<br />

initiate accurate record-keeping procedures as soon as the work is initiated on any project.<br />

1. Public Assistance Appeal Procedure<br />

Should a disagreement occur concerning any aspect of disaster assistance, an appeal process<br />

is available for higher review and possible reconsideration of the situation. Some areas of<br />

possible conflict are:<br />

a. Funding eligibility<br />

b. Work eligibility<br />

c. Allowable time limits<br />

d. Cost overruns<br />

e. Technical or complex projects<br />

2. First Appeal - The applicant must make a first appeal in writing and submit it electronically<br />

through the recipient to the regional administrator. The recipient must include a written<br />

recommendation on the applicant’s appeal with the electronic submission of the applicant’s


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first appeal to the regional administrator. The recipient may make recipient-related appeals to<br />

the regional administrator. A first appeal must:<br />

a. Contain all documented justification supporting the applicant or recipient’s position.<br />

b. Specify the amount in dispute, as applicable.<br />

c. Specify the provisions in federal law, regulation, or policy with which the applicant or<br />

recipient believes the FEMA determination was inconsistent.<br />

The applicant may make a first appeal through the recipient within 60 calendar days from the date of the<br />

FEMA determination that is the subject of the appeal, and the recipient must electronically forward to the<br />

regional administrator the applicant’s first appeal with a recommendation within 120 calendar days from<br />

the date of the FEMA determination that is the subject of the appeal. If the applicant or the recipient does<br />

not meet their respective 60–calendar-day and 120–calendar-day deadlines, FEMA will deny the appeal.<br />

A recipient may make a recipient-related first appeal within 60 calendar days from the date of the FEMA<br />

determination that is the subject of the appeal and must electronically submit their first appeal to the<br />

regional administrator.<br />

Within 90 calendar days following receipt of a first appeal, if there is a need for additional information, the<br />

regional administrator will provide electronic notice to the recipient and applicant. If there is no need for<br />

additional information, then FEMA will not provide notification. The regional administrator will generally<br />

allow the recipient 30 calendar days to provide any additional information.<br />

The regional administrator will provide electronic notice of the disposition of the appeal to the applicant and<br />

recipient within 90 calendar days of receipt of the appeal or within 90 calendar days following the receipt of<br />

additional information or following expiration of the period for providing the information.<br />

Technical Advice - In appeals involving highly technical issues, the regional administrator may, at his or her<br />

discretion, submit the appeal to an independent scientific or technical person or group having expertise in<br />

the subject matter of the appeal for advice or recommendation. The period for this technical review may<br />

be in addition to other allotted time periods. Within 90 calendar days of receipt of the report, the regional<br />

administrator will provide electronic notice of the disposition of the appeal to the recipient and applicant.<br />

Hazard Mitigation Grant Program<br />

During post-disaster recovery operations, mitigation can be an important issue in reducing or preventing<br />

future losses. This is an opportune time to stress this phase of the emergency management cycle because<br />

the recent danger and damages of recent disasters are still fresh on people’s minds. Once again, major<br />

damage has occurred, and the rebuilding and repair phase is taking place. This is an ideal situation for<br />

mitigation activities such as elevation, removal, replacement, and flood-proofing or the strengthening of<br />

in-place structures. In flood situations, upgrading and enforcing existing building codes and ordinances<br />

to restrict building activity in floodways and floodplains can be implemented as effective and inexpensive<br />

measures.<br />

To be most effective, mitigation must be planned. This means you should plan for a disaster before the<br />

disaster happens and to prepare for situations which might happen in your particular jurisdiction. By<br />

planning ahead you place yourself in an excellent position to make maximum use of hazard mitigation<br />

opportunities that may become available because of damage suffered during the disaster. For example,<br />

if your jurisdiction qualifies for disaster assistance under the public assistance program, you can submit a<br />

mitigation project for consideration and possible funding under the auspices of the Hazard Mitigation Grant<br />

Program (HMGP).<br />

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Hazard mitigation is a function that requires the coordination of a variety of multi disciplined on-going<br />

activities. The local emergency management director is responsible for the overall emergency management<br />

program. The local director should designate a hazard mitigation coordinator (HMC), who serves as the<br />

single manager/coordinator for this important function. The HMC is encouraged to organize a hazard<br />

mitigation team (MHT).<br />

Once the local program is established, it is essential to communicate the needs of the community to the<br />

state hazard mitigation officer (SHMO). The SHMO will work closely with the local officials and FEMA in<br />

order to foster an effective hazard mitigation program.<br />

The HMT normally consists of representatives of the local government but may also include knowledgeable<br />

representation from industry and the private sector. The HMT provides a pool of local experience with a<br />

wide variety of skills that may be needed to achieve effective mitigation objectives. Team members should<br />

be selected by the HMC, who also serves as team leader and functional manager. The HMT organization<br />

provides the flexibility to involve all team members in the problem-solving process or to involve only those<br />

team members that possess specific skills needed to work on a hazard specific problem.<br />

You may refer to the Local Mitigation Planning Policy Guide, OB Collection #1660-0062, which can provide<br />

guidance necessary to develop your local hazard mitigation team and local plan. By determining personnel<br />

and material resources in advance, coordination during post-disaster recovery can function more smoothly.<br />

Also, by deciding team members and responsibilities prior to a disaster event, strategies for different<br />

elements of your mitigation planning can be determined before a disaster even happens. For instance, if<br />

your community floods every year, why not put the mitigation team to work figuring out ways to reduce<br />

or eliminate the problem? Who can help? How do you pay for these measures? Is there any federal/state /<br />

local/industry money available? Properly used, the local hazard mitigation team can be of great benefit to<br />

the entire community during the decision-making process, both pre-disaster and especially post disaster<br />

periods.<br />

New mitigation opportunities such as pre-disaster mitigation (PDM) and flood mitigation assistance (FMA)<br />

will enhance existing mitigation measures and open new ideas that will strengthen the mitigation program<br />

and keep it as an issue that has a great deal of potential to save lives and money. How well it works is up to<br />

the community and how people really care about saving lives, and in the long-term, reduction of property<br />

damage.<br />

Each state must have a FEMA approved state hazard mitigation plan (SHMP), and each local community<br />

should have an approved local hazard mitigation plan. Since 2000, there have been a number of changes<br />

incorporated into the hazard mitigation programs and the opportunity for local applicants to capture<br />

available mitigation funds will depend on your ability to apply the measures and recommendations in the<br />

state and local plans into proposed mitigation activities. In addition, each disaster event produces new<br />

mitigation opportunities and for this reason proper planning, coupled with commitment and coordination, is<br />

the key element to effective hazard mitigation management.<br />

The amount of HMGP funding available to the applicant is based on the estimated total federal assistance,<br />

subject to the sliding scale formula that FEMA provides for disaster recovery for each disaster declaration.30<br />

The formula provides for:<br />

A. Up to 15% of the first $2 billion of estimated aggregate amounts of disaster assistance.<br />

B. Up to 10% for amounts between $2 billion and $10 billion.<br />

C. Up to 7.5% for amounts between $10 billion and $35.333 billion.


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For states and federally recognized tribal governments with enhanced mitigation plans, the eligible<br />

assistance is up to 20% for estimated aggregate amounts of disaster assistance, not to exceed $35.333<br />

billion.<br />

The amount of HMGP funding available under the disaster declaration is apportioned among the applicants<br />

if there is more than one applicant. For example, if a state and a federally recognized tribe are applicants<br />

under the same disaster declaration, then the available HMGP funding is apportioned among the state and<br />

the federally recognized tribe. The apportionment is based on the disaster assistance provided within tribal<br />

land.<br />

Cities would be considered subapplicants within the HMA programs. The subapplicant is a state-level<br />

agency, local government, federally recognized tribe, or other eligible entity that submits a subapplication<br />

for FEMA assistance to the applicant. If HMA is awarded, the subapplicant becomes the subrecipient and<br />

is responsible for managing the subaward and complying with program requirements and other applicable<br />

federal, state, local, tribal, or territorial laws and regulations. In most cases, subapplicants are required<br />

to have a FEMA-approved local or tribal mitigation plan that has been adopted by the jurisdiction in<br />

accordance with 44 CFR Part 201 and applicable mitigation planning policies (local or tribal) to be eligible<br />

for HMA. Engagement in mitigation planning enhances the identification of community-driven solutions,<br />

refines discussions of alternative issues, and reduces ambiguity in applications. Extensive participation<br />

of stakeholders during the creation of a mitigation plan generally results in more robust and fully refined<br />

selection of mitigation activities.<br />

Supplication Development Process<br />

1. Select a mitigation activity<br />

The first step in the HMA process involves selecting potential activities based on the current<br />

community needs. Selecting a mitigation activity is the link between the jurisdiction’s<br />

mitigation plan and scoping, by allowing the applicant and subapplicant to select the most<br />

appropriate mitigation activity that best addresses the vulnerabilities associated with identified<br />

hazard risk(s) while considering current priorities, climate change, and resilience. Activities<br />

could include capability- and capacity-building activities such as mitigation planning and<br />

project scoping or mitigation projects. Proposed hazard mitigation activities funded by HMA<br />

are expected to be consistent with the jurisdiction’s mitigation plan, which is reviewed and<br />

updated every five years and sets long-term priorities. If selected activities are not consistent<br />

or in conformance with the mitigation plan, jurisdictions can review and update the plan and<br />

its priorities according to mitigation planning policy. The priorities outlined in the hazard<br />

mitigation plan are prioritized actions to mitigate natural threats in the jurisdiction. Selecting a<br />

mitigation activity involves identifying what activities can be accomplished in a specific year or<br />

award cycle. Contacting the applicant’s hazard mitigation officer or designated representative<br />

can be helpful in choosing which activities best fit the applicant’s priorities for that year or<br />

award cycle.<br />

2. Conduct scoping<br />

Scoping can significantly impact the course an application or subapplication takes through<br />

the HMA process. Scoping is the process by which subapplicants evaluate and select a<br />

preferred mitigation alternative and develop a detailed outline of all aspects of the activity,<br />

including goals, all related activities, resources, timelines and deliverables, as well as the<br />

activity’s boundaries. The scoping process may include, depending on the activity type, an<br />

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evaluation of technical feasibility, cost review, cost-effectiveness, as well as EHP or cultural<br />

resource considerations of the mitigation alternatives. Other considerations may include<br />

climate change impacts and racial equity. The scoping process results in the development<br />

of a preferred activity alternative that is then documented through the preparation of the<br />

application or subapplication. Eligible applicants and subapplicants that actively participate<br />

in and document the scoping process put themselves in a greater position for success during<br />

subapplication development. The information gathered in the scoping process serves as the<br />

basis for the development of a more detailed and robust scope of work, budget, and EHP<br />

compliance components of the mitigation activity. During the scoping process, the applicant<br />

and subapplicant may encounter considerations such as technical feasibility, cost-effectiveness,<br />

and EHP requirements that necessitate the refinement or adjustment of the mitigation activity.<br />

In these situations, the reason for the refinement or re-scoping should be fully documented<br />

and included with the subapplication.<br />

3. Determine funding strategy and consider eligibility requirements as well as other consideration<br />

Applicants and subapplicants may use HMA for project scoping/advance assistance activities.<br />

Eligible activities include the development of mitigation strategies, cost-share strategies, and<br />

data gathering (including for EHP compliance considerations) to prioritize, select, and develop<br />

complete and timely HMA applications. Project scoping/advance assistance activities can help<br />

applicants and subapplicants develop eligible and complete applications that include a feasible<br />

project budget and appropriate project milestones. Under HMGP and HMGP Post Fire, project<br />

scoping/advance assistance allows an advance of up to 25% of the HMGP ceiling or HMGP Post<br />

Fire available assistance amount, or $10 million (whichever is less), to applicants/subapplicants<br />

to accelerate the implementation of HMGP or HMGP Post Fire.51 While eligible activities for<br />

project scoping/advance assistance are limited to those described here, post-disaster activities<br />

and projects that need to begin early in the recovery process can be submitted to FEMA under<br />

HMGP and HMGP Post Fire as part of the 30-day or six-month assistance increment request.<br />

4. Develop the subapplication<br />

The next step in the HMA process is developing or assembling the subapplication. The<br />

principal components of a subapplication are the scope of work, budget, and schedule.<br />

These pieces may be developed based on previous similar activities by the subapplicant<br />

through construction estimates, property appraisals, and other technical evaluations. Once<br />

the subapplicant prepares the subapplication, it is submitted to the applicant. Once the<br />

subapplications are collected, the applicant reviews and prioritizes submissions based on<br />

specific criteria that align with its mitigation strategy with regard to available funding and<br />

activity type. Finally, the application is submitted to FEMA for determination of eligibility based<br />

on costeffectiveness, technical feasibility, EHP review, and the approved mitigation plan as<br />

applicable to activity type. FEMA may send the applicant a request for information. A request<br />

for information is often used to help clarify and strengthen the subapplication.


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Contracts<br />

You must ensure your contracts comply with applicable state and local legal regulations and are reviewed by<br />

your designated contract official. Your contracts must also reflect the provisions listed in this section under<br />

contract provisions. If your standard contracts meet the requirements of these provisions, the clauses need<br />

not be repeated.<br />

I. Contract Types<br />

You must decide which type of contract is appropriate given the circumstances of each purchase. You may<br />

use your standard contract types for contracts under your FEMA grant. Contract types include:<br />

A. Fixed price contracts - Fixed price contracts are used when there will likely be effective competition<br />

based on a complete product description and clear plans and specifications. There should not be any<br />

significant technical or engineering unknowns. The contractor must furnish the goods or services for<br />

the fixed price, and so assumes significant risk. Profit is not stated or negotiated separately.<br />

B. Cost reimbursable contracts - You should use a cost reimbursement contract when it is not feasible<br />

to award a fixed price contract. The contractor’s cost and profit must be negotiated separately. Often,<br />

the contractor must satisfactorily complete only the amount of work equivalent to the estimated cost<br />

to qualify for the negotiated profit; the contractor may not complete the entire project. Thereby, the<br />

contractor assumes less risk than under a fixed price contract. Alternatively, you may negotiate a<br />

cost reimbursable contract which includes a ceiling which may not be exceeded but which requires<br />

completion of the work. In this situation, the risk to the contractor is increased.<br />

C. Cost plus type contracts prohibited - Percentage of construction cost and cost plus a percentage<br />

cost contract provide an incentive for the contractor to increase costs in order to increase profit.<br />

These contract types must not be used.<br />

II. Construction Contract Bonds<br />

You must ensure FEMA’s interest in construction or facility improvement contracts under grants is<br />

adequately protected. You must at least meet the following minimum standards:<br />

A. For construction or facility improvements contracts which are $250,000 or less, unless your grant<br />

indicates otherwise, you may follow your own requirements relating to bid guarantees, performance<br />

bonds, and payment bonds. The grant will include a term and condition advising you of any<br />

additional FEMA requirements if required by statute.<br />

B. For construction or facility improvements contracts which exceed $250,000, unless FEMA authorizes<br />

different limits or requirements, you must require:<br />

1. Bidders provide a bid guarantee equivalent to 5% of the bid price. The bid guarantee may<br />

be a firm commitment such as a bid bond, certified check, or other negotiable instrument<br />

accompanying a bid to ensure the bidder will accept award of a contract if you accept the<br />

bidder’s bid.<br />

2. Successful bidders to provide a performance bond for 100% of the contract price to ensure<br />

fulfillment of the contractors’ obligations under the contract.<br />

3. Successful bidders to provide a payment bond for 100% of the contract price. A payment bond<br />

ensures payment as required by statute to all persons supplying labor and material under the<br />

contract.<br />

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III. Grant Recipient Purchasing Methods<br />

You must determine the purchasing method (examples below) and contract type that best fits your needs<br />

and circumstances.<br />

IV. Small Purchase Method<br />

Small purchase is a relatively simple and informal method for purchasing supplies, equipment, and services<br />

that do not cost more than $250,000. (Your organization may have lower small purchase limits in its<br />

procedures. If so, follow those limits.)<br />

Generally, you should review catalogs or contact three or four organizations which can provide goods or<br />

services meeting your needs and obtain price quotes. You should select the lowest priced item or service<br />

which meets your requirements. You must, of course, ensure:<br />

A. The employee selecting the offer does not have a conflict of interest with any of the organizations<br />

contacted.<br />

B. You make it possible for and encourage disadvantaged businesses to provide offers to the extent<br />

possible.<br />

C. The offer is not from a debarred or suspended person.<br />

D. You clearly document why you selected other than the lowest priced supply, equipment, or service, if<br />

this is done.<br />

E. You keep files of the purchase, including the list of organizations contacted and the prices of each.<br />

F. You do not need to obtain bid or performance bonds for small purchases.<br />

V. Sealed Bid or Formally Advertised Purchasing Method<br />

For purchases with an estimated price of more than $250,000, the sealed bid purchasing method is generally<br />

preferable to other methods if the successful bid can be determined based mostly on price. Under this<br />

method, you must advertise for firm-fixed-price proposals or bids from organizations and firms able to do<br />

the work. You then award the contract (lump sum or unit price) to the responsible bidder whose bid conforms<br />

to the terms and conditions of the solicitation and is the lowest in price.<br />

Sealed bidding is feasible if:<br />

1. You have a complete, adequate, and realistic specification or purchase description.<br />

2. It is likely there are two or more responsible bidders willing and able to compete for the<br />

contract.<br />

3. The purchase will result in a firm fixed price contract and the selection of the successful bidder<br />

can be made principally on the basis of price.<br />

If you use the sealed bidding method, you must:<br />

1. Advertise to the public an invitation for bids allowing potential bidders sufficient time<br />

to prepare bids before the public bid opening. Advertisements should be published in<br />

newspapers of general circulation, the Commerce Business Daily, trade journals, and your<br />

purchasing websites. They may also be sent to contractors who are likely to be interested in<br />

providing the goods or services.<br />

2. The advertisement must make clear that any or all bids may be rejected if there is a sound


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documented reason. The advertisement must contain:<br />

a. A clear, accurate description of the technical requirements for the supplies, equipment,<br />

or service to be purchased.<br />

b. Requirements which the bidder must meet and all other factors you will use to evaluate<br />

bids or proposals.<br />

c. A description, whenever practicable, of technical requirements in terms of functions to<br />

be performed or performance required, including the range of acceptable characteristics<br />

or minimum acceptable standards.<br />

d. The specific features of “brand name or equal” descriptions that bidders are required to<br />

meet when such items are included in the solicitation.<br />

e. The acceptance, to the extent practicable and economically feasible, of supplies,<br />

equipment, or service dimensioned in the metric system of measurement.<br />

f. Preference, to the extent practicable and economically feasible, for products and<br />

services that conserve natural resources and protect the environment and are energy<br />

efficient.<br />

g. Take steps to involve disadvantaged businesses (see section on disadvantaged business<br />

utilization), including sending known firms the advertisement requesting bids.<br />

3. Before bid opening, ensure none of the bidders are debarred, suspended, or otherwise<br />

excluded. If any are, reject those bids before opening them.<br />

a. Publicly open bids at the time and place announced in the advertisement.<br />

b. Award a fixed price contract to the lowest responsive and responsible bidder.<br />

c. Include in the signed contract the appropriate contract provisions. (See contract<br />

provisions in this section).<br />

d. If the contract is for construction work, require the contractor to provide appropriate<br />

bid, performance, and payment bonds when the contract is signed.<br />

If you award the contract award to the lowest responsible bidder for a fixed price and<br />

there is more than one bidder, no further price or cost review is required.<br />

VI. Competitive Proposal Purchasing Method<br />

When it is not appropriate to use the sealed bidding method (i.e., the award cannot be made based<br />

primarily on price) for purchases exceeding $250,000, the next most preferred method is generally called<br />

the competitive proposal method. Under this method, you will use factors such as capability of the bidder,<br />

relationship of the proposed work to your needs, the qualifications of the bidder’s staff, the availability of<br />

necessary resources, the likelihood of the bidder’s success, and the price. The contract will normally be a<br />

fixed price or a cost reimbursement type contract.<br />

If you choose to select a contractor using the competitive proposal method, you must:<br />

A. Publicly advertise for proposals identifying the nature of supplies, equipment, or services needed,<br />

the evaluation factors and their relative importance, a preference, to the extent practicable and<br />

economically feasible, for products and services that conserve natural resources and protect the<br />

environment and are energy efficient.<br />

B. Take steps to involve disadvantaged businesses, including sending known firms the advertisement<br />

requesting offers.<br />

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C. Develop a system for conducting technical evaluations of the proposals to select the successful<br />

bidder.<br />

D. Using the evaluation system and the criteria in the advertisement, select the responsible firm whose<br />

proposal is most advantageous, with price and other factors considered.<br />

E. Include the appropriate contract provisions in the signed contract.<br />

F. If the contract is for construction work, require the contractor to provide appropriate bid,<br />

performance, and payment bonds when the contract is signed.<br />

G. If the contract award is not for a firm-fixed price, conduct a cost review to ensure the price is<br />

reasonable. Your contractor must furnish estimated cost information, stating profit separately, to<br />

allow you to complete the review.<br />

To obtain architectural/engineering (A/E) professional services, you may use a qualificationsbased<br />

form of the competitive proposal method. The difference between this method and the<br />

normal competitive proposal method is that, after you open bids, you may evaluate competitors’<br />

qualifications and select the most qualified competitor, subject to negotiation of fair and reasonable<br />

compensation. Price is not a selection factor. You then negotiate a price with the most qualified firm.<br />

If you cannot reach agreement on price with that firm, reject the bid and open negotiations with the<br />

next most qualified firm. In other respects, this method is similar to the competitive proposal method,<br />

and you must conduct a cost review before agreeing on price.<br />

VII. Non-Competitive Negotiation or Sole Source Purchasing Method<br />

The noncompetitive negotiation purchasing method is appropriate when none of the other methods are<br />

appropriate based on the circumstances. This method should be used sparingly in unusual circumstances.<br />

Appropriate circumstances include if:<br />

A. You determine the item or service is available only from one source. The fact that you have a longstanding<br />

relationship with a contractor does not mean the item or service is available from only one<br />

source.<br />

B. You determine public exigency or emergency will not permit a delay resulting from competition.<br />

C. You request and obtain FEMA approval to use the noncompetitive proposal method for some other<br />

reason.<br />

D. In response to an advertisement for bids or proposals, only one bidder responds.<br />

You must conduct a cost review of noncompetitive proposals. In evaluating whether a sole source purchase<br />

is justified, your cost review should consider the contractor’s charges for similar work.<br />

You should contact the FEMA project officer before using the non-competitive proposal purchasing method.<br />

FEMA will include a term and condition in grants where purchases may exceed $100,000 requiring you to<br />

contact the project officer before making sole source purchases. The project officer will likely instruct you<br />

to submit the proposed contract and related information, including cost information provided by the bidder<br />

and your justification for the non-competitive purchasing method utilized to obtain the bid.<br />

VIII. Contract Provisions<br />

You must ensure your contracts are sound and complete under applicable state and local law. Your contracts<br />

must also reflect the provisions required by federal law and FEMA regulations which are listed below. To the<br />

extent these requirements are met by provisions in your standard contracts, they need not be repeated.


Page | 100<br />

A. Remedies – Contracts in excess of $250,000 must include administrative, contractual, and legal<br />

remedies for use in cases in which contractors violate or breach contract terms. The contract must<br />

also make clear the remedial actions which you may take.<br />

B. Termination – Contracts in excess of $10,000 must explain the conditions under which you may<br />

terminate them for your convenience, in event of a contractor’s failure, or in event of event beyond<br />

the control of the contractor; the process for bringing about the termination; and the basis for<br />

settlement.<br />

C. Equal Employment Opportunity – Construction contracts in excess of $10,000 must require<br />

compliance with Executive Order 11246, “Equal Employment Opportunity,” as amended by Executive<br />

Order 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” and as<br />

supplemented by regulations at 41 CFR Part 60, “Office of Federal Contract Compliance Programs,<br />

Equal Employment Opportunity, Department of Labor.”<br />

D. Copeland ``Anti-Kickback’’ Act (18 U.S.C. 874 and 40 U.S.C. 276c) – Construction contracts which<br />

exceed $100,000 must require compliance with the Copeland “Anti-Kickback” Act (18 U.S.C. 874), as<br />

supplemented by Department of Labor regulations (29 CFR part 3, “Contractors and Subcontractors<br />

on Public Building or Public Work Financed in Whole or in Part by Loans or Grants from the United<br />

States”). The act prohibits contractors from inducing, by any means, any person employed in the<br />

construction, completion, or repair of public work, to give up any part of the compensation to which<br />

he is otherwise entitled.<br />

E. Contract Work Hours and Safety Standards Act<br />

1. Construction contracts which exceed $100,000 or other contracts that involve the employment<br />

of mechanics or laborers which exceed $2,500 must require compliance with sections<br />

102 and 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333), as<br />

supplemented by Department of Labor regulations (29 CFR part 5). Under section 102 of the<br />

act, each contractor must compute the wages of every mechanic and laborer on the basis of a<br />

standard 40-hour work week. If a mechanic or laborer works more than 40 hours in a week, the<br />

contractor must pay the worker at a rate of not less than one and ½ times the basic rate of pay<br />

for all hours worked in excess of 40 hours in the work week.<br />

2. Construction contracts which exceed $100,000 must provide that no laborer or mechanic<br />

may be required to work in surroundings or under working conditions which are unsanitary,<br />

hazardous, or dangerous. (This requirement does not apply to the purchase of supplies,<br />

materials, or articles ordinarily available on the open market, or contracts for transportation or<br />

transmission of intelligence.)<br />

F. Rights to Inventions – Experimental, developmental, or research work contracts must provide for<br />

both your and FEMA’s rights in any resulting invention (see 37 CFR part 401, “Rights to Inventions<br />

Made by Nonprofit Organizations and Small Business Firms Under Government Grants, Contracts and<br />

Cooperative Agreements”).<br />

G. Access to Records – Negotiated contracts which exceed $100,000 must allow you, FEMA, the<br />

Comptroller General of the United States, or any of their duly authorized representatives, access to<br />

any books, documents, papers, and records of the contractor directly pertinent to your contract for<br />

the purpose of making audits, examinations, excerpts, and transcriptions.<br />

H. Debarment and Suspension – Contracts which exceed $100,000 must prohibit contractors from<br />

awarding subcontracts to persons (individuals or organizations) listed on the Excluded Parties Listing<br />

System (EPLS) which is found at: http://www.epls.gov/.<br />

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I. Energy and Environmental Conservation – Contracts must require contractors to give preference,<br />

to the extent practicable and economically feasible, to products and services that conserve natural<br />

resources and protect the environment and are energy efficient (30.44(a)(3)(vi)).<br />

J. Byrd Anti-Lobbying Amendment (31 U.S.C. 1352) – Contractors who apply or bid for a contract of<br />

more than $100,000 must file a certification that it will not and has not used federally appropriated<br />

funds to pay any person or organization for influencing or attempting to influence an officer or<br />

employee of any agency, a member of Congress, officer or employee of Congress, or an employee of<br />

a member of Congress in connection with obtaining your grant. The contract must also require that<br />

any subcontractor who applies or bids for a subcontract in excess of $100,000 must provide a similar<br />

certification to the next higher tier contractor or subcontractor. Contractors and subcontractors<br />

must also disclose any lobbying with non-federal funds in connection with obtaining the grant. Each<br />

contractor or subcontractor must forward any disclosures from tier to tier up to the recipient.<br />

K. Procurement of Recovered Materials<br />

The requirements of Section 6002 include procuring only items designated in guidelines of the<br />

EPA at 40 C.F.R. Part 247 that contain the highest percentage of recovered materials practicable,<br />

consistent with maintaining a satisfactory level of competition, where the purchase price of the<br />

item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded<br />

$10,000; procuring solid waste management services in a manner that maximizes energy and<br />

resource recovery; and establishing an affirmative procurement program for procurement of<br />

recovered materials identified in the EPA guidelines.<br />

L. Suspended or Disbarred<br />

These regulations restrict awards, subawards, and contracts with certain parties that are debarred,<br />

suspended, or otherwise excluded from or ineligible for participation in federal assistance programs<br />

and activities. See 2 C.F.R. Part 200, Appendix II(H); and 2 C.F.R. § 200.213. A contract award<br />

must not be made to parties listed in the SAM Exclusions. SAM Exclusions is the list maintained by<br />

the General Services Administration that contains the names of parties debarred, suspended, or<br />

otherwise excluded by agencies, as well as parties declared ineligible under statutory or regulatory<br />

authority other than Executive Order 12549. SAM exclusions can be accessed at www.sam.gov.<br />

IX. FACT SHEET: Procurement with federal grant funds<br />

FEMA’s purchasing guidance and requirements are designed to ensure that what you buy you get at a<br />

reasonable price in a fair and openly competitive way. Many organizations that receive FEMA grants have<br />

their own purchasing requirements and systems. If you have your own system which meets the minimum<br />

standards of the FEMA regulations as explained in this guidance, you may use that system. If your system<br />

does not meet FEMA’s minimum requirements you may amend the system to meet FEMA requirements, but,<br />

in any event, you must conduct your purchase in accordance with the minimum FEMA requirements. FEMA<br />

grantee/subgrantee procurement requirements are at 44 CFR Part 13.36.<br />

A. Responsibility: You are responsible for the settlement and satisfaction of all contractual and<br />

administrative issues arising out of contracts under your grant. FEMA such issues as disputes, claims,<br />

protests of award, source evaluation or other matters of a contractual nature.<br />

B. Code of conduct: You must have written standards of conduct which apply to employees involved<br />

in the award and administration of contracts for supplies, equipment, and services. The code must<br />

ensure that:<br />

1. Your employee, officer, or agent does not participate in the selection, award, or administration


Page | 102<br />

of a contract under a FEMA grant if the employee, any of the employee’s family members,<br />

partners, or an organization which employs or is about to employ any of these persons, has<br />

a financial or other interest in the organization selected for the contract. This would be an<br />

inappropriate conflict of interest.<br />

2. Your employee does not solicit or accept gratuities, favors, or anything of monetary value from<br />

your contractors. You may, however, set standards for situations in which the financial interest<br />

is not substantial, or the gift is an unsolicited item of nominal value.<br />

3. If any of your employees violate the code, the code must make them subject to disciplinary<br />

action.<br />

C. Competition: You must, to the maximum extent practicable, ensure open and free competition in your<br />

purchasing.<br />

D. Cost and Price Review: Your purchasing system must ensure the cost or price of your supplies,<br />

equipment, and services is reasonable. You do this by conducting a cost or price analysis for each<br />

procurement action which you must document in your files.<br />

1. Price analysis includes the comparison of price quotations submitted, market prices, bid prices<br />

for firm fixed price contracts, or similar information.<br />

2. Cost analysis is the review and evaluation of each element of cost to determine reasonableness.<br />

a. Disadvantaged Business Opportunity: You must make positive efforts to use<br />

disadvantaged businesses, including small businesses, minority-owned firms, women’s<br />

business enterprises, and HUBZone certified businesses.<br />

b. Debarment and Suspension: You must ensure you do not award a contract to any<br />

person, organization, or individual debarred or suspended or otherwise excluded from<br />

or ineligible for participation in federal assistance programs. You must also ensure your<br />

contractor does not award a subcontract to any person debarred or suspended or<br />

otherwise excluded from or ineligible for participation in federal assistance programs.<br />

You can find the list of debarred, suspended, and excluded persons at: https://sam.gov/<br />

content/exclusions.<br />

c. Records: You must maintain records that detail the history of each purchase. For<br />

purchases which exceed $100,000, these records must include the rationale for the<br />

method of procurement, the reason you selected the contract type, your justification<br />

for lack of competition when competitive bids or offers are not obtained, the reasons<br />

for contractor selection or rejection, and the basis for the contract price, including<br />

documentation of required price and cost analyses.<br />

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END OF CHAPTER 3<br />

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DISASTER<br />

FORMS<br />

Rip & Run Forms for Use<br />

Before & During an Emergency


DISASTER FORMS<br />

Table of Contents<br />

Form 1 – Continuity of Government/Continuity of Operations Plan<br />

Form 2 - Sample Executive Order Declaring State of Emergency<br />

Form 3 – Sample Executive Order Declaring Curfew<br />

Form 4 – <strong>Disaster</strong>-Related Materials Summary<br />

Form 5 – <strong>Disaster</strong>-Related Rented Equipment<br />

Form 6 – <strong>Disaster</strong>-Related Force Account Equipment Tracking<br />

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Form 7 – <strong>Disaster</strong>-Related Force Account Labor Tracking (Use for volunteers too)<br />

Form 8 – Applicants’ Benefits Calculation Worksheet<br />

Form 9 – <strong>Disaster</strong>-Related Contract Work Summary Record<br />

Form 10 – Sample Volunteer Agreement/Waiver<br />

Form 11 – Inventory Form FEMA<br />

Form 12 – <strong>Disaster</strong>-Related Project Worksheet<br />

Form 13 – Preliminary Damage Assessment Summary<br />

Form 14 - Debris Management Plan Template<br />

Form 15 - Debris Contract Bid Specifications<br />

Form 16 – Debris Monitor Report Form<br />

Form 17 – Right of Entry on Private Property for Debris Removal<br />

Form 18 – RFP for Professional Services Related to FEMA Reimbursement,<br />

Documentation, and Audit<br />

Form 19 – RFP for Debris Removal<br />

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Continuity of Government/Continuity of Operations Plan (Page 1 of 22)<br />

Table of Contents<br />

Introduction<br />

COOP Checklist<br />

Business Continuity Plan Flow Chart<br />

Worksheets for COOP Planning<br />

Worksheet A: Determine Essential Functions<br />

Worksheet B: Rank Essential Functions<br />

Worksheet C: Essential Functions Staff<br />

Worksheet D: COOP Roster<br />

Worksheet E: Orders of Succession and Delegation of Authorities<br />

Worksheet F: Contact Information for Key Decision-Makers and Successors<br />

Worksheet G: Alternate Work Site Requirements<br />

Worksheet H: Alternate Work Site Options<br />

Worksheet I: Alternate Work Sites by <strong>Disaster</strong> Scenarios<br />

Worksheet J: Inoperability of Communications Systems<br />

Worksheet K: Inventory of Vital Records<br />

Worksheet L: Restoration Resources*<br />

Worksheet M: Emergency Services Available<br />

Worksheet N: Drive-Away Kits<br />

Worksheet O: Devolution Plan<br />

COOP Templates<br />

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Introduction<br />

<strong>Disaster</strong> preparation begins with a plan. It is important to take stock of city resources and identify critical needs<br />

to prioritize essential city functions during a disaster. An effective way to accomplish this goal is adoption of a<br />

Continuity of Government/Continuity of Operations Plan (COG/COOP). KRS 39B.060 requires that the local<br />

emergency management plan include an emergency operations plan that includes adequate provisions to assess,<br />

mitigate, prepare for, respond to, and recover from disasters and emergencies. A COG/COOP meets a portion of<br />

each of these requirements.<br />

As part of the National Continuity Policy Implementation Plan, FEMA developed tools that provide a roadmap to<br />

develop a COG/COOP. Not all cities look alike, and neither should your COG/COOP. With that in mind, <strong>KLC</strong><br />

adapted this COG/COOP tool from the one created by our friends at the Louisiana Municipal Association with a<br />

focus on the needs of Kentucky cities.<br />

Cities can use this tool to create a COG/COOP and business recovery plan to cover all normal and emergency<br />

municipal operations. Those that have an existing plan should make sure it is up to date and will work well in an<br />

event that disables primary facilities, causes loss of electrical power, and/or makes it difficult for normal essential<br />

governmental functions to continue.<br />

Elements of a Viable Continuity Capability<br />

1. Essential Functions<br />

2. Orders of Succession<br />

3. Delegations of Authority<br />

4. Continuity Facilities<br />

5. Continuity Communication<br />

6. Vital Records Management<br />

7. Devolution of Control and Direction<br />

8. Reconstitution of Normal Operations<br />

The plan could be activated in response to a wide range of events or situations – from a fire in your building to a<br />

natural disaster, to the threat or occurrence of a mass shooting. Any event that makes it impossible for employees to<br />

work in their regular facility, use normal communications, or have access to critical record systems could result in<br />

the activation of the continuity plan. Now is the time to make sure you are ready.<br />

In addition to general planning, it is important to focus on information technology, software security, and computer<br />

operations as identified below:<br />

<strong>Disaster</strong> Recovery/Business Continuity<br />

1. Identification of critical data and frequency of data backups.<br />

2. Storage of backups in a separate physical location isolated from the network.<br />

3. Periodic testing/verification that backups can be restored.<br />

4. Use of antivirus software on all systems.<br />

5. Timely application of all available system and software patches/updates.<br />

6. Identification of personnel, processes, and tools needed to recover operations after a critical<br />

event.<br />

Continuity of Government/Continuity of Operations Plan (Page 2 of 21)


COOP Checklist<br />

COOP Checklist<br />

Page | 108<br />

Contact Information:<br />

Your city clerk/finance director/HR director director should should organize organize your contacts your contacts with the with key the staff, key staff, staff, nonstaff,<br />

nonstaff, vendors, social vendor, services social workers services (counselors, workers (counselors, therapists, nurse therapists, aides, elder nurse care aides, specialists), elder care medical specialists), providers,<br />

medical faith leaders, providers, civic leaders, faith leaders, local industry civic leaders, and local facilities industry contacts. leaders, Establish and facilities the following contacts. information Establish for the all<br />

following<br />

contacts:<br />

information for all contacts:<br />

□ Name (first, last)<br />

□ Department/Division/Industry/Group<br />

□ Job title/Volunteer status/position/affiliation<br />

□ Work or home address<br />

□ Work, home, cellphone, pager, and and fax fax numbers numbers<br />

□ Email address (if (if possible, also also a personal a email email address) address)<br />

□ Comments – You can can add add details to the to the individual’s contact contact information, information, e.g., nurse, e.g., CPR nurse, trainer, CPR lives trainer,<br />

lives across across the street the from street the from main the office, main woodworker, office, woodworker, certified electrician, certified electrician, master plumber, master rock plumber, climber<br />

rock (will have climber ropes, (will rappelling have ropes, gear, rappelling etc.), Red Cross gear, training, etc.), Red forensics Cross training, HAM forensics radio training, operator, HAM or<br />

radio other details operator, regarding or other hobbies details and regarding special talents hobbies that and may special be helpful talents to know that may at the be time helpful of an emergency to know<br />

at<br />

or<br />

the<br />

during<br />

time<br />

the<br />

of<br />

recovery<br />

an emergency<br />

process.<br />

or during the recovery process.<br />

Mission-essential functions:<br />

□ Detailed task list list of of essential functions to support to support city operations city operations<br />

□ Number of employees to to complete task task (no (no names, names, but do but list do job list titles) job titles)<br />

□ Time frame during which each each function must must be completed be (water (water treatment treatment schedules, schedules, wastewater wastewater<br />

maintenance, gas pipeline maintenance, LEO LEO and and fire schedules, fire schedules, trash collection, trash collection, time sheets time must sheets must<br />

be turned in in every Friday Friday for for payroll, payroll, payroll payroll verified verified for bank for transfer bank transfer every other every Tuesday, other bill Tuesday, pay bill<br />

pay authorized authorized third Friday third Friday of every of month, every month, etc.) etc.)<br />

Facility Information:<br />

□ Building location (city buildings and and critical critical infrastructure for safety for safety purposes) purposes)<br />

□ Facilities contact (internal and and external)<br />

□ Business equipment needs (computers, water water chemicals chemicals for treatment, for treatment, spare water spare pumps, water pumps, gas pipeline gas<br />

pipeline equipment equipment for repairs, for etc.) repairs, etc.)<br />

□ Vehicles/heavy equipment (patrol cars, cars, bucket bucket trucks, trucks, backhoes, backhoes, vehicles vehicles with winches, with winches, ambulances, fire<br />

ambulances, trucks, etc.) fire trucks, etc.)<br />

Resource Information:


□ Vehicles/heavy equipment (patrol cars, bucket trucks, backhoes, vehicles with winches,<br />

ambulances, fire trucks, etc.)<br />

Page | 109<br />

Resource □ Vital Information: records and systems<br />

□ Required equipment and resources (generators, gasoline, medical equipment, O2, respirators, etc.)<br />

□ Relocation kit items<br />

□ Communications equipment (plan for support if communications are disabled)<br />

□ Available shelters (unhoused persons with and without pets, persons with medical needs)<br />

Business Continuity Plan Flow Chart<br />

Business Impact Analysis<br />

Recovery Strategies<br />

Plan Development<br />

Testing & Exercises<br />

• Develop<br />

questionnaire<br />

• Conduct workshop to<br />

instruct business<br />

function and process<br />

managers how to<br />

complete the BIA<br />

• Receive<br />

BIA\questionnaire<br />

forms<br />

• Review BIA<br />

questionnaires<br />

• Conduct follow-up<br />

interviews to validate<br />

information and fill<br />

any information gaps<br />

• Identify and<br />

document resource<br />

requirements based<br />

on BIAs<br />

• Conduct gap<br />

analysis to<br />

determine gaps<br />

between recovery<br />

requirements and<br />

current capabilities<br />

• Explore recovery<br />

strategy options<br />

• Select recovery<br />

strategies with<br />

management<br />

approval<br />

• Implement strategies<br />

• Develop plan<br />

framework<br />

• Organize recovery<br />

teams<br />

• Develop relocation<br />

plans<br />

• Write business<br />

continuity and IT<br />

disaster recovery<br />

procedures<br />

• Document manual<br />

workarounds<br />

• Assemble plan;<br />

validate; gain<br />

management<br />

approval<br />

• Develop testing,<br />

exercise, and<br />

maintenance<br />

requirements<br />

• Conduct training for<br />

business continuity<br />

team<br />

• Conduct orientation<br />

exercises<br />

• Conduct testing and<br />

document test<br />

results<br />

• Update BCP to<br />

incorporate lessons<br />

learned from testing<br />

and exercises<br />

Business Continuity Planning Process Diagram<br />

When business is disrupted, it can cost money. When city business is disrupted, it can cost lives. Insurance<br />

does not cover all costs and cannot replace lives lost. A business continuity plan can mitigate the harm to a<br />

city through the rapid deployment of aid to citizens impacted by a disaster. Development of a business<br />

continuity plan includes four steps:<br />

(1) Conduct a business impact analysis to identify time-sensitive or critical business functions and<br />

processes and the resources that support them.<br />

(2) Identify, document, and implement to recover critical business functions and processes.<br />

(3) Organize a business continuity team and compile a business continuity plan to manage business<br />

disruption.<br />

(4) Conduct training for the business continuity team and testing and exercises to evaluate recovery<br />

strategies and the plan.<br />

Information technology (IT) includes many components such as networks, servers, desktop and laptop<br />

computers, and wireless devices. The ability to run both office productivity and enterprise software is<br />

critical. Therefore, recovery strategies for information technology should be developed so technology can<br />

Continuity of Government/Continuity of Operations Plan (Page 4 of 21)


Page | 110<br />

be restored as quickly as possible to meet the needs of the business. Manual workarounds should be part of<br />

the IT plan so business can continue while computer systems are being restored.<br />

Resources for Business Continuity Planning<br />

(1) Standard on <strong>Disaster</strong>/Emergency Management and Business Continuity Programs – National Fire<br />

Protection Association (NFPA) 1600<br />

(2) Professional Practices for Business Continuity Professionals – DRI International (non-profit<br />

business continuity education and certification body)<br />

(3) Continuity Guidance Circular, Continuity Guidance for Non-Federal Entities<br />

(4) Open for Business® Toolkit – Institute for Business & Home Safety<br />

Business Continuity Impact Analysis<br />

Business continuity impact analysis identifies the effects resulting from disruption of business functions<br />

and processes. It also uses information to make decisions about recovery priorities and strategies.<br />

The Operational & Financial Impacts worksheet can be used to capture this information as discussed in the<br />

Business Impact Analysis. The worksheet should be completed by department directors, managers, and<br />

supervisors with sufficient knowledge of day-to-day business operations. Once all worksheets are<br />

completed, the worksheets can be tabulated to summarize:<br />

(1) The human, operational, and financial impacts resulting from the loss of individual business<br />

functions and processes.<br />

(2) The point in time when loss of a function or process would result in identified business impacts.<br />

Those functions or processes with the highest potential human, operational, and financial impacts become<br />

priorities for restoration. The point in time when a function or process must be recovered before<br />

unacceptable consequences could occur is often referred to as the “Recovery Time Objective.”<br />

Resource Required to Support Recovery Strategies<br />

Recovery of a critical or time-sensitive process requires resources. The Business Continuity Resource<br />

Requirements worksheet should be completed by department directors, managers, and supervisors.<br />

Completed worksheets are used to determine the resource requirements for recovery strategies.<br />

Following an incident that disrupts business operations, resources will be needed to carry out recovery<br />

strategies and to restore normal business operations. Resources can come from within the business or be<br />

provided by third parties. Resources include:<br />

(1) Employee<br />

(2) Office space, furniture, and equipment<br />

(3) Technology (computers, peripherals, communication equipment, software, and data)<br />

(4) Vital records (electronic and hard copy)<br />

(5) Production facilities, machinery, and equipment<br />

(6) Inventory includes raw materials, finished goods, and goods in production<br />

(7) Utilities (power, natural gas, water, sewer, telephone, internet, wireless)<br />

(8) Third-party services<br />

Since all resources cannot be replaced immediately following a loss, managers should estimate the<br />

resources that will be needed in the hours, days, and weeks following an incident.<br />

Continuity of Government/Continuity of Operations Plan (Page 5 of 21)


Page | 111<br />

Worksheets for COOP Planning<br />

The following worksheets are provided to help gather information critical to preparing the COOP Plan.<br />

Worksheet A: Determine Essential Functions<br />

Instructions: Fill in the name of the department/division/office, list all of its functions, and indicate<br />

whether each function is essential to continue or could be deferred during an emergency. To determine<br />

whether a function is essential, consider whether it is vital to the facility’s mission and/or necessary to the<br />

performance of other departments or agency functions, e.g., providing police and fire services,<br />

maintaining water quality, re-establishing electric grid, maintaining/accessing databases to process<br />

payroll, claims, or contracts. If a function is considered essential, list the reason(s) why in the last column.<br />

Department/Division/Office: _____________________________________________<br />

Functions Performed Essential? If Essential, Why?<br />

(Include as many additional rows as necessary)<br />

Continuity of Government/Continuity of Operations Plan (Page 6 of 21)


Page | 112<br />

Worksheet B: Rank Essential Functions<br />

Instructions: Fill in the department/division/office name and list essential functions from Worksheet A<br />

in column one. In column two, specify a time period within which the function should be back online<br />

during an emergency, e.g., 0-24 hours, 24-48 hours, one week, two weeks, one month. The time period<br />

should be consistent with the organization/facility rules and policy, if available.<br />

For functions not specified in rules or policies, the time period should be based on a combination of (a)<br />

how critical the function is to the mission during an emergency, (b) how long the facility can operate<br />

without performance of the function, and (c) how important the function is to the performance of other<br />

essential functions. See the third column in Worksheet A for reasons why specific functions are<br />

considered critical. For column three, rank the priority of each essential function based on the specified<br />

time period, e.g., 0-24 hours = priority one; 24- 48 hours = priority two, and so forth.<br />

Department/Division/Office: _____________________________________________<br />

Essential Function Recovery Time Priority<br />

(Include as many additional rows as necessary)<br />

Continuity of Government/Continuity of Operations Plan (Page 7 of 21)


Page | 113<br />

Worksheet C: Essential Functions Staff<br />

Instructions: Fill in the department/division/office name. Using Worksheet B, list the department’s<br />

essential functions in order of priority, i.e., all priority one functions followed by all priority two<br />

functions, and so forth. In the last column, list the position titles of all staff needed to perform the<br />

essential function. Use an asterisk to designate which positions would be included in the facility’s<br />

advance team, the group that prepares the alternate facility for other essential staff.<br />

Department/Division/Office: _____________________________________________<br />

Priority Essential Function Essential Staff<br />

(Include as many additional rows as necessary)<br />

Continuity of Government/Continuity of Operations Plan (Page 8 of 21)


Worksheet D: COOP Roster<br />

Instructions: In the first column, list the essential staff positions and their functions from Worksheet C. In the remaining columns, record the<br />

contact information for staff and their backups who will fill each position.<br />

Essential Staff:<br />

Position Title, Department, and<br />

COOP Function<br />

Name:<br />

Primary COOP Staff Backup COOP Staff 1<br />

Name:<br />

Office phone:<br />

Office phone:<br />

Home phone:<br />

Home phone:<br />

Cell phone:<br />

Cell phone:<br />

Office email:<br />

Office email:<br />

Home mail:<br />

Home mail:<br />

Name:<br />

Name:<br />

Office phone:<br />

Office phone:<br />

Home phone:<br />

Home phone:<br />

Cell phone:<br />

Cell phone:<br />

Office email:<br />

Office email:<br />

Home mail:<br />

Home mail:<br />

Page | 114<br />

Continuity of Government/Continuity of Operations Plan (Page 9 of 21)


Worksheet E: Orders of Succession and Delegation of Authorities<br />

Instructions: In the first column, list key decision-makers (by position) responsible for the facility's essential functions. In the second column, list<br />

the designated successors for each decision-maker. It is important to list several backup successors. In the third column, specify whether the key<br />

decision- maker's authorities to perform all functions are transferred to the successor or whether there are some limitations, e.g., authority to spend<br />

up to $X without authorization. In the fourth column, identify the circumstances under which the successor's authority is activated and terminated.<br />

In the last column, note where the authority, including when it is activated and terminated, is recorded.<br />

Key Position Successor Delegated<br />

Authority(ies)<br />

Activation/Termination of<br />

Delegated Authority(ies)<br />

Documentation of<br />

Authority(ies)<br />

Page | 115<br />

Continuity of Government/Continuity of Operations Plan (Page 10 of 21)


Worksheet F: Contact Information for Key Decision-Makers and Successors<br />

Instructions: In the first column, list each key position and successor named on Worksheet E. In the second column, identify the current<br />

occupant of the position and their contact information in the event of an emergency.<br />

Key Position/Successor Contact Information<br />

Name:<br />

Office phone:<br />

Home phone:<br />

Cell phone:<br />

Office email:<br />

Home mail:<br />

Name:<br />

Office phone:<br />

Home phone:<br />

Cell phone:<br />

Office email:<br />

Home mail:<br />

(Include as many additional rows as necessary)<br />

Page | 116<br />

Continuity of Government/Continuity of Operations Plan (Page 11 of 21)


Worksheet G: Alternate Work Site Requirements<br />

Instructions: In the first column, list all the essential functions recorded on Worksheet C. In the second column, record the number of essential<br />

staff for each function (also on Worksheet C). In the third column, note whether each function can be done manually or requires a power<br />

source(s); in the fourth column, list what types of furniture and office equipment, e.g., desks, chairs, computers, tape recorders, copy and fax<br />

machines, are needed. In the fifth column, identify communications needs such as land lines, cell phones, satellite dish, two-way radios, network<br />

access, and internet access. Give an estimate of the floor space needed to accommodate the staff for each function and note in the last column<br />

whether telecommuting is an option for accomplishing the function.<br />

Essential Function # of Staff Power Furniture/Equipment Communications Floor Space Telecommute?<br />

(Include as many additional rows as necessary)<br />

Page | 117<br />

Continuity of Government/Continuity of Operations Plan (Page 12 of 21)


Worksheet H: Alternate Work Site Options<br />

Instructions: In the first column, list each potential alternate site identified by the planning team. When visiting the facility, record (a) the number<br />

of staff it can accommodate; (b) what type of power supply it has and the number of accessible outlets; (c) the number of desks, chairs, computers<br />

and other types of office equipment and whether there are any private offices available; (d) the types of phone and data lines available; (e) the floor<br />

space available and whether it is contiguous or on different floors or in separate wings; (e) how accessible the facility is for staff and public,<br />

whether parking is available at the facility, and whether transportation and/or lodging for staff will be needed; (f) whether it is vulnerable, e.g., in a<br />

flood zone or near hazard materials storage; and (g) what type of financial or other agreements would be necessary to secure the facility as an<br />

alternate site.<br />

Facility Name,<br />

Address, and<br />

Contact<br />

Staff<br />

Capacity<br />

(#)<br />

Power<br />

Supply<br />

Offices/Furniture/<br />

Equipment<br />

Communications Floor<br />

Space<br />

(sq. ft.)<br />

Easily<br />

Accessible?<br />

Vulnerabilities? Agreements<br />

(Include as many additional rows as necessary)<br />

Page | 118<br />

Continuity of Government/Continuity of Operations Plan (Page 13 of 21)


Worksheet I: Alternate Work Sites by <strong>Disaster</strong> Scenarios<br />

Instructions: Record contact information for each alternate facility. If more than one alternate facility is used for a specific scenario, provide<br />

information for each. If at least some essential staff will work from home, list "work from home" as one of the alternate facilities. In columns three<br />

and four, list what agreement the facility has made with the facility, e.g., MOU for 500 sq. ft., and when the agreement was made; list any costs<br />

associated with the facility in column four; and provide any additional information about the facility in the last column.<br />

<strong>Disaster</strong> Scenario Alternate Facility(ies) Name, Address, Phone #,<br />

and Contact<br />

Agreement<br />

Date of<br />

Agreement<br />

Annual Cost Notes<br />

Scenario I: Building<br />

Unavailable 7 Days<br />

Secondary Backup<br />

Scenario III: Building<br />

Unavailable<br />

Extended Time<br />

Long-Term<br />

Operations<br />

2. Name:<br />

Address:<br />

Phone:<br />

Contact:<br />

1. Name:<br />

Address:<br />

Phone:<br />

Contact:<br />

2. Name:<br />

Address:<br />

Phone:<br />

Contact:<br />

1. Name:<br />

Address:<br />

Phone:<br />

Contact:<br />

2. Name:<br />

Address:<br />

Phone:<br />

Contact:<br />

Page | 119<br />

Continuity of Government/Continuity of Operations Plan (Page 14 of 21)


Page | 120<br />

Worksheet J: Inoperability of Communications Systems<br />

Instructions: In the first column, list the communications systems/devices that support essential<br />

functions. Also include communications systems available at the alternate facility if different from those<br />

already listed. In the second column, list the provider of the service, e.g., AT&T, Appalachian Wireless,<br />

Verizon, or the maker of the system/device. In the third column, list the location of the system/device.<br />

Keep in mind that some emergency equipment, e.g., satellite telephones, may be stored in an alternate<br />

facility or at a staff member's residence. List each unit and its location. The fourth column identifies who<br />

has access to the system/device and could use it during an emergency. The final column lists all parties<br />

with whom the user could exchange information using the system/device. In some cases, "parties" refers<br />

to the ability of computers to exchange data. The first row provides an example.<br />

Communication<br />

System/Device<br />

Who Provides<br />

Service/Makes<br />

System/Device?<br />

Where ls<br />

System/Device<br />

Located?<br />

Voice Lines Name of company Throughout<br />

facility<br />

Fax Lines<br />

Who Has Access? With Which Parties Can It<br />

Communicate?<br />

All users • Across facility<br />

• Alternate facility staff<br />

• All external partners<br />

• General public<br />

Data Lines<br />

Cellular Phones<br />

Pagers<br />

Email<br />

Internet Access<br />

(Include as many additional rows as necessary)<br />

Continuity of Government/Continuity of Operations Plan (Page 15 of 21)


Worksheet K: Inventory of vital Records<br />

Instructions: In the first column, list the essential functions by priority as identified in Worksheet B. In the second column, list any vital record<br />

necessary for performing the essential function, and briefly describe each record in the third column. In the fourth column, list each form of the<br />

record and its location, e.g., paper files in personnel office, electronic version on facility's network, backup of electronic files on flash drive in<br />

drive-away kit. List any supporting software or hardware needed to access each record in the fifth column. If some vital records are not backed up<br />

and stored in more than one location, stored in risky areas, e.g., a basement likely to flood, or stored on media inaccessible at the alternate<br />

facilities; the team should identify additional measures to protect the files and ensure accessibility to essential functions staff in the last column of<br />

the worksheet.<br />

Essential Function Vital File, Record,<br />

or Database<br />

Description Form(s) and<br />

Location(s) of<br />

Record<br />

Supporting Application<br />

and/or MIS<br />

Maintenance<br />

Frequency<br />

Additional Backups/Protections?<br />

Page | 121<br />

Continuity of Government/Continuity of Operations Plan (Page 16 of 21)


Worksheet L: Restoration Resources*<br />

Instructions: List all record recovery and restoration resources in the first column, contact information in the second and third columns, and the<br />

types of services provided in the last column. If available, include evening, holiday, and emergency/alternate contact information as well as contact<br />

information for regular business hours.<br />

Resource Contact Name Address/Phone Services<br />

(Include as many additional rows as necessary)<br />

Page | 122<br />

Continuity of Government/Continuity of Operations Plan (Page 17 of 21)


Worksheet M: Emergency Services Available<br />

Instructions: List service providers in the first column, the types of services offered by each provider in the second column, the provider’s contact<br />

information in the third column. List any additional information in the fourth column, e.g., covered by employee’s insurance, criteria that must be<br />

met for obtaining services relevant to accessing services.<br />

Provider/Agency Services Provided Contact Information Notes<br />

(Include as many additional rows as necessary)<br />

Page | 123<br />

Continuity of Government/Continuity of Operations Plan (Page 18 of 21)


Page | 124<br />

Worksheet N: Drive-Away Kits<br />

Instructions: Each essential functions staff (and backups) identifies items to include in their personal<br />

drive-away kit. (Kits include only items that are not pre-positioned and maintained at the alternate site.)<br />

The first column provides examples of the types of items that could be included, the second column<br />

identifies the specific items necessary to the staff person's essential functions and duties, and the third<br />

column records the last time the contents were reviewed and/or updated.<br />

Drive-Away Kit for:<br />

________________________________________________<br />

Types of Content<br />

Specific Item and Brief Description<br />

Paper files<br />

Electronic files and<br />

databases<br />

Reference materials<br />

Specific tools and<br />

equipment<br />

Supplies<br />

Personal items<br />

Other<br />

(Include additional rows as needed)<br />

Continuity of Government/Continuity of Operations Plan (Page 19 of 21)


Page | 125<br />

Worksheet O: Devolution Plan<br />

Instructions: Prepare a basic devolution plan by completing the form.<br />

1. Provide contact information for alternate facility(ies) available to perform essential functions.<br />

(Add as many rows as necessary.) These would be those secured by MOU prior to a disaster.<br />

Department<br />

Contact Information<br />

2. Prepare a written agreement with alternate facility(ies) and keep it with vital records.<br />

3. List the officials and their successors (by position, not name) allowed to transfer authority to<br />

perform essential functions. Add as many rows as necessary.<br />

Authorities and successors allowed to implement devolution plan:<br />

4. Provide a plan for transferring vital records and other materials necessary for performing essential<br />

functions to alternate facility(ies), e.g., will vital records and materials be stored and updated on<br />

the same schedule as those stored with an alternate facility(ies)?<br />

5. List procedures for notifying the alternate facility devolution.<br />

6. List procedures for returning authority once the facility is reconstituted.<br />

Continuity of Government/Continuity of Operations Plan (Page 20 of 21


Page | 126<br />

COOP Templates<br />

APPROVALS<br />

This Continuity of Operations Plan(COOP) was prepared by [insert name of affected<br />

agency] to develop, implement, and maintain a viable COOP capability. This COOP<br />

plan complies with applicable internal agency policy, local and state regulations, and<br />

supports recommendations provided in the Federal Emergency Management Agency's<br />

Federal <strong>Preparedness</strong> Circular 65. This COOP plan has been distributed internally<br />

within the [insert name of affected agency] organization and with external agencies that<br />

may be affected by its implementation.<br />

Approved: ______________________________ Date: ________________________<br />

[Title]<br />

Approved: ______________________________ Date: ________________________<br />

[Title]<br />

Approved: ______________________________ Date: ________________________<br />

[Title]<br />

Approved: ______________________________ Date: ________________________<br />

[Title]<br />

Continuity of Government/Continuity of Operations Plan (Page 21 of 21)


Sample Executive Order Declaring State of Emergency<br />

EXECUTIVE ORDER NO. _______________________<br />

CITY OF _______________________<br />

EXECUTIVE ORDER AND<br />

STATE OF EMERGENCY DECLARATION<br />

WHEREAS, Governor ______ declared a State of Emergency in the Commonwealth of Kentucky effective<br />

___________ after Kentucky was impacted by ____________ (take out if no state declaration);<br />

WHEREAS, (describe the disaster with specificity); and<br />

WHEREAS, the City of _____________ sustained catastrophic damage resulting in the loss of life,<br />

infrastructure, and services (describe loss); and<br />

WHEREAS, the emergency response of the City of ________________ must be deployed rapidly to protect<br />

the health, safety, and welfare of citizens; and<br />

WHEREAS, Mayor ____________, has determined damage from severe weather and tornado damage<br />

sustained by the City of ___________________ on _____________________, presents a severe and complex<br />

threat to the public health, safety, and welfare of citizens that extraordinary emergency measures are<br />

warranted pursuant KRS 39B.070; and<br />

WHEREAS, it is necessary for Mayor __________________________ to coordinate an emergency effort with<br />

national, state, county, and other local agencies for maximum effective response.<br />

NOW and therefore, I, ____________________________ , Mayor of the City of _____________________,<br />

Kentucky, by virtue of the authority vested in my by KRS Chapter 39A and 39B of the Kentucky Revised<br />

Statutes, do hereby declare that a state of emergency exists in the City of _______________________,<br />

effective _____________________________ and states as follows:<br />

I shall be exercising the authority granted to me through Executive Orders, and through utilization of city<br />

personnel, services, equipment, and any necessary acts to manage this emergency.<br />

Subject to any orders of Governor _____________________, I hereby order and direct any and all<br />

departments of the City of ________________ to coordinate and cooperate with the Kentucky Department<br />

of Emergency Management, local emergency management agencies, and any federal agencies to respond<br />

to the threat presented by __________________________ (describe disaster) damage sustained on<br />

__________________, and to provide information to individuals, businesses, organizations, and other entities<br />

to best prepare and respond.<br />

This Declaration of State of Emergency shall remain in effect until terminated by the issuance of another<br />

Executive Order when I determine that a state of emergency no longer exists and the exercise of<br />

extraordinary measures are no longer required for the protection of the public health, safety, and welfare.<br />

Signed on this the______________day of ______________,<br />

Mayor__________________________ City of __________________________<br />

Page | 127


EXECUTIVE ORDER NO. __________________<br />

CITY OF __________________<br />

EXECUTIVE ORDER AND STATE OF EMERGENCY<br />

WHEREAS, Governor _______________ declared a State of Emergency in the Commonwealth of Kentucky<br />

effective ____________________ after Kentucky was impacted by ___________________ (take out if no<br />

state declaration);<br />

WHEREAS, (describe the disaster with specificity); and<br />

WHEREAS, the City of ________________ sustained catastrophic damage resulting in the loss of life,<br />

infrastructure, and services (describe loss); and<br />

WHEREAS, Mayor ______________ declared a State of Emergency effective __________________; and<br />

WHEREAS, local government has a paramount responsibility and authority to protect the health, safety, and<br />

welfare of the public;<br />

NOW THEREFORE, I, Mayor _____________, by the authority expressly vested in me by KRS 39A.100(2)(c),<br />

do hereby direct the following curfew exists in ___________, Kentucky until further notice:<br />

CURFEW<br />

Sample Executive Order Declaring Curfew<br />

Definitions: For the purpose of this Order, the following words or phrases shall have the following meaning:<br />

“Emergency” A set of unforeseen circumstances, or their resulting state, that includes, but is not limited to,<br />

fire, natural disaster, automobile accident, widespread contagion, or any situation that requires immediate<br />

action to prevent serious bodily infection, bodily injury, loss of life, or immediate loss of property.<br />

“Public Place” Any Place within the City of ___________ to which the general public or a substantial<br />

part of the general public has access. It includes, but is not limited to, streets, sidewalks, school grounds,<br />

shopping centers, shopping malls, museums, restaurants, parking lots, parks, bowling alleys, and recreation<br />

centers.<br />

Juvenile Curfew: In the event of an Emergency, as defined herein, and except as provided in paragraph<br />

(C) of this section, no person other than emergency management, public safety, and other personnel<br />

expressly authorized by the Mayor shall be in a public place within the geographic boundaries of the City of<br />

________________, Kentucky from 7:00 a.m. to 5:30 p.m.<br />

Police Action Upon Violation: Upon determination that there is a probable cause that a person is in violation<br />

of this curfew, the City of __________ Police Department, or any other law enforcement agency with proper<br />

jurisdiction may obtain information necessary to issue a citation to the person that informs them that there is<br />

probable cause to believe that the violation of this order has been committed and to proceed to their home<br />

or temporary shelter.<br />

Penalty: Persons in violation of this order may be detained by officers of the City of _____________ Police<br />

Department, or any other law enforcement agency with proper jurisdiction and returned to their home or<br />

temporary shelter. Violations of this order shall not carry other penalties<br />

This order is effective __________________, ____.<br />

_______________________________________<br />

Mayor, ________________, Kentucky


<strong>Disaster</strong>-Related Materials Tracking Summary Page | 129


<strong>Disaster</strong>-Related Rented Equipment Page | 130


<strong>Disaster</strong>-Related Force Account Equipment Tracking Page | 131


<strong>Disaster</strong>-Related Force Account Labor Tracking (Use for volunteers too) Page | 132


Page | 133<br />

Applicants Benefits Calculation Worksheet


Page | 134<br />

<strong>Disaster</strong>-Related Contract Work Summary Record (Page 1 of 2)


Page | 135<br />

<strong>Disaster</strong> Related Contract Work Summary Record (Page 2 of 2)


Sample Volunteer Agreement/Waiver<br />

The undersigned agrees that I am qualified to perform the work I am volunteering for, disaster recovery relief,<br />

and request to perform volunteer (unpaid at no cost to the city) work for the City of _______________,<br />

pursuant to Executive Order _____________ declaring a state of emergency in the City of ______________.<br />

I understand that I am not an employee or agent of the city, but I agree to follow the direction of city officials<br />

and employees regarding volunteer activity. I understand this agreement is subject to any mutual aid<br />

agreements in place as of the date this agreement is signed. I understand that as a volunteer, I may be permitted<br />

to operate certain approved City of _______________ vehicles and equipment and I agree to follow<br />

the City of _____________ vehicle policies and the directive of city employees. I understand as a volunteer I<br />

am not a covered employee of the City of _______________________.<br />

In consideration of the City of ________________ permitting the undersigned to volunteer, the undersigned<br />

does, for himself/herself, his/her heirs, assignees, executors, and administrators, remise, release and forever<br />

discharge the City of _______________, a municipal corporation, its officers, agents, and/or employees and<br />

volunteers of and from all manner of action and actions, suits, and sums of money, dues, claims, or demands,<br />

whatsoever, which arise out of or in any manner grow out of, property damage sustained by the undersigned<br />

or injuries or death sustained by the undersigned, including injuries known or unknown, by reason of being<br />

permitted to participate in the aforesaid activity in the City of _________________.<br />

It is further warranted by the undersigned that no promise or inducement has been offered, except as herein<br />

set forth, and that the undersigned is of legal age, legally competent to execute this release, and agrees to<br />

all the terms of this release and indemnity agreement, making all warranties herein set forth and accepting<br />

full responsibility therefor, and this release is a full and final release of all claims known and unknown, anticipated,<br />

and unanticipated.<br />

___________________________<br />

Volunteer Signature<br />

__________________<br />

Date<br />

Name: ____________________________________________________________________________<br />

Address: ___________________________________________________________________________<br />

Phone: ____________________________________________________________________________<br />

Business/Organization: _______________________________________ Phone: __________________<br />

Page | 136


SAMPLE DISASTER INVENTORY SPREADSHEET<br />

SAMPLE LISTS SPREADSHEET?<br />

Inventory Form FEMA Page | 137


Page | 138<br />

<strong>Disaster</strong>-Related Project Worksheet


Page | 139<br />

Preliminary Damage Assessment Summary (Page 1 of 2)


Page | 140<br />

Preliminary Damage Assessment Summary (Page 2 of 2)


Debris Management Plan Template (Page 1 of 23)<br />

DEBRIS MANAGEMENT PLAN<br />

City of ___________________________<br />

INSERT CITY NAME HERE<br />

Effective Date: ______________________<br />

INSERT MONTH DAY, YEAR<br />

Page | 141


Page | 142<br />

Table of Contents<br />

Click on a page number to be taken<br />

Table of Contents directly to each section.<br />

I. PURPOSE………………………………………………………………………………………………………………………………………………………………….3 Page 143<br />

II. SITUATION AND ASSUMPTIONS ................................................................................................................................. Page 143 3<br />

A. Joint Plan................................................................................................................................................. 3<br />

B. Debris ................................................................................................................................................................... 3<br />

C. Private Contractors and Waste Management. ...................................................................................................... 3<br />

D. Duplication of Benefits ........................................................................................................................................ 3<br />

III. ORGANIZATION ............................................................................................................................................................. Page 144 4<br />

A. DPW..................................................................................................................................................................... 4<br />

B. Staff Roles and Responsibilities. .......................................................................................................................... 4<br />

C. Volunteers and Donated Resources ...................................................................................................................... 5<br />

IV. CONCEPT OF OPERATIONS ...................................................................................................................................... Page 145 5<br />

A. Normal Operations ............................................................................................................................................... 5<br />

B. Increased Readiness ............................................................................................................................................. 6<br />

C. <strong>Response</strong> Operations ............................................................................................................................................ 6<br />

D. Recovery Operations ............................................................................................................................................ 8<br />

V. DEBRIS CLASSIFICATION AND SEGREGATION .................................................................................................. Page 149 9<br />

A. Debris Classification and Segregation................................................................................................................ 10<br />

B. Estimating Debris Quantities ............................................................................................................................. 10<br />

C. Debris Classifications......................................................................................................................................... 10<br />

VI. DEBRIS DISPOSAL AND REDUCTION ..................................................................................................................... Page 153 13<br />

A. Burning .............................................................................................................................................................. 13<br />

B. Recycling ........................................................................................................................................................... 13<br />

C. Grinding and Chipping ....................................................................................................................................... 13<br />

D. Permanent Landfill ............................................................................................................................................. 13<br />

VII. CONTRACTED SERVICES AND COOPERATIVE AGREEMENTS ................................................................... Page 153 13<br />

A. Private Contracting ............................................................................................................................................. 13<br />

B. Pre-Approved Contractors.................................................................................................................................. 14<br />

C. Debris Contract and Cooperative Agreements Management. ............................................................................ 14<br />

D. Sample Contracts ............................................................................................................................................... 14<br />

E. Steps of the Contract Bid Process ...................................................................................................................... 15<br />

F. Contract Pitfalls.................................................................................................................................................. 15<br />

G. Mutual Aid Agreements ..................................................................................................................................... 16<br />

VIII. DEBRIS MANAGEMENT SITE ................................................................................................................................ Page 156 16<br />

A. Debris Management Sites (DMS):..................................................................................................................... 16<br />

B. Overview ............................................................................................................................................................ 17<br />

C. Local Sites .......................................................................................................................................................... 17<br />

D. Permits ............................................................................................................................................................... 17<br />

E. Opening .............................................................................................................................................................. 18<br />

F. Monitoring ......................................................................................................................................................... 18<br />

G. Close-out ............................................................................................................................................................ 18<br />

IX. MONITORING DEBRIS REMOVAL...................................................................................................................... Page 158 18<br />

A. Monitoring Agency ............................................................................................................................................ 18<br />

B. Debris Monitoring Operations Overview ........................................................................................................... 18<br />

C. The Debris Monitor’s Roles and Responsibilities in the Field ........................................................................... 19<br />

D. Debris Monitor Tools, Products and Positions................................................................................................... 19<br />

E. Specific Monitoring Operations ......................................................................................................................... 20<br />

X. DEBRIS PLAN ANNEXES ........................................................................................................................................... Page 162 22<br />

XI. PLAN IMPLEMENTATION .......................................................................................................................................... Page 163 23<br />

Debris Management Plan Template (Page 2 of 23)


I. PURPOSE<br />

The purpose of the Debris Management Plan is to establish a framework to facilitate the proper<br />

management of debris generated by natural disasters within INSERT CITY NAME. The goal is to<br />

facilitate a reasonable, efficient, and prompt recovery from such disasters, which protecting human<br />

health and safety, and the quality of valuable natural resources and the environment. The Debris<br />

Management Plan adheres to the mission of the Kentucky Department of Environmental Protection to<br />

protect and enhance Kentucky’s environment.<br />

II. SITUATION AND ASSUMPTIONS<br />

YOUR JURISDICTION MUST DECIDE WHETHER IT WILL HAVE A JOINT DEBRIS<br />

MANAGEMENT PLAN OR IF IT WILL JUST BE FOR A SINGLE ENTITY. IF IT IS<br />

NOT A JOINT PLAN, DELETE PARAGRAPH “A,” AND THE PARAGRAPHS SHOULD<br />

AUTOMATICALLY ADJUST. ALSO, DELETE THIS PARAGRAPH WHEN YOU HAVE<br />

COMPLETED YOUR PLAN.<br />

A. Joint Plan. This is a joint plan that applies to the jurisdictions of INSERT COUNTY NAME HERE<br />

County Fiscal Court, the City of INSERT CITY NAME HERE and the City of INSERT CITY NAME<br />

HERE. The term “Applicant” will be used to refer to these entities separately and/or any combination<br />

thereof. When the term Applicant is used it could apply to any and/or all jurisdictions.<br />

B. Debris. Natural and man-made disasters create a variety of debris that includes, but not limited to such<br />

things as trees, sand, gravel, building/construction materials, vehicles, personal property, etc. The type<br />

and quantity of debris generated from any particular disaster is a function of the location and kind of<br />

event experienced, as well as its magnitude, duration, and intensity. The type and quantity of debris<br />

generated, its location, and size of the area over which it is dispersed, directly impacts the type of<br />

collection and disposal methods used to address the debris problem, associated costs incurred, and the<br />

speed with which the problem can be addressed. Safe, proper and timely management of debris is an<br />

essential component of an emergency response or disaster incident. It is important that disaster debris<br />

be properly managed so as to protect human health, comply with regulations, conserve disposal capacity,<br />

reduce injuries, and minimize/prevent environmental and/or historical preservation impacts.<br />

C. Private Contractors and Waste Management. In a major or catastrophic disaster, INSERT CITY<br />

NAME HERE may have difficulty locating staff, equipment, and funds to devote to debris removal,<br />

both short term and long term. Private contractors may play a significant role in the debris removal,<br />

collection, reduction, and disposal process. The debris management program implemented by the<br />

Applicant will be based on the waste management approach of reduction, reuse, reclamation, resource<br />

recovery, incineration, and land filling.<br />

D. Duplication of Benefits. The Applicant may not receive funding from two sources for the same item<br />

of work. This is called Duplication of Benefits. If assistance can be obtained for a project from another<br />

Federal Agency, such as Natural Resources Conservation Service (NRCS), then the Federal Emergency<br />

Management Agency (FEMA) cannot provide funds for that project. Grants and cash donations received<br />

from non-Federal sources designated for the same purpose as public assistance funds are generally<br />

considered duplication of benefits. However these funds may be applied towards the non-Federal cost<br />

share. Grants and cash donations that are received for unspecified purposes and ineligible work do not<br />

constitute a duplication of benefits. Duplication of Benefits most commonly occurs with insurance<br />

settlements. If a damaged facility is insured, FEMA is required to reduce the amount of the grant by<br />

any insurance proceeds that the Applicant anticipates or receives for the insured facility, even if the<br />

Applicant has not completed negotiations with the insurer.<br />

Page | 143<br />

Debris Management Plan Template (Page 3 of 23)<br />

Page 3 of 23


The retention of duplicated funds is illegal and must be returned to FEMA. The Debris Management<br />

Team will closely track all debris management operations and all other eligible work. The team will<br />

take all precautions to ensure there is no duplication of benefits received for any debris removal activity.<br />

III. ORGANIZATION<br />

A. DPW. The INSERT CITY NAME HERE Road Department, will be referred to as the Department of<br />

Public Works (DPW) in this plan and is responsible for the debris removal function in their respective<br />

jurisdictions. DPW will work in conjunction with designated support agencies, State Environmental<br />

Protection Agency (EPA), State Historical Preservation Office (SHPO), the Solid Waste Coordinator,<br />

utility companies, waste management firms, trucking companies and other transportation agencies to<br />

facilitate the debris clearance, collection, reduction and disposal needs following a disaster. DPW will<br />

be responsible for removing debris from the public right-of-way. DPW may remove debris from private<br />

property only when it is pre-approved by the Applicant and deemed in the public interest. See ANNEX<br />

A for a Right to Entry Agreement that affected residents and businesses should complete.<br />

B. Staff Roles and Responsibilities. The Applicant will ensure all state and local regulations, laws, and<br />

ordinances are addressed and followed for all environmental and historic preservation issues. The<br />

Applicant may select a “Debris Manager” to supervise a “Debris Management Team”. The team may<br />

be comprised of but not limited to personnel who perform the following:<br />

1. Administration: Housekeeping, supplies, equipment, funding, accounting, documentation,<br />

etc.<br />

2. Contracting and Procurement: Bidding requirements, forms, advertisements for bids,<br />

instructions to bidders, contract development, etc.<br />

3. Legal: Contract review, right of entry permits, community liability, condemnation of<br />

buildings, land acquisition for temporary staging and reduction sites, land acquisition for<br />

disposal sites, insurance, etc. Also ensure all state and local regulations, laws, and ordinances<br />

are addressed and followed including all environmental and historic preservation issues.<br />

4. Operations: Identification of project tasks, assignments of tasks, preparation of estimates,<br />

plans, specifications, and recommendation of contract award. Supervision of government and<br />

contract resources and overall project management, etc.<br />

5. Oversight and Support: Detailed damage assessment, documentation collection and<br />

consolidation, liaison with State and Federal agencies, volunteer support and management,<br />

support to all other functions<br />

6. Public Information: Coordinate press releases, contacts with local organizations, individuals,<br />

and media; and public notices for debris removal and disposal contracts.<br />

7. Other Assigned Tasks. The team may coordinate with State and Federal agencies responsible<br />

for disaster response and recovery operations. The team may be assigned but not limited to:<br />

1. Developing public information and education programs.<br />

2. Training personnel in debris management techniques.<br />

3. Maintaining pre-disaster maps, blueprints, photos and other documents.<br />

4. Making a list of critical facilities (streets, roads, and bridges).<br />

5. Identifying governmental and non-governmental groups that could assist.<br />

6. Providing emergency communications to debris monitoring and management teams.<br />

7. Ensuring health and safety issues are addressed throughout the operation.<br />

Debris Management Plan Template (Page 4 of 23)<br />

C. Volunteers and Donated Resources. Donated resources which include volunteer labor, donated<br />

Page | 144


equipment and donated materials, are eligible to offset the Applicant’s portion of the cost share for<br />

emergency work (Category A and B). Donated resources must apply to actual eligible emergency<br />

work, such as debris removal or the filling and placing of sandbags. The donated services must be<br />

documented and must include a record of hours worked, the work site, and description of work. (See<br />

ANNEX M) Volunteer labor will be valued at the same hourly labor rate as someone in the<br />

Applicant’s organization performing similar work. The value for donated equipment should be<br />

determined by using the applicable FEMA equipment rate and multiplying it by the number of hours<br />

the piece of equipment was used to perform eligible emergency work. Donated materials are valued<br />

at the current commercial rate.<br />

IV. CONCEPT OF OPERATIONS<br />

Overview: The Concept of Operations describes how debris management activities will be conducted<br />

in response to debris generating events as a Phased Approach. The Phased Approach is a four-step<br />

cycle that includes Normal Operations, Increased Readiness, <strong>Response</strong>, and Recovery. Normal<br />

Operations and Increased Readiness tasks may be performed before a debris-generating event occurs.<br />

The primary focus of <strong>Response</strong> Operations is on clearing debris from the roadway for emergency<br />

resources. The Recovery part of the Debris Management Cycle includes debris removal, recycling, and<br />

disposal. The Applicant will identify and resolve special considerations issues early as possible in the<br />

process and provide all necessary information relating to the debris operations to the appropriate agency<br />

including the EPA and SHPO.<br />

A. Normal Operations: (Encompasses key activities to enhance the plan; keep the plan and its supporting<br />

information up-to-date; and build and maintain staff readiness to implement the plan). The details of<br />

these activities are as follows:<br />

1. Develop local and regional list of contractors who can assist in all phases of debris management.<br />

2. Develop sample contracts with generic scopes of work to expedite the implementation of debris<br />

management strategies.<br />

3. Develop mutual aid agreements with other State agencies and local governments, as appropriate,<br />

following Applicant procurement guidelines.<br />

4. Identify and pre-designate potential debris storage sites for the type and quantity of debris<br />

anticipated following a catastrophic event.<br />

5. Pre-identify local and regional critical routes in cooperation with contiguous and regional<br />

jurisdictions.<br />

6. Develop site selection criteria checklists to assist in identifying potential debris storage sites.<br />

(See ANNEX L)<br />

7. Identify and coordinate with appropriate regulatory agencies regarding potential regulatory issues<br />

and emergency response needs.<br />

8. Develop the necessary right of entry and hold harmless agreements indemnifying all levels of<br />

government against any potential claims. (See ANNEX A)<br />

9. Establish debris assessment process to define scope of problem.<br />

10. Develop and coordinate pre-scripted announcements regarding debris removal process, collection<br />

times, temporary storage sites, use of private contractors, environmental and health issues, etc.<br />

Page | 145<br />

Debris Management Plan Template (Page 5 of 23)<br />

Page 5 of 23


B. Increased Readiness (Natural or man-made disaster is threatening local area)<br />

Page | 146<br />

1. Upon notice of any possible threat, the Applicant and all concerned parties shall meet as soon as<br />

possible to review the debris removal process.<br />

2. Review and update plans, standard operating procedures, generic contracts, and checklists relating<br />

to debris removal, storage, reduction, and disposal process.<br />

3. Alert local departments that have debris removal responsibilities ensuring that personnel, facilities,<br />

and equipment are ready and available for emergency use.<br />

4. Relocate personnel and resources to pre-determined locations out of harm's way if necessary and<br />

stage in areas where they can be effectively mobilized.<br />

5. Review potential local, regional, and debris staging and reduction sites that may be used in the<br />

response and recovery phases in the context of the impending threat.<br />

6. Review listing of private contractors who may assist in debris removal process. Make necessary<br />

arrangements to ensure their availability in the event of the disaster.<br />

C. <strong>Response</strong> Operations: <strong>Response</strong> Operations or Debris Clearance involves activities necessary to<br />

eliminate life and safety threats. Normally, the Applicant will use their own labor force and equipment<br />

to remove debris during this phase. When the existing labor force is not sufficient, or when specialized<br />

services are required, the Applicant may supplement their work efforts by activating mutual aid<br />

agreements or by awarding short-term debris removal contracts for specific work.<br />

Overview: During <strong>Response</strong> Operations, the first 24 to 72 hours after the disaster, debris activities<br />

should emphasize clearing key roads for emergency access by pushing debris to the edge of the rightof-way,<br />

rather than restoring roads to pre-event conditions. There is no attempt during this phase to<br />

physically remove or dispose of the debris, only to clear key access routes to expedite the movement of<br />

emergency vehicles, law enforcement, and/or resumption of critical services, assessment of damage to<br />

key public facilities, and locations such as schools, hospitals, government buildings, and utilities.<br />

<strong>Response</strong> activities should also include identifying and removing any obvious debris situations that<br />

may pose an immediate threat to public health and safety. (Examples may include dangerously<br />

positioned, damaged trees; debris piles that obstruct traffic visibility; fire prone debris piles; etc.)<br />

<strong>Response</strong> is a crucial time for organizing the majority of the tasks outlined in the plan.<br />

Actions required during the <strong>Response</strong> Phase are usually completed within a matter of hours or days<br />

following a disaster event. The transition period from initial clearance activities to debris removal<br />

depends on the magnitude of the disaster.<br />

1. <strong>Response</strong> Actions<br />

a. Activate the Debris Management Plan and coordinate with needs assessment team.<br />

b. Initiate Damage Assessment<br />

c. Begin documenting debris management and removal costs.<br />

d. Coordinate and track resources (public and private). (See ANNEX M.)<br />

e. Establish priorities regarding allocation and use of available resources.<br />

f. Identify, establish and prepare debris temporary storage and disposal sites (local, regional).<br />

g. Address any legal, environmental and/or health issue relating to debris removal process.<br />

h. Conduct briefings/meetings with key personnel.<br />

Debris Management Debris Plan Management Plan Template (Page Page 66 of of 23)


Page | 147<br />

i. Issue press releases and continually keep the media and the public informed.<br />

2. 2. General Work Eligibility. Removal and disposal of of debris that that is is a result a of of a disaster, a and and is is on<br />

public on property, public property, is eligible is eligible for Federal for Federal assistance. assistance. Public property Public property includes includes roads, streets, roads, streets, and publiclyowned<br />

publicly-owned facilities. Removal facilities. of debris Removal from of parks debris and from recreation parks and areas recreation is eligible areas when is eligible it affects when public it<br />

and<br />

health affects and public safety, health or limits and the safety, use of or limits those facilities. the use of those <strong>Disaster</strong>-related facilities. <strong>Disaster</strong>-related debris may be debris removed may from be<br />

private removed property from if private it is pre-approved property if by it is FEMA, pre-approved is a public by FEMA, health and is a safety public hazard, health and safety if the work hazard, is<br />

performed and if the by work the Applicant. is performed Also, by debris the Applicant. removal Also, work debris from removal private work property from will private comply property with all<br />

applicable will comply federal, with state all and applicable local requirements federal, state including and local all requirements environmental including and historical all environmental preservation<br />

requirements.<br />

and historical<br />

Cost<br />

preservation<br />

of debris removal<br />

requirements.<br />

by private<br />

Cost<br />

individuals<br />

of debris removal<br />

is not eligible<br />

by private<br />

under<br />

individuals<br />

the Public<br />

is<br />

Assistance<br />

not<br />

eligible under the Public Assistance Program; however, within a specific time period, a private<br />

Program; however, within a specific time period, a private property owner may move disaster-related<br />

property owner may move disaster-related debris to the curbside for pick-up by the Applicant. That<br />

debris to the curbside for pick-up by the Applicant. That time period will be established by FEMA in<br />

time period will be established by FEMA in coordination with the State. (The cost of picking up<br />

coordination<br />

reconstruction<br />

with the<br />

debris<br />

State.<br />

and<br />

(The<br />

normal<br />

cost<br />

garbage<br />

of picking<br />

pick-up<br />

up<br />

is<br />

reconstruction<br />

not eligible for<br />

debris<br />

FEMA<br />

and<br />

reimbursement).<br />

normal garbage pickup<br />

is not eligible for FEMA reimbursement).<br />

3. Debris Removal Priorities. The debris removal process should be initiated promptly and<br />

conducted in an orderly, effective manner in order to protect public health and safety following a<br />

major or catastrophic event. To achieve this objective, debris removal priorities are as follows:<br />

(1) Clear debris from key roads. (2) Provide access to critical facilities. (3) Eliminate debris threats<br />

to public health and safety.<br />

a. First Priority - Key Roads<br />

The first priority will be to clear debris from key roads in order to provide access for<br />

emergency vehicles and resources into the impacted area. Key roads in INSERT CITY<br />

NAME HERE are identified as follows:<br />

• Major Highways<br />

• County and City Roads and Streets<br />

• Rural Secondary Roads<br />

b. Second Priority – Critical Facilities<br />

The need and demand for critical services will significantly increase following a disaster.<br />

Therefore, the second priority that debris removal resources will be assigned is providing<br />

access to critical facilities. Critical facilities in INSERT CITY NAME HERE have been<br />

identified as:<br />

1. EOC/E911 Facility<br />

2. DPW Facilities<br />

3. Emergency Services Facilities<br />

4. Water and Sewer Distribution Facilities<br />

5. Electrical Distribution Facilities<br />

6. Shelters<br />

7. Schools<br />

Debris Management Plan Template (Page 7 of 23)


Page | 148<br />

c. Third Priority - Debris Threats to Public Health and Safety<br />

The third priority for debris removal teams to address will be elimination of debris related<br />

threats to public health and safety. This will include such things as the repair, demolition,<br />

or barricading of heavily damaged and structurally unstable buildings, systems, or facilities<br />

that pose a danger to the public. Any actions taken to mitigate or eliminate the threat to the<br />

public health and safety must be closely coordinated with the owner or responsible party.<br />

If access to the area can be controlled, the necessary actions can be deferred.<br />

D. Recovery Operations: This phase of the Debris Management Cycle covers actions necessary to<br />

complete the debris removal, reduction, and disposal activities<br />

1. Recovery Actions.<br />

a. Identify and prioritize remaining debris removal sites<br />

b. Establish controls to prevent or minimize illegal dumping and theft of services<br />

c. Continue to collect, store, reduce, and dispose of debris generated from the event in a costeffective<br />

and environmentally responsible manner.<br />

d. Closely monitor debris removal and recovery operations.<br />

e. Continue to document all debris management and removal costs.<br />

f. Upon completion of the debris removal mission, close out debris storage and reduction sites<br />

by developing and implementing the necessary site restoration actions.<br />

g. Perform necessary audits of the operation and submit a claim for Federal assistance.<br />

2. Public Property/Right-of-Way Debris Removal: Debris on public lands including the right-of- way<br />

will be the responsibility of local government.<br />

3. Private Property Debris Removal: Debris on private property is the responsibility of the property<br />

owner. Information regarding pickup times and locations for private property owners shall be distributed<br />

so that debris removal activities proceed efficiently. If property owners move disaster- related debris to<br />

a public right-of-way, the Applicant may be reimbursed for debris pickup, haul and disposal from the<br />

right-of-way for a limited period of time. If the Applicant does not have the legal responsibility to<br />

maintain a right-of-way, then debris removal from that right-of-way is not eligible for reimbursement.<br />

a. If the Applicant intends to seek reimbursement to remove debris from private property, will<br />

submit a written request for reimbursement to and receive approval from, the Federal<br />

Coordinating Officer (FCO) prior to commencement of work. (See ANNEX A) The written<br />

request will include the following information:<br />

(1)<br />

Public Interest Determination<br />

(2)<br />

Documentation of Legal Responsibility<br />

(3)<br />

Authorization for Removal of Debris from Private Property<br />

(4)<br />

Indemnification of the Federal Government<br />

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Page | 149<br />

b. FEMA is prohibited from approving funds for work that is covered by any other source of funding.<br />

Therefore, the Applicant must take reasonable steps to prevent such an occurrence, and verify<br />

that insurance coverage or any other source of funding does not exist for the debris removal<br />

work accomplished on each piece of private property. When debris removal from private<br />

property is covered by an insurance policy, the insurance proceeds must be used as the first<br />

source of funding. Public Assistance grant funding may be used to pay for the remainder of<br />

the costs of debris removal from private property. Debris removal work from private property<br />

will comply with all federal, state and local requirements and all applicable environmental and<br />

historical preservation requirements.<br />

4. Types of Debris Collection Methods. The fundamental component of debris management is<br />

collection of debris. The public expects to have debris removed immediately after a disaster event.<br />

The debris type, amount and urgency determines which collection method is used. The two main<br />

methods of debris collection are curbside collection and collection centers. The Debris Management<br />

Team may tailor the collection operation using curbside collection, collection centers or a<br />

combination of both depending on specific jurisdictions, quantities and types of debris.<br />

a. Curbside Collection: Debris is placed at the curb or public rights-of-way by the residents<br />

for the Applicant’s collection. The only difference between the subcategories below is the<br />

separation of the types of debris at the point of collection.<br />

(1)<br />

Mixed Debris Collection. Collecting mixed debris by the applicant allows the<br />

residents to place all debris types in one specified area, usually along the public<br />

right-of-way in from of their residence.<br />

(2)<br />

Source –Segregated Debris Collection. Residents are directed to sort the debris<br />

by material type and place it at the curb in separate piles. Trucks designated for a<br />

particular debris type collect the assigned debris and deliver it to a temporary<br />

staging area, or debris management site, reduction, recycling, or disposal facility.<br />

This method is important when collecting hazardous and environmentally<br />

sensitive debris, such as household hazardous waste and white goods. (See<br />

ANNEX F for guidelines to segregate debris.)<br />

b. Collection Centers: The second type of collection method is to have residents transport<br />

their debris to a common location. Large roll-off bins may be placed on public rights-of- way<br />

or public property for residents to bring their debris for collection. This is well suited for<br />

rural, sparsely populated areas or logistically difficult conditions where curbside collection<br />

is not practical. Separate bins can be designated for particular types of debris. The Debris<br />

Management Team should assign employees to oversee operations of the collection center.<br />

Employees need to be stationed at the centers during the collection period to ensure debris<br />

materials are placed in the correct bins and to ensure a collection center does not become a<br />

dumping ground for non-disaster related debris.<br />

V. DEBRIS CLASSIFICATION AND SEGREGATION<br />

Overview: FEMA defines disaster-generated debris as, "Any material, including trees, branches,<br />

personal property and building material on public or private property that is directly deposited by<br />

the disaster." FEMA often uses the terms "vegetative" for natural debris and "construction and<br />

demolition" for man-made debris.<br />

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Page | 150<br />

A. Debris Classification and Segregation: The debris classification determines how removal will be<br />

handled. To facilitate the debris management process, the Applicant may segregate debris by type. It is<br />

recommended that the categories of debris established for recovery operations be standardized. If<br />

segregated, debris removed will consist of two broad categories: (1) Clean wood and vegetative debris<br />

(2) Construction and demolition (C&D) debris. (See ANNEX F for guidelines to segregate debris.)<br />

B. Estimating Debris Quantities: Calculations developed by the US Army Corps of Engineers listed in<br />

the FEMA 325, Public Assistance Debris Management Guide may be used for debris estimation.<br />

Applicant may seek assistance from State Agencies or FEMA with debris estimation. Aerial view of<br />

debris may be used as a method to calculate debris quantities.<br />

NOTE: To get a general idea of the debris quantity, some calculations say debris could consist of 30%<br />

clean woody material and 70% C&D. Of the 70% mixed C&D it is estimated 42% will be burnable but<br />

require sorting, 5% will be soil, 15% will be metals, and 38% landfill.<br />

C. Debris Classifications<br />

1. Burnable Materials: Burnable materials will be of two types with separate burn locations.<br />

Burnable materials should be coordinated with the State EPA and FEMA. The SHPO should<br />

also be contacted for an archeological and environmental review.<br />

a. a) Burnable Debris: Burnable debris consists predominately of trees and vegetation. It<br />

includes, but is not limited to damaged and disturbed trees; bushes and shrubs; broken,<br />

partially broken and severed tree limbs; and bushes. Burnable debris does not include<br />

garbage or construction and demolition material debris.<br />

b. b) Burnable Construction Debris: Burnable construction and demolition debris consists of<br />

non-creosote structural timber, wood products, and other materials designated by State<br />

EPA regulations.<br />

2. Non-burnable Debris: Non-burnable construction and demolition debris includes, but is not<br />

limited to creosote timber, plastic, glass, rubber and metal products, sheet rock, roofing shingles,<br />

carpet, tires, and other materials as may be designated by State EPA. Garbage will be considered<br />

non-burnable debris.<br />

3. Wet Debris: Debris in and around streams, culverts, bridges and other drainage structures.<br />

FEMA will not fund the removal of debris from waterways. All wet debris projects should be<br />

communicated to the Natural Resources and Conservation Services (NRCS). Wet debris will not<br />

be touched and no work will be performed until NRCS has inspected the debris field.<br />

4. Ineligible Debris: Ineligible debris to remain in place includes, but is not limited to, chemicals<br />

petroleum products, paint products, asbestos, and power transformers.<br />

5. Hazardous/Toxic Waste (HTW): Any material found to be classified as HTW shall be reported<br />

immediately to the DPW. At the Applicant and DPW Director’s direction, this material shall be<br />

segregated from the remaining debris in such a way as to allow the remaining debris to be loaded<br />

and transported. Standing broken utility poles, damaged and/or downed utility poles and<br />

accessories, transformers and other electrical material will be reported to DPW.<br />

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6. Overhead/ Underground Utilities: Emergency workers shall exercise caution with existing<br />

overhead and underground utilities and above ground paraphernalia, and advise DPW of any<br />

situation that poses a health or safety risk to on-site workers or the general population.<br />

Page | 151<br />

7. Vegetative Debris - Vegetative debris may consist of whole trees, tree stumps, tree branches, tree<br />

trunks, and other leafy material. Depending on the size of the debris, collection of vegetative<br />

debris may require the use of flatbed trucks, dump trucks, and grapple loaders.<br />

Stumps: Stumps as outlined under current FEMA requirements will be considered tree<br />

remnants exceeding 24 inches in diameter; but no taller than 18 inches above grade, to<br />

include the stump ball. Any questionable stumps shall be referred to DPW for disposition<br />

determination. Stump grinding may be required for disposal.<br />

8. Construction and Demolition Debris - Construction and demolition (C&D) debris can be<br />

defined as damaged components of buildings and structures, such as lumber and wood, gypsum<br />

wallboard, glass, metal, roofing material, tile, carpeting and floor coverings, window coverings,<br />

pipe, concrete, fully cured asphalt, equipment, furnishings, and fixtures. The C&D debris must<br />

be disaster-generated (eligible C&D debris cannot be the result of rebuilding efforts) and present<br />

an immediate threat to be considered for FEMA eligibility. Eligible demolition activities must<br />

satisfy environmental and historic preservation compliance review requirements as established by<br />

44 CFR Parts 9 and 10, the National Historic preservation Act, the Endangered Species Act, and<br />

all other applicable legal requirements.<br />

9. Hazardous Waste – The Applicant will comply with federal, state, and local environmental<br />

requirements for handling hazardous waste. Hazardous waste is regulated under the Resource<br />

Conservation and Recovery Act (RCRA) and contains properties that make it potentially harmful<br />

to human health or the environment. In regulatory terms, a RCRA hazardous waste is a waste that<br />

appears on one of the four hazardous waste lists (refer to Title 40 of the CFR Part 261) or exhibits<br />

at least one of the following four characteristics: ignitability, corrosivity, reactivity, toxicity.<br />

a. Safety precautions will vary depending upon the circumstances and type of hazardous materials<br />

encountered, but they may include personal protective equipment, decontamination stations,<br />

closed and secured containers, and covered trucks or specialized containers.<br />

b. Hazardous material processing will be carefully and regularly monitored to verify that proper<br />

precautions are taken and that the chain-of-custody is maintained.<br />

c. Verify that hazardous materials are delivered to an appropriate site since hazardous wastes<br />

typically require special handling, transportation, and final disposition that are significantly<br />

more costly than typical waste disposal.<br />

10. Household Hazardous Waste - Household Hazardous Waste (HHW) refers to hazardous products<br />

and materials that are used and disposed of by residential consumers, rather than commercial or<br />

industrial consumers. HHW includes some paints, stains, varnishes, solvents, pesticides, and other<br />

products or materials containing volatile chemicals that catch fire, react, or explode under certain<br />

circumstances, or that are corrosive or toxic. State EPA should be contacted for the collection,<br />

handling, transport, and disposal of HHW.<br />

11. White Goods - White goods are defined as discarded household appliances such as refrigerators,<br />

freezers, air conditioners, heat pumps, ovens, ranges, washing machines, clothes dryers, and water<br />

heaters. Many white goods contain ozone-depleting refrigerants, mercury, or compressor oils that<br />

must be removed and processed following environmental protocols and procedures before the white<br />

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Page | 152<br />

goods can be further processed for disposal and recycling.<br />

a. Document that white goods are collected separately, cleaned and processed to remove<br />

putrescent debris inside and to remove all oils, solvents, and refrigerants.<br />

b. If white goods are to be collected without being cleaned, verify and document that the debris<br />

disposal site includes ample space for processing collected white goods.<br />

c. This type of debris may be recyclable or have salvage value. Document separation and<br />

salvage activities that are implemented.<br />

12. Soil and Mud - Floods, landslides, winds, and storms often deposit soil and mud on improved<br />

public property and public rights-of-way. Facilities commonly affected by this type of debris<br />

include streets, sidewalks, storm and sanitary sewers, drainage canals and basins.<br />

a. Document that only the disaster-generated silt and soils are removed. This requires an<br />

understanding of pre-disaster conditions as well as the documented maintenance of the<br />

affected area.<br />

b. Contaminated soils may require special handling depending on the contaminant.<br />

Document any contaminated soil issues to ensure proper handling, processing, and<br />

disposition.<br />

c. Verify that any contaminated disaster-generated soils are addressed by the EPA and<br />

managed appropriately in designated areas.<br />

13. Vehicles and Vessels - Vehicles and vessels may be damaged, destroyed, displaced, or lost as a<br />

result of a disaster. These vehicles and vessels may eventually be abandoned because of the<br />

damage incurred or because the original owners have relocated. Vehicles and vessels may be<br />

classified as debris if they block public access and critical facilities.<br />

a. Verify that each vehicle or vessel identification number is documented.<br />

b. Verify that collected vehicles and vessels are transported to a collection area where they are<br />

secured and protected.<br />

14. Putrescent Debris - Putrescent debris is any debris that will decompose or rot, such as animal<br />

carcasses and other fleshy organic matter. Putrescent debris handling must comply with<br />

applicable federal, state, and local requirements.<br />

a. Document that putrescent debris is collected in accordance with contract specifications or<br />

other specific requirements.<br />

b. Document the volume of putrescent debris. The volume of putrescent materials cannot be<br />

determined based solely on the volume of the originally inventoried materials because the<br />

spoiled materials may have lost a significant portion of their volume. The actual volume<br />

removed needs to be documented.<br />

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VI. DEBRIS DISPOSAL AND REDUCTION<br />

VI. DEBRIS DISPOSAL AND REDUCTION<br />

VI. Once DEBRIS debris DISPOSAL is removed from AND the REDUCTION<br />

damage sites, it may be taken to temporary and/or permanent landfills.<br />

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The Once four debris methods is removed of debris from disposal the damage are burning, sites, it recycling, may be taken grinding/chipping to temporary and/or permanent landfill. landfills.<br />

Once The four debris<br />

INSERT methods is removed<br />

CITY of debris from<br />

NAME disposal the damage<br />

HERE are Solid burning, sites, it<br />

Waste recycling, may be taken<br />

Coordinator grinding/chipping to temporary and/or<br />

shall ensure all debris permanent permanent<br />

is removed landfill. landfills.<br />

in<br />

accordance The four INSERT methods<br />

with CITY of debris<br />

state NAME disposal<br />

and local HERE are<br />

regulations, Solid burning, Waste recycling,<br />

laws, Coordinator grinding/chipping<br />

and ordinances shall and ensure all environmental all and debris permanent is and removed landfill.<br />

historic in<br />

preservation accordance The INSERT with CITY<br />

compliance state NAME and issues local HERE<br />

are regulations, Solid Waste<br />

followed. laws, Coordinator<br />

To every and extent ordinances shall<br />

possible, and ensure all environmental all debris is<br />

methods of debris and removed<br />

removal historic in<br />

and preservation accordance with<br />

reduction compliance state and<br />

should use issues local<br />

a per-ton are regulations, followed. laws,<br />

weight method. To every and extent ordinances possible, and all all environmental methods of debris and removal historic<br />

preservation and reduction compliance should use issues a per-ton are followed. weight method. To every extent possible, all methods of debris removal<br />

and reduction should use a per-ton weight method.<br />

A. Burning<br />

A. Burning<br />

A. Burning The three primary burning methods that may be utilized are open burning, air curtain pit burning, and<br />

The incineration. three primary All burning methods that shall may meet be utilized environmental are open and burning, historic air preservation curtain pit burning, compliance and<br />

The<br />

requirements.<br />

incineration. three primary All burning methods that shall may meet be utilized environmental are open and burning, historic air preservation curtain pit burning, compliance and<br />

incineration. requirements. All burning methods shall meet environmental and historic preservation compliance<br />

requirements. 1. Controlled open burning: Cost-effective method for reducing clean woody debris in rural<br />

1. areas. Controlled Burning open reduces burning: the volume Cost-effective by 95%, method leaving for only reducing ash residue clean to woody be disposed debris in of. rural<br />

1. Controlled areas. Burning open reduces burning: the volume Cost-effective by 95%, method leaving for only reducing ash residue clean to woody be disposed debris in of. rural<br />

2. Air areas. curtain Burning pit reduces burning: the Substantially volume by 95%, reduces leaving environmental only ash residue concerns. to be The disposed blower of. unit<br />

2. must Air curtain have adequate pit burning: air velocity Substantially to provide reduces a “curtain environmental effect” to concerns. hold smoke The in blower and to feed unit<br />

2. Air<br />

air must curtain<br />

to have the fire adequate pit burning:<br />

below. air velocity Substantially to provide reduces a “curtain environmental effect” to concerns. hold smoke The in blower and to feed unit<br />

must air to have the fire adequate below. air velocity to provide a “curtain effect” to hold smoke in and to feed<br />

3. Portable air to the fire incinerators: below. Use the same methods as air curtain pit systems. The only<br />

3. difference Portable incinerators: is that portable Use incinerators the same utilize methods a pre-manufactured as air curtain pit pit systems. in lieu of The an onsite only<br />

3. Portable incinerators: Use the same methods as air curtain pit systems. The only<br />

constructed difference is earth/limestone that portable incinerators pit. utilize a pre-manufactured pit in lieu of an onsite<br />

difference constructed is earth/limestone that portable incinerators pit. utilize a pre-manufactured pit in lieu of an onsite<br />

constructed earth/limestone pit.<br />

B. Recycling<br />

B. Recycling<br />

B. Recycling Metals, wood, and soils are prime candidates for recycling. Most of the non-ferrous metals are<br />

suitable Metals, for wood, recycling. and soils The are Applicant prime candidates may recycle for where recycling. feasible. Most of the non-ferrous metals are<br />

Metals, suitable for wood, recycling. and soils The are Applicant prime candidates may recycle for where recycling. feasible. Most of the non-ferrous metals are<br />

suitable for recycling. The Applicant may recycle where feasible.<br />

C. Grinding and Chipping<br />

C. Grinding and Chipping<br />

C. Grinding and Chipping chipping may be utilized as a viable reduction method. Grinding and chipping<br />

reduces Grinding the and volume chipping by cubic may be yard utilized on a 4 as to a 1 viable ratio. reduction When grinding method. and Grinding chipping is and determined chipping<br />

Grinding and chipping may be utilized as a viable reduction method. Grinding and chipping<br />

to reduces be beneficial the volume by by the cubic Applicant, yard on material a 4 to 1 ratio. may be When disposed grinding of and on-site chipping and force is determined account<br />

reduces the volume by cubic yard on a 4 to 1 ratio. When grinding and chipping is determined<br />

procedures to be beneficial shall be by used the for Applicant, reimbursement. material Grinding may be and disposed chipping of may on-site also and be used force as a account debris<br />

to be beneficial by the Applicant, material may be disposed of on-site and force account<br />

reduction procedures method shall be in used order for to reimbursement. reduce transportation Grinding and handling chipping costs. may also be used as a debris<br />

procedures reduction method shall be in used order for to reimbursement. reduce transportation Grinding and and handling chipping costs. may also be used as a debris<br />

reduction method in order to reduce transportation and handling costs.<br />

D. Permanent Landfill<br />

D. Permanent Landfill<br />

D. Permanent There is a Landfill licensed, environmental compliant permanent landfill located in INSERT CITY OR<br />

There COUNTY is a NAME licensed, HERE environmental County operated compliant by Rumpke, permanent Inc. landfill This landfill located may in be INSERT used in CITY the debris OR<br />

There is a licensed, environmental compliant permanent landfill located in INSERT CITY OR<br />

disposal COUNTY and NAME reduction HERE process. County Debris operated taken by to Rumpke, the landfill Inc. shall This meet landfill landfill may disposal be used requirements. in the debris<br />

COUNTY disposal NAME HERE County operated by Rumpke, Inc. This landfill may be used in the debris<br />

See ANNEX and reduction G, Rumpke process. Landfill Debris Waste taken Restrictions. to the landfill These shall landfill meet restrictions landfill disposal will be requirements. updated on<br />

disposal and reduction process. Debris taken to the landfill shall meet landfill disposal requirements.<br />

an See annual ANNEX basis G, at Rumpke the same Landfill time the Waste plan is Restrictions. updated. These landfill restrictions will be updated on<br />

See an annual ANNEX basis G, at Rumpke the same Landfill time the Waste plan is Restrictions. updated. These landfill restrictions will be updated on<br />

an annual basis at the same time the plan is updated.<br />

VII. CONTRACTED SERVICES AND COOPERATIVE AGREEMENTS<br />

VII. CONTRACTED SERVICES AND COOPERATIVE AGREEMENTS<br />

VII. CONTRACTED SERVICES AND COOPERATIVE AGREEMENTS<br />

A. Private Contracting. Because of the limited quantity of resources and service commitments following<br />

A. a Private disaster, Contracting. the Applicant Because may be of relying the limited heavily quantity on private of resources contractors and to service remove, commitments collect, and following manage<br />

A. Private<br />

debris a disaster, Contracting.<br />

for the reuse, Applicant Because<br />

resource may recovery, be of relying the limited<br />

reduction, heavily quantity on and private of resources<br />

disposal. contractors and<br />

Using to service<br />

private remove, commitments following<br />

contractors collect, and instead manage of<br />

a disaster, the Applicant may be relying heavily on private contractors to remove, collect, and manage<br />

government debris for reuse, workers resource in debris recovery, removal reduction, activities and has disposal. a number Using of benefits. private It contractors shifts the instead burden of<br />

debris for reuse, resource recovery, reduction, and disposal. Using private contractors instead conducting government the workers in from debris the Applicant removal activities to the private has a sector, number freeing of benefits. up government It shifts the personnel burden of to<br />

government conducting the workers in from debris the Applicant removal activities to the private has a sector, number freeing of benefits. up government It shifts the personnel burden of to<br />

conducting the work from the Applicant to the private sector, freeing up government personnel to<br />

government personnel Page 13 of to 23<br />

Debris Management Plan<br />

Page 13 of 23<br />

Debris Management Plan<br />

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Page | 154<br />

devote more time to their regularly assigned duties. Private contracting also stimulates local, regional,<br />

and State economies impacted by the storm, as well as maximizes State and local governments' level<br />

of financial assistance from the Federal government. Private contracting allows the Applicant to more<br />

closely tailor contract services to meet specific needs. The entire process (i.e., clearance, collection,<br />

transporting, reduction, and disposal, etc.) or segments of the process may be contracted out.<br />

B. Pre-Approved Contractors. City can use the state price contract to identify pre-approved contractors<br />

for debris removal.<br />

C. Debris Contract and Cooperative Agreements Management. The Applicant, EM Director and<br />

DPW Director are responsible for managing the debris contract and the contractor from project<br />

inception to completion. Managing the debris contract and contractor includes such things as<br />

monitoring performance, contract modifications where needed, inspections, acceptance, payment, and<br />

close out of activities. The Applicant may enter into cooperative agreements with other State agencies<br />

and local governments to maximize public assets. The development of such agreements must comply<br />

with the guidelines established in the Applicant’s procurement policy.<br />

D. Sample Contracts. Sample contracts with a menu of services and generic scopes of work may be<br />

developed by the Applicant, Emergency Management (EM) Director, DPW Director, the jurisdiction’s<br />

Attorney’s Office and others as needed prior to the disaster to allow the Applicant to more closely tailor<br />

its contracts to its needs, as well as expedite their implementation in a prompt and effective manner.<br />

The three types of contracts that may be used are:<br />

1. Unit Price Contract. A unit price contract is the preferred method for debris removal.<br />

It is the most accurate account of actual quantities removed. The unit priced contract is based on<br />

weight (tons) of debris hauled, and should be used when the scope-of-work is not well defined. It<br />

requires close monitoring of pick-up, hauling, and dumping at both the loading sites and the<br />

disposal site to ensure that quantities are accurate. All contractor trucks will be measured and the<br />

tare weight obtained prior to initial loading. Applicant will identify either portable or fixed certified<br />

scales to be used to monitor debris tonnage. Debris will be removed per current FEMA<br />

requirements such as, but not limited to, load tickets identifying truck number, contract number,<br />

contractor’s name, date, time departed site, and estimated volume may be documented as well. (See<br />

ANNEX I for Sample Debris Monitoring Forms.)<br />

2. Lump Sum Contract. Price of the work is fixed unless there is a change in the scope of work to<br />

be performed. This contract should be used only when the scope of work is clearly defined, with<br />

areas of work and quantities of material clearly identified. It can be defined in one of two<br />

ways: (a) area method, where the scope of work is based on a one-time clearance of a specified<br />

area. (b) pass method, where the scope of work is based on a certain number of passes through a<br />

specified area, such as a given distance along a right-of-way.<br />

3. Time and Materials Contract. Will be limited to the first 70 hours of operation to mobilize<br />

contractors for emergency removal efforts and only after all State and local equipment has been<br />

committed. It should have a dollar ceiling or a not-to-exceed limit for hours (or both), and should<br />

be terminated immediately when this limit is reached. The contract should state that: (a) the price<br />

for equipment applies only when equipment is operating. (b) the hourly rate includes operator, fuel,<br />

maintenance, and repair. (c) Applicant reserves the right to terminate the contract at its convenience.<br />

(d) Applicant does not guarantee a minimum number of hours. Intense monitoring of these contracts<br />

is extremely important. Work inspection reports should be completed each day that clearly state the<br />

amount of work accomplished that day in quantitative terms, the type and number of trucks used<br />

and the number of hours worked. FEMA will not fund standby or idle time costs.<br />

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Page | 155<br />

NOTE: All contractors shall be required to meet any and all current FEMA debris removal<br />

requirements. A sample unit price contract is attached to this plan as ANNEX E.<br />

E. Steps of the Contract Bid Process are as follows:<br />

1. Request for Qualifications (RFQ) (ANNEX B) will be posted in the newspaper and on the county<br />

website to solicit debris removal contractors every two years.<br />

2. Debris Contract Bid Specifications (ANNEX C) will be placed on the county website for potential<br />

debris removal contractors to review.<br />

3. A scoring board will review contractors who have responded to the RFQ. Those who best meet the<br />

requirements of the Debris Contract Specifications as determined by the scoring board will be listed<br />

on a Pre-Approved Contractor Listing (ANNEX D). They’ll be listed in order of their score.<br />

4. When a disaster occurs, the Applicant will contact all pre-approved debris removal contractors and<br />

provide the estimated amount of debris in tons to be disposed of and the debris coverage area. The<br />

Applicant will also provide the distance the debris will need to be transported for disposal. The preapproved<br />

contractors will then be asked to submit an overnight bid for debris removal and disposal<br />

at a per ton cost.<br />

5. Once overnight bids are received, the Applicant will assess the bid and the qualifications,<br />

experience, capabilities and ability to deploy of the pre-approved contractors. Taking all factors into<br />

consideration, a contractor will be selected for the project. The Applicant reserves the right to reject<br />

any and all bids and to accept any bid, whether or not the lowest price, that the Applicant, in its<br />

sole discretion, deems to be in the best interest of sound fiscal management for its jurisdiction.<br />

When a non-competitive contract is selected, the Applicant will assess such costs on a reasonable<br />

and customary basis in determining the best value.<br />

6. Once a pre-approved contractor has been selected to remove and dispose of the Applicant’s debris,<br />

a contract (ANNEX E) will be submitted for signature.<br />

F. Contract Pitfalls. The Applicant will ensure that all personnel involved in oversight of the debris<br />

management efforts are aware that the following should not occur:<br />

1. Award a debris removal contract on a sole-source basis without coordinating with FEMA and<br />

KYEM.<br />

2. Sign a contract (including one provided by a contractor) until it has been thoroughly reviewed by<br />

the legal office.<br />

3. Allow any contractor to make eligibility determinations. Only FEMA has that authority.<br />

4. Accept any contractor’s claim that it is “FEMA certified.” FEMA does not certify, credential, or<br />

recommend debris contractors.<br />

5. Award a contract to develop and manage debris processing sites unless you know it is necessary.<br />

Temporary debris storage and reduction sites are not always necessary.<br />

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Page | 156<br />

6. Allow separate line item payment for stumps 24 inches and smaller in diameter; these should be<br />

treated as normal debris.<br />

7. “Piggyback” or utilize a contract awarded by another entity. The use of such a contract may<br />

jeopardize FEMA funding without prior approval.<br />

8. Award pre-disaster or stand-by contracts with mobilization costs or unit costs that are significantly<br />

higher than what they would be if the contract were awarded post-disaster. Such contracts should<br />

have variable mobilization costs depending upon the size of the debris work that may be<br />

encountered.<br />

G. Mutual Aid Agreements<br />

1. The Applicant may establish Mutual Aid Agreements/Memorandum of Understandings (ANNEX<br />

K) with any, but not limited to, the following entities to provide assistance with debris removal in<br />

the event of a disaster resulting in copious amounts of debris:<br />

a. INSERT COUNTY NAME HERE County<br />

b. City of INSERT CITY NAME HERE<br />

c. City of INSERT CITY NAME HERE<br />

d. Kentucky Department of Transportation<br />

e. Surrounding Counties<br />

f. Private Sector<br />

2. These agreements include but are not limited to utilization of personnel, equipment, temporary and<br />

permanent landfill sites, emergency services, and law enforcement. See ANNEX J for a sample of<br />

the Statewide Intergovernmental Emergency Mutual Aid Agreement and ANNEX K for a sample<br />

Mutual Aid Agreement.<br />

3. The Applicant has also identified certain Volunteer Organizations Active in <strong>Disaster</strong>s (VOAD),<br />

State and Federal agencies that are ready to assist as well. These agencies include Civic Clubs,<br />

Church organizations, Salvation Army, Kentucky Department of Transportation, the National<br />

Guard, scrap dealers, and the U.S. Department of Labor. National VOAD organizations will be<br />

coordinated by the State in conjunction with the Applicant.<br />

VIII. DEBRIS MANAGEMENT SITE<br />

A. Debris Management Sites (DMS): Established when debris cannot be taken directly from the<br />

collection point to the final disposition location. It is frequently used to increase the operational<br />

flexibility when landfill space is limited or when the landfill is not in close proximity to the debris<br />

removal area. The Debris Management Team will determine if a DMS is necessary and at what point<br />

in the debris management cycle that it will be established and opened. Prior to using the site, the<br />

Debris Management Team will ensure data is collected for baseline a baseline study so that all<br />

environmental, archeological and historical concerns are addressed. It is essential to document the<br />

condition of the land before it is used as a DMS (original condition vs ending condition). Past use<br />

and ownership should be researched to document any issues regarding the existence of historic<br />

structures or archeological sites. The SHPO should be involved with this research. The baseline<br />

study will be used for an environmental evaluation to confirm the site has returned to a pre-activity<br />

state (test samples should be taken at the same locations as those of the initial assessment and<br />

environmental monitoring program)<br />

Debris Management Plan Template (Page 16 of 23)


Page | 157<br />

B. Overview: Initially, debris may be placed in these temporary holding areas, until such time as a<br />

detailed plan of debris collection and disposal is prepared. This is not anticipated until after local<br />

traffic has been restored. Temporary debris collection sites should be readily accessible by recovery<br />

equipment and should not require extensive preparation or coordination for use. Collection sites will<br />

be on public property, when feasible, to facilitate implementation of the mission and mitigate against<br />

any potential liability issues. Activation of sites will be under the control of the DPW Director, and<br />

will be coordinated with other recovery efforts through the emergency operations center. Prior to the<br />

site being opened, coordination with the state will occur.<br />

C. Local Sites. The following is a list of temporary holding sites in INSERT COUNTY NAME HERE<br />

Co. Others may be identified and used based on debris collection and disposal needs. See ANNEX<br />

H; Site Selection Contact List (MODIFY AS APPROPRIATE)<br />

1. State Highway Department Complex<br />

2. Rumpke Landfill<br />

3. Hilltop Stone Complex<br />

4. Reis Concrete property<br />

5. Carmeuse Mines property<br />

D. Permits. Environmental permits may be required to establish a DMS. Several agencies may be<br />

involved in issuing permits and granting land-use approvals. Permits that may be required include:<br />

1. Waste processing and recycling operations permit<br />

2. Temporary land-use permits<br />

3. Land-use variances<br />

4. Traffic circulation strategies<br />

5. Air quality permits<br />

6. Water quality permits<br />

7. Fire department permits<br />

8. Before use of a site, the Department for Environmental Protection (DEP) requires the<br />

following information to be provided:<br />

a. Written statement of permission from the landowner.<br />

b. Location and size of the site provided on a map.<br />

c. Roads and road conditions leading to and from the site.<br />

d. Distance to surface water, including wetlands.<br />

e. Actions taken to prevent release of contaminates to surface and ground water.<br />

f. Information regarding how the site will be operated: who is operating it, hours of<br />

operation, fees, security, and emergency/spill response<br />

Debris Management Plan Template (Page 17 of 23)<br />

Page 17 of 23


Page | 158<br />

E. Opening. Before activities begin photos and/or videos should be taken to establish the condition<br />

of the site before use as a DMS, important features such as structures, fences, culverts, and<br />

landscaping will be noted that can help evaluate possible damage claims made later. Periodically<br />

update video and photographic documentation to track site evolution. Random soil samples may<br />

be taken as well as water samples from existing wells. The site may be checked for volatile organic<br />

compounds.<br />

F. Monitoring. After activities begin, constant monitoring of air quality should take place and soil<br />

and water samples may take place. Photos, maps, and sketches of the site should be updated.<br />

Document operations that will have a bearing on site closeout, such as petroleum spills at fueling<br />

sites, hydraulic fluid spills at equipment breakdowns, installation of water wells for stock pile<br />

cooling or dust control, and commercial, agricultural, or industrial hazardous and toxic waste<br />

storage and disposal.<br />

G. Close-out. Each temporary debris staging and reduction site will eventually be emptied of all<br />

material and be restored to its previous condition and use. At close-out, final testing of soil, water,<br />

and air quality should be taken and compared to original conditions. All ash should be removed<br />

and any remediation actions taken.<br />

IX. MONITORING DEBRIS REMOVAL<br />

A. Monitoring Agency. Debris removal operations may be monitored by use of Applicant forces,<br />

contractors or a combination of both. Preferred debris monitors are the Applicant’s own employees.<br />

Their employees are the most familiar with the jurisdiction and know the priorities of the debris<br />

management plan. Force account labor tends to have a vested interest in keeping debris monitoring<br />

costs to a minimum. Also, force account employee overtime costs are reimbursed based on FEMA<br />

Public Assistance Program’s labor cost policies for emergency work. In some cases regular force<br />

account hours may be reimbursed with FEMA approval. In some cases though, the monitoring task<br />

may need to be outsourced to a contractor. As with any contractual arrangement, the Applicant must<br />

ensure that the contractor is meeting the performance requirements of the contract. If a contractor is<br />

hired to perform a monitoring task, the Applicant is required to ensure that the hired contractor<br />

performs satisfactorily. If the Applicant outsources a monitoring task, the contract must be awarded<br />

to a contractor who has no vested interest in the debris removal contract or contractor. There must<br />

be no conflict of interest between the monitoring contractor and the debris removal contractor.<br />

B. Debris Monitoring Operations Overview. Monitoring debris removal operations achieves two<br />

objectives: 1) Verifying that the work completed by the contractor is within the contract scope of<br />

work. 2) Providing the required documentation for Public Assistance grant reimbursement.<br />

Monitoring operations are meant to ensure that the debris removal contractor is performing the<br />

scope of work required by the contract and to document the debris removal operations. The primary<br />

role for debris monitors is to document the location and amount of debris collected. The key<br />

elements of information that are needed to verify the contractor’s scope of work and determine<br />

eligibility are the:<br />

1. Type of debris collected<br />

2. Amount of debris collected<br />

3. Original collection location<br />

Debris Management Plan Template (Page 18 of 23)<br />

Debris Management Plan Page 18 of 23


Page | 159<br />

C. The Debris Monitor’s Roles and Responsibilities in the Field include:<br />

1. Measure and certify truck capacities (recertify on a regular basis), when applicable.<br />

2. Complete and physically control load tickets (in monitoring towers and the field).<br />

3. Document hazardous trees, including hangers, leaners, and stumps.<br />

4. Ensure that trucks are accurately credited for their load.<br />

5. Ensure that trucks are not artificially loaded to maximize reimbursement (e.g., debris is wetted;<br />

debris is fluffed - not compacted).<br />

6. Ensure that hazardous waste is not mixed in with loads.<br />

7. Ensure that all debris is removed from trucks at the DMS/Disposal Site.<br />

8. Report to debris project manager if improper equipment is mobilized and used.<br />

9. Report to debris project manager if contractor personnel safety standards are not followed.<br />

10. Report to debris project manager if general public safety standards are not followed.<br />

11. Report to debris project manager if completion schedules are not on target.<br />

12. Ensure that only debris specified in the scope of work is collected and identify work<br />

as potentially eligible or ineligible.<br />

13. Monitor site development and restoration of the DMS.<br />

14. Ensure daily loads meet permit requirements.<br />

15. Ensure that work stops immediately in an area where human remains or potential archeological<br />

deposits are discovered.<br />

16. Report to debris project manager if debris removal work does not comply with all local<br />

ordinances as well as state and federal regulations.<br />

D. Debris Monitor Tools, Products and Positions.<br />

1. Forms, Reports and Logs. Applicant will ensure all monitoring Forms, Reports and Logs are<br />

complete and submitted on a daily basis to the debris project manager for final reconciliation.<br />

2. Camera and GPS. Debris monitors will utilize cameras with GPS capability and/or separate<br />

GPS units to document pictures and location of debris all along the debris management cycle.<br />

3. Disposal Site Observation Tower. Debris monitors will need a way to look down into the<br />

bed of trucks and containers that are being brought to the DMS or Disposal Site. This could<br />

also be done with a monitor trained in the use of a bucket truck.<br />

4. Truck Certification List. A truck certification list allows the monitor to identify the truck<br />

itself and its hauling capacity in a standardized manner. The standard list of requirements<br />

includes:<br />

a. Size of hauling bed in cubic yards<br />

b. License plate number<br />

c. Truck identification number assigned by the owner<br />

d. Short physical description of the truck<br />

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Page 19 of 23


Page | 160<br />

5. Load Ticket System. The term load ticket refers to the primary debris-tracking document (See<br />

ANNEX I). A load ticket system tracks the debris from the original collection point to the DMS<br />

or landfill. By positioning debris monitors at each point of the operations (collection, DMS,<br />

and final disposition), the eligible scope of work can be properly documented. This will help<br />

the Applicant document and track the debris from the initial collection location to the DMS and<br />

final disposal location. If a contract hauler is used, this ticket often verifies hauling activities<br />

and is used for billing purposes. Paper tickets (with at least four copies generated for one load<br />

of debris) or a computer generated ticket system may be used. The computer-based system<br />

should include the same information as a traditional paper load ticket.<br />

6. Load Site Monitors. Debris Monitors who are located at the debris site collection points. They<br />

are responsible for observing and documenting debris removal activities at loading sites. Load<br />

site monitors should document such activity using a Daily Debris Loading Site Monitor Log and<br />

record any issues that arise using a Daily Issue Log.<br />

7. Disposal Tower/Site Monitors. Debris Monitors who are located at the entrance to the DMS<br />

or Disposal Site.<br />

8. Roving Monitors. Debris Monitors that randomly monitor operations at the collection point,<br />

the DMS/Disposal Site and the routes in between these locations. They will make<br />

unannounced visits to all loading and disposal sites within their assigned areas.<br />

9. Training. All Debris Monitors should be trained in their positions prior to being assigned.<br />

E. Specific Monitoring Operations. The following describes methods and systems to monitor and<br />

document work completed by Applicant forces or contractors<br />

1. Load Site Monitors. Perform the following:<br />

a. Coordinate with the contractor to verify the location of the loading sites each day.<br />

b. Assist in the measurement of each truck at the beginning of debris removal operations.<br />

c. Document the truck dimensions, note the truck number and take a picture of each truck.<br />

d. Document the type of debris loaded (e.g., vegetative, construction and demolition, etc.)<br />

Ensure pictures are taken and GPS coordinates are obtained of debris associated with each<br />

load ticket.<br />

e. Complete the loading portion of the debris load ticket and sign it.<br />

f. Retain a copy of the debris load ticket and provide two copies to the driver or contractor for<br />

billing purposes.<br />

g. Submit copies of load tickets to the debris monitor at the end of each day.<br />

h. Ensure only debris that is specified by the applicant is collected for loading and hauling.<br />

i. Ensure that hazardous wastes are not mixed in with debris loads<br />

j. Ensure that debris loads are contained properly before leaving the loading area<br />

k. Photograph and provide a written document of any damages made to utility components,<br />

driveways, road surfaces, private property, vehicles, etc.<br />

Debris Management Plan Template (Page 20 of 23)


2. Disposal Tower/Site Monitors. Perform the following:<br />

a. View and take pictures of the contents of each truck/container entering the DMS/Disposal<br />

Site<br />

b. Obtain copies of the debris load ticket that has been signed by the Load Site Monitor from<br />

the truck driver.<br />

c. Sign the completed ticket and retain a copy. Give the remaining copies to the truck driver.<br />

d. Obtain copies of the weight ticket of each truck leaving the DMS/Disposal Site<br />

e. Ensure truck/container is completely empty prior to leaving the DMS/Disposal Site. Take<br />

pictures of each empty truck/container prior to it leaving the DMS/Disposal Site as<br />

verification.<br />

f. Spot check truck measurements by periodically measuring the dimensions of the trucks<br />

after they have unloaded the debris they were hauling.<br />

g. Submit copies of the completed, signed load tickets to the Debris Project Manager at the<br />

end of each day.<br />

h. The Debris Project Manager will identify personnel to enter information from the load<br />

tickets each day into a load ticket database if the contractor is not performing this task.<br />

i. Complete a Tower Monitor Log, to record truck information, load weights, and types of<br />

debris brought into the DMS or landfill. This log should also be used to record any issues<br />

noted for the day and provide comments concerning the day’s operation<br />

3. Roving Monitors. Perform the following:<br />

a. Assist in the measuring of all contractor trucks and trailers with the contractor’s<br />

representative and take photographs of all trucks and trailers.<br />

b. Obtain and become familiar with all debris removal and disposal contracts for which they<br />

are providing oversight.<br />

c. Drive around their assigned debris management areas to observe contractor operations.<br />

d. Complete a Debris Disposal Site Monitoring Checklist for every site visited. Ensure that<br />

operations are being followed as specified in the applicable debris removal and disposal<br />

contract.<br />

e. Prepare a daily Roving Monitor Report of contractor activities observed, including<br />

photographs of activities and sites visited.<br />

f. Roving monitors will submit their written daily reports at the end of each day to the Debris<br />

Project Manager. The report will outline their observations with respect to the following:<br />

(1)<br />

Is the contractor using the DMS site properly with respect to layout and environmental<br />

considerations?<br />

(2)<br />

Has the contractor established lined temporary storage areas for ash, household<br />

hazardous wastes, and other materials that can contaminate soil and groundwater?<br />

(3)<br />

Has the contractor established environmental controls in equipment staging areas,<br />

fueling, and equipment repair areas to prevent and mitigate spills of petroleum<br />

products and hydraulic fluids? Debris Management Plan Template (Page 21 of 23)<br />

Page 21 of 23<br />

Page | 161


Page | 162<br />

(4)<br />

Has the contractor established appropriate rodent control measures?<br />

(5)<br />

Are burn sites constructed and operating in accordance with the plans and<br />

requirements as stated in the contract?<br />

(6)<br />

Has the contractor establish procedures to mitigate:<br />

(a)<br />

Smoke – Are the incineration pits constructed properly and being operated<br />

according to the contract statement of work?<br />

(b)<br />

Dust – Are water trucks employed to keep down the dust?<br />

(c)<br />

Noise – Have noise abatement procedures been employed?<br />

(d)<br />

Traffic – Does the DMS have a suitable layout for ingress and egress to<br />

help traffic flow?<br />

X. DEBRIS PLAN ANNEXES<br />

ANNEX A: Right of Entry Agreement<br />

ANNEX B: Request for Statement of Qualifications (RFQ)<br />

ANNEX C: Debris Contract Bid Specifications<br />

ANNEX D: Pre-Approved Contractor Listing<br />

ANNEX E: Sample Unit Price Contract<br />

ANNEX F: Sample Debris Removal Guidelines<br />

ANNEX G: Landfill Waste Restrictions<br />

ANNEX H: Site Selection Contact List ANNEX<br />

ANNEX I: Sample Debris Monitoring Forms<br />

ANNEX J: Intergovernmental Emergency Mutual Aid Agreement<br />

ANNEX K: Sample Mutual Aid Agreement<br />

ANNEX L: Site Selection Criteria Checklist<br />

ANNEX M: Resource Tracking Sheet<br />

Debris Management Plan Template (Page 22 of 23)


Page | 163<br />

XI. PLAN IMPLEMENTATION (If County is Involved)<br />

This plan goes into effect once all parties listed below have approved the plan. By signing in the appropriate<br />

section, representatives of those parties signify approval of this plan in its entirety. INSERT CITY NAME<br />

HERE County Emergency Management will ensure the plan is reviewed on an annual basis. The review<br />

will take place one year from the most current signature date. Once all signatures have been accomplished,<br />

this document and all its Annexes (A through M) becomes the official Debris Management Plan for the<br />

County of INSERT COUNTY NAME HERE, the City of INSERT CITY NAME HERE and the City of<br />

INSERT CITY NAME HERE. This plan shall be approved by KYEM and FEMA before being submitted<br />

for signatures from all other parties listed.<br />

INSERT COUNTY NAME HERE County Fiscal Court Title Date<br />

City of INSERT CITY NAME HERE Title Date<br />

City of INSERT CITY NAME HERE Title Date<br />

INSERT COUNTY NAME HERE County Emergency Management<br />

Title Date<br />

Kentucky Division of Emergency Management Title Date<br />

Federal Emergency Management Agency Title Date<br />

Eligible organizations listed below have adopted this Debris Management Plan once approved by FEMA<br />

and Kentucky Emergency Management.<br />

Organization Title Date<br />

Debris Management Plan Template (Page 23 of 23)<br />

Page 23 of 23


DEBRIS CONTRACT BID SPECIFICATIONS<br />

DEBRIS CONTRACT BID SPECIFICATIONS<br />

Debris Contract Bid Specifications (Page 1 of 12)<br />

GENERAL<br />

GENERAL<br />

These specifications apply to the jurisdictions of Insert City Name Here. The term “Applicant<br />

Agent” These specifications will be used to apply refer to to the entity jurisdictions separately of and/or Insert any City combination Name Here. thereof. The term When “Applicant the<br />

term Agent” Applicant will be used Agent to is refer used to it entity could separately apply to any and/or and/or any all combination jurisdictions. thereof. When the<br />

term Applicant Agent is used it could apply to any and/or all jurisdictions.<br />

The purpose of these specifications are to inform contractors of the Applicant Agent’s<br />

requirements The purpose of for these removal specifications and dispose are of to all inform eligible contractors debris from of the the Applicant Applicant Agent’s<br />

of Insert<br />

City<br />

requirements<br />

Name Here,<br />

for removal<br />

Kentucky<br />

and<br />

Rights-of-Way<br />

dispose of all<br />

(ROW)<br />

eligible<br />

and<br />

debris<br />

public<br />

from<br />

owned<br />

the Applicant<br />

property.<br />

Agent<br />

The area<br />

of Insert<br />

to be<br />

included City Name as Here, part of Kentucky the contract Rights-of-Way is located within (ROW) the and Applicant public Agent owned of property. Insert City The Name area to Here, be<br />

Kentucky. included as part of the contract is located within the Applicant Agent of Insert City Name Here,<br />

Kentucky.<br />

1.0 SERVICES.<br />

1.0 SERVICES.<br />

1.1. The Contractor shall provide for debris removal and disposal of all eligible debris from the<br />

1.1. Applicant The Contractor Agent shall ROW provide and publicly for debris owned removal property. and disposal of all eligible debris from the<br />

Applicant Agent ROW and publicly owned property.<br />

1.2. The estimated amount of debris to be removed under the contract shall be determined by<br />

1.2. The FEMA, estimated but not amount guaranteed. of debris The to be unit removed price on under the individual the contract bid shall schedules be determined will be used by for<br />

FEMA, payment. but not guaranteed. The unit price on the individual bid schedules will be used for<br />

payment.<br />

1.3. The Contractor shall document the current conditions of all roadways, sidewalks and all<br />

1.3. The structures Contractor to remain shall in document the debris the removal current area. conditions representative of all roadways, of the sidewalks Applicant and Agent all shall<br />

structures be present to during remain this in inspection. the debris removal The Contractor area. A shall representative provide photographic of the Applicant and/or Agent video shall<br />

be documentation. present during The this documentation inspection. The shall Contractor be submitted shall provide to the Applicant photographic Agent and/or prior to video<br />

beginning documentation. the work. The documentation shall be submitted to the Applicant Agent prior to<br />

beginning the work.<br />

1.4. Haul and Dispose. All debris shall be hauled and disposed of in accordance with FEMA<br />

1.4.<br />

guidelines<br />

Haul and Dispose.<br />

and the Insert<br />

All debris<br />

City Name<br />

shall be<br />

Here<br />

hauled<br />

Debris<br />

and<br />

Management<br />

disposed of in<br />

Plan<br />

accordance<br />

(Plan attached).<br />

with FEMA<br />

All<br />

guidelines roadways along and the the Insert haul routes City Name shall Here be documented Debris Management and where Plan possible (Plan State attached). Routes All shall be roadways priority. Transporting along the haul of routes debris shall shall be be documented done in safe and and where lawful possible manner. State The Routes work shall shall be a<br />

priority. consist of Transporting clearing, separating of debris and shall removing be done any in a and safe all and eligible lawful debris manner. (see The definitions work shall of<br />

consist eligible of debris) clearing, from separating public property and removing only, including any and ROW all eligible of streets debris and (see roads. definitions Work shall of<br />

eligible<br />

include:<br />

debris)<br />

1) examining<br />

from public<br />

and sorting<br />

property<br />

debris<br />

only,<br />

to<br />

including<br />

determine<br />

ROW<br />

whether<br />

of streets<br />

or not<br />

and<br />

debris<br />

roads.<br />

is eligible<br />

Work<br />

and<br />

shall<br />

to<br />

include: determine 1) whether examining eligible and sorting debris will debris be to accepted determine by the whether landfill or (items not debris containing is eligible refrigerants and to<br />

determine and also tires whether must eligible be separated debris and will will be be accepted handled by by the the landfill Applicant (items Agent; containing 2) loading refrigerants and<br />

and sorting also the tires debris; must 3) be hauling separated the and eligible will be debris handled to an by approved the Applicant dumpsite(s). Agent; Ineligible 2) loading debris and<br />

sorting shall not the be debris; loaded, 3) hauled, hauling or the dumped eligible under debris the to contract. an approved The dumpsite(s). Department of Ineligible Public Works debris<br />

shall<br />

(DPW)<br />

not<br />

Supervisor<br />

be loaded,<br />

shall<br />

hauled,<br />

be immediately<br />

or dumped under<br />

notified<br />

the<br />

of<br />

contract.<br />

any ineligible<br />

The Department<br />

debris placed<br />

of Public<br />

at the<br />

Works<br />

right of<br />

(DPW) way for Supervisor collection. shall The Contractor be immediately is liable notified for separating of any ineligible all ineligible debris debris placed handled at the right during of<br />

way the life for of collection. the contract. The Contractor is liable for separating all ineligible debris handled during<br />

the life of the contract.<br />

1.4.1. The Contractor shall make maximum of three (3) passes. The Contractor may be required to<br />

1.4.1. The leave Contractor minimum shall of one make weekend a maximum between of three each (3) pass. passes. The Contractor The Contractor shall may not move be required from one to<br />

leave<br />

designated<br />

a minimum<br />

work area<br />

of one<br />

to another<br />

weekend<br />

designated<br />

between each<br />

work<br />

pass.<br />

area without<br />

The Contractor<br />

prior approval<br />

shall not<br />

from<br />

move<br />

the<br />

from<br />

DPW<br />

one<br />

designated Supervisor. work area to another designated work area without prior approval from the DPW<br />

Supervisor.<br />

1.4.2. Any eligible debris, such as fallen trees, which extend onto the ROW from private property,<br />

1.4.2. shall Any eligible be cut at debris, the point such where as fallen it enters trees, the which ROW. extend Only onto that the part ROW of the from debris private that lies property, within<br />

the shall ROW be cut shall at the be point removed. where The it enters Contractor the ROW. shall not Only enter that onto part private of the debris property that during lies within the<br />

performance<br />

the ROW shall<br />

of<br />

be<br />

the<br />

removed.<br />

contract.<br />

The<br />

Hazardous<br />

Contractor<br />

limbs<br />

shall<br />

are<br />

not<br />

considered<br />

enter onto<br />

eligible<br />

private<br />

debris<br />

property<br />

and are<br />

during<br />

defined<br />

the<br />

as<br />

limbs performance greater of than the two contract. inches Hazardous in diameter limbs that are are still considered hanging eligible in the tree debris and and are are threatening defined as<br />

limbs greater than two inches in diameter that are still hanging in the tree and are threatening a<br />

Debris Contract Bid Specifications (Page 1 of 12)


public use area, such as a trail, sidewalk, road, etc. Trees in the public ROW with more than<br />

50% of the crown broken are eligible debris and shall be removed. Holes present as a result of<br />

uprooted trees in the public ROW shall filled to ground level. The Contractor shall not enter<br />

onto private property during the performance of the contract, unless depth of debris exceeds<br />

right-of-way.<br />

1.5. Contractors shall note that a portion of the project will occur in residential areas. The<br />

contractors should exercise due care to minimize any damages to trees, shrubs, landscaping and<br />

general property. The contractor shall repair any damages caused by the contractor’s<br />

equipment in a timely manner at no expense to the Applicant Agent. The debris work area<br />

shall be left clear of debris and clean, as reasonably and practical under the conditions of the<br />

project.<br />

1.6. The contractor shall use equipment and perform work in a manner to prevent damages to<br />

Applicant Agent’s infrastructure facilities and adjacent ROWs, including all landscaped areas.<br />

The contractor shall repair any damages caused by the contractor’s equipment in a timely<br />

manner at no expense to the Applicant Agent. All tracked equipment shall be approved by the<br />

Applicant Agent prior to use. All loading equipment is required to operate from the street/road<br />

using buckets and/or boom and grapple devices to remove and load the debris. Any damage to<br />

private property, sidewalks, curbs, or streets shall be repaired at the expense of the contractor.<br />

1.7. The Contractor shall conduct the work so as not to interfere with the disaster response and<br />

recovery activities of federal, state, and local governments or agencies, or of any public<br />

utilities.<br />

1.8. The government reserves the right to inspect the site, verify quantities and review operations at<br />

any time.<br />

1.9. All work shall be accomplished in a safe manner in accordance with OSHA standards.<br />

Page | 165<br />

2.0 LOAD TICKETS.<br />

2.1. Load Tickets shall be used for recording the load information of debris removed for disposal.<br />

Load tickets furnished by Insert City Name Here County Fiscal Court are a document approved<br />

by the Applicant Agent. A copy of the load ticket to be used by the contractor shall be<br />

submitted for Applicant Agent approval prior to beginning work. The load ticket numbers shall<br />

be sequentially numbered. The load tickets shall be a minimum of four color coded parts. An<br />

example load ticket is included as an attachment.<br />

2.2. Each ticket shall contain the following information:<br />

• Ticket Number<br />

• Contract Number<br />

• Date<br />

• Contractor Name<br />

• Truck or Roll-off Number (Truck and Roll-off must be decaled separately)<br />

• Point of Debris Collection<br />

• Loading Departure Time/Inspector<br />

• Dump Arrival Time/Inspector<br />

• Debris Weight<br />

• Tare Weight<br />

• Truck Driver<br />

• Debris Classification<br />

Debris Contract Bid Specifications (Page 2 of 12)


• Debris Pick-up site (Road name and GPS coordinates)<br />

• Dumpsite<br />

• Debris Eligibility (Y/N)<br />

Page | 166<br />

NOTE: Each ticket shall be accompanied by a photograph of the pick-up site.<br />

2.3. A minimum four-part load ticket will be issued by an Applicant Agent monitor prior to<br />

transport of the debris from the loading site. The entire four-part load ticket is given to the<br />

vehicle operator. Upon arrival at the certified scales, the vehicle operator shall give the entire<br />

four-part load ticket to the Applicant Agent monitor. The Applicant Agent monitor will verify<br />

the hauler and equipment and establish a weight of the eligible debris load. After documenting<br />

this data on the load ticket, the Applicant Agent monitor will give one copy to the vehicle<br />

operator. One copy is then given to the contractor; the original is kept by the Applicant Agent<br />

monitor and the fourth to FEMA. The original weigh ticket generated at the certified scales<br />

shall be attached to the original load ticket. Both the load ticket and the weigh ticket will be<br />

submitted with the daily report and must be reconciled daily, not to exceed 24 hours.<br />

3.0 DEBRIS CLASSIFICATION<br />

3.1. Eligible Debris Eligible debris is considered all storm related debris located within the right of<br />

way, Applicant Agent owned properties and defined below.<br />

All debris from storm related damage will be accepted with the exception of tires, refrigerants<br />

and hazardous materials as outlined in Rumpke’s landfill waste restrictions.<br />

4.0 PERFORMANCE SCHEDULE<br />

4.1. The Contractor shall commence performance no less than twenty-four (24) hours of receipt of<br />

notice to proceed.<br />

4.2. Prior to commencing debris removal operations a contractor shall, with the Applicant Agent’s<br />

direction, provide a work plan showing where operations will begin and which streets/roads<br />

will be cleared on a 7 and 14 day projection. The plan shall be updated every Monday.<br />

4.3. All activity associated with debris operations may be performed during working hours of 7:00<br />

am and 7:00 pm. The contractor may work six (6) days per week, excluding holidays and<br />

Sundays.<br />

4.4. Maximum allowable time for completion will be ninety (90) calendar days, unless the<br />

Applicant Agent initiates additions or deletions to the contract by written change orders. Both<br />

parties pursuant to applicable Applicant Agent, state and federal law will equitably negotiate<br />

subsequent changes in cost and completion time.<br />

5.0 EQUIPMENT<br />

5.1. All trucks and other equipment shall be in compliance with all applicable federal, state, and<br />

local rules and regulations. All trucks and other equipment must be equipped with backup<br />

alarms. Any truck used to haul debris must be capable of rapidly dumping its load without the<br />

assistance of other equipment. Sideboards or other extensions to the bed are allowable per<br />

FEMA guidelines provided they meet all applicable rules and regulations, cover the front and<br />

both sides, and are constructed in a manner to withstand severe operating conditions. The<br />

sideboards are to be constructed of 2” by 6” boards or greater and not extend more than two


Page | 167<br />

feet above the metal bedsides. All extensions are subject to acceptance or rejection by the<br />

Applicant Agent. The contractor shall provide means to rapidly unload any trailer that does<br />

not have a means for dumping. All trailers shall have a metal-framed exterior and a minimum<br />

of 5/8” plywood (not wafer board) interior walls. All equipment used to haul debris shall be<br />

equipped with a tailgate that will effectively contain the debris during transport and permit the<br />

truck to be filled to capacity. Plastic webbing is not acceptable for a tailgate. All hauling<br />

equipment shall be weighed and marked for its tare weight. The Contractor is responsible for<br />

ensuring all loading and transport equipment complies with state and local laws. The<br />

Contractor prior to use will inspect all equipment and provide the Applicant Agent proof of<br />

inspection.<br />

5.2. Trucks and other heavy equipment designated for use under the contract shall be equipped with<br />

two signs, one attached to each side. These signs shall be furnished by the Contractor. Magnetic<br />

signs are not permitted. The signs shall contain the following information:<br />

• Company Name<br />

• Truck Number<br />

• Tare<br />

• Inspected by and Date<br />

An example sign is included in FEMA’s Debris Management Guide.<br />

5.3. Prior to commencing debris removal operations, the Contractor shall present to the DPW<br />

Supervisor all trucks, trailers, or containers that will be used for hauling debris. Each truck or<br />

trailer shall be weighed to determine the tare weight. Each truck or trailer shall be numbered<br />

and clearly display the tare weight for identification with a permanent marking. The Applicant<br />

Agent may, at any time, request that the trucks be re-weighed. The Contractor shall notify the<br />

DPW Supervisor each time a new truck, trailer or container is to be used under the contract.<br />

5.4. Trucks or equipment, which are designated for use under the contract, shall not be used for any<br />

other work during the working hours of the contract. The Contractor shall not solicit work<br />

from private citizens or others to be performed in the designated work area during the period of<br />

the contract. Under no circumstances will the Contractor mix debris hauled for others with<br />

debris hauled under the contract.<br />

5.5. Loading equipment used under the contract shall be rubber tired and sized properly to fit<br />

loading conditions. Excessive size loading equipment (6 CY and up) and non-rubber tired<br />

equipment must be approved by the DPW Supervisor.<br />

6.0 REPORTING<br />

6.1. The Contractor shall submit an electronic report to the Applicant Agent during each day of the<br />

term of the contract. A daily operational report shall contain, at a minimum, the following<br />

information:<br />

• Contractor’s Name<br />

• Contract Number<br />

• Crew<br />

• Location of work<br />

• Day of Report<br />

• Daily and cumulative totals of debris removed, by category<br />

• Photographs of debris pick-up sites<br />

• GPS coordinates of pick-up sites<br />

Debris Contract Bid Specifications (Page 4 of 12)


Page | 168<br />

• Map showing roads covered and individual pick-up sites<br />

• Truck and Equipment<br />

6.2. Discrepancies between the daily report and the corresponding weigh tickets shall be reconciled<br />

no later than the following day.<br />

6.3.The contractor shall provide electronic documentation (Excel Spreadsheet) that includes pictures<br />

of specific debris that was picked up, GPS location for each load of debris, and electronically<br />

tracked load tickets. The contractor shall also provide electronic documentation that shows<br />

daily progress including road/structure imagery, addresses and GPS coordinates using an open<br />

source mapping program such as Google Earth.<br />

7.0 OTHER CONSIDERATIONS<br />

7.1. The Contractor shall supervise and direct the work, using skillful labor and proper equipment<br />

for all tasks. Safety of the Contractor’s personnel and equipment is the responsibility of the<br />

Contractor. Additionally, the Contractor shall pay for all materials, personnel, taxes, and fees<br />

necessary to perform under the terms of the contract.<br />

7.2. The Contractor shall be duly licensed in accordance with the city’s, state’s and Applicant<br />

Agent’s statutory requirements to perform the work.<br />

7.3. The Contractor shall be responsible for taking corrective action in response to any notices of<br />

violations issued as a result of the Contractors or any subcontractors’ actions or operations<br />

during the performance of the contract. Corrections for any such violations shall be at no<br />

additional cost to the Applicant Agent.<br />

7.4. The Contractor shall be responsible for control of pedestrian and vehicular traffic in the work<br />

area. The Contractor shall provide all flag persons, signs, equipment, and other devices<br />

necessary to meet federal, state, and local requirements. The traffic control personnel and<br />

equipment shall be in addition to the personnel and equipment required in other parts of the<br />

contract. At a minimum, one flag person should be posted at each approach to the work area.<br />

Work shall be accomplished in a safe manner in accordance with OSHA standards.<br />

7.5. The Contractor is responsible for obtaining all applicable environmental and regulatory permits<br />

prior to the contractor commencing operations.<br />

7.6. The Contractor is responsible for dust control. The Contractor shall be in compliance with all<br />

state and local laws for dust control.<br />

7.7. The Applicant Agent may suspend contractor operations due to inclement weather. The<br />

performance period may be extended for weather delays.<br />

7.8. The Contractor shall employ as many local residents and subcontractors as possible as part of<br />

the contract.<br />

8.0 FINAL DISPOSITION<br />

Landfill disposal fees are the responsibility of the Applicant Agent.<br />

Debris Contract Bid Specifications (Page 5 of 12)


9.0 MEASUREMENT<br />

Measurement for all debris removed will be by the ton as determined by the eligible debris<br />

delivered to the certified scales minus the tare weight, as supported by the weigh ticket.<br />

Measurement shall be documented by the weigh ticket.<br />

Page | 169<br />

10.0 INSURANCE<br />

10.1. Prior to signing of contract, contractor agrees to furnish the Applicant Agent with all applicable<br />

certificates of insurance. Within 24 hours following signing of contract, contractor shall<br />

provide copies of insurance policies including all endorsements<br />

10.2. The Contractor shall save and hold the Applicant Agent its agents and employees harmless<br />

from and against all liability, claims and demands on account of personal injuries (including<br />

without limitation workmen’s compensation and death claims) or property loss or damages of<br />

any kind whatsoever, which arise out of or be in any manner connected with, or are claimed to<br />

arise out of or be in any manner connected with, the performance of the contract, regardless of<br />

whether such injury, loss or damage shall be caused by, or be claimed to be caused by, the<br />

negligence or other fault of the Contractor, any subcontractor, agent or employee.<br />

11.0 PAYMENT<br />

11.1. Payment for work completed may be invoiced on a semi-monthly basis. Invoices will be based<br />

on reconciled weigh tickets from the daily operational reports. Payment of any subcontractor is<br />

the sole responsibility of the primary contractor.<br />

11.2. Time is of the essence to the performance hereunder and the Applicant Agent shall recover<br />

from the Contractor any delay costs caused by the acts or omissions of the contractor or its<br />

agents. Except as otherwise provided herein, payment shall be made for actual work accepted<br />

and completed. If the Contractor has not been paid within thirty days following the date of<br />

hand delivery to the Applicant Agent’s authorized agent of said invoice, the Contractor shall<br />

also be paid a late payment charge consisting of interest calculated at the rate of one and onhalf<br />

percent per month calculated from the expiration of the thirty day period until fully paid.<br />

Payment made is based on the post mark date or hand delivery date. No late payment interest<br />

shall be due and owing for payments withheld in good faith for reasonable cause.<br />

11.3. For reasonable cause and/or when satisfactory progress has not been achieved by the contractor<br />

during any period for which a payment is to be made, the Applicant Agent’s authorized agent<br />

shall hold 10% retainage until substantial completion of the contract value to insure<br />

performance of the contract. After substantial completion, retainage may be reduced to 5%<br />

until project closeout. Said cause and progress shall be determined by the Applicant Agent’s<br />

authorized agent, in his sole discretion, based on his assessment of any past performance of the<br />

Contractor and the likelihood that such performance will continue. Upon completion of all<br />

contract requirements, retained amounts shall be paid promptly less any offsets or deductions<br />

authorized hereunder or by law.<br />

11.4. The Applicant Agent may withhold payment or final payment for reasons including, but not<br />

limited to the following: unsatisfactory job performance or progress, defective work, disputed<br />

work, failure to comply with material provisions of the contract, third party claims filed or<br />

reasonable evidence that a claim will be filed or other reasonable cause.<br />

11.5. Final payment, less any offsets or deductions authorized hereunder or by law, shall be made<br />

within thirty days of the certification of completion of the project by the Applicant Agent’s<br />

authorized agent provided the Contractor has completed filing of all contractually required<br />

Debris Contract Bid Specifications (Page 6 of 12)


Page | 170<br />

documents and certifications with the Applicant Agent’s authorized agent including acceptable<br />

evidence of the satisfaction of all claims or liens. NOTE: Does not include claims between<br />

contractor and any of their subcontractors; contractor is responsible for all claims made by any<br />

of their subcontractors.<br />

12.0 CHANGES, ADDITIONS, DEDUCTIONS, AND EXTRA WORK<br />

The Applicant Agent may authorize changes, additions or deductions from the work to be<br />

performed by written notice to the Contractor. No extra work shall be done or any obligation<br />

incurred except upon written order by the Applicant Agent. If any change causes an increase or<br />

decrease in the Contractor's cost of, or the time required for, the performance of any part of the<br />

work under the contract, the Applicant Agent shall make an equitable adjustment and modify<br />

the contract in writing.<br />

13.0 TERMINATION OF CONTRACT<br />

13.1 The contract may be terminated in writing at any time without cause for the convenience of the<br />

Applicant Agent. If this clause is executed, the Applicant Agent agrees to pay the contractor for<br />

all work completed through the termination date, as well as any demobilization costs that may<br />

have been part of the original contract.<br />

13.1. The contract shall be terminated for cause if the Contractor defaults in the performance of any<br />

of the terms hereof, including but not limited to: unsatisfactory job performance or progress,<br />

defective work, disputed work, failure to comply with material provisions of the contract, third<br />

party claims filed or reasonable evidence that a claim will be filed, or other reasonable cause;<br />

or otherwise fails to cure any other deficiency identified by the Applicant Agent within 24<br />

hours of delivery of notice of said deficiency. The Applicant Agent retains all other legal or<br />

equitable rights or remedies existing as a result of said default, including but not limited to any<br />

legal process necessary to obtain any sureties securing this contract. Any reasonable attorney’s<br />

fee incurred in enforcing this contract will not exceed 5% of said contract price.<br />

14.0 WARRANTIES AND REPRESENTATIONS<br />

14.1. The contract is binding upon and inures to the benefit of the Applicant Agent or Assigns and is<br />

the whole agreement of the parties and governed by the Law of the State of Kentucky. The<br />

appropriate venue for any litigation resulting hereunder is the Insert County Name Here Circuit<br />

Court, Kentucky.<br />

14.2. The Contractor shall comply with all Federal, State, Applicant Agent, and municipal laws,<br />

ordinances, and regulations. The Contractor shall not discriminate against any employee or<br />

applicant due to sex, race, color, creed, national origin or ancestry. The Contractor further<br />

certifies he is eligible to perform the contract under local and Federal law, is not now and has<br />

never been debarred from performing Federal or State government contracts and that all<br />

subcontractors used in the performance of this contract have the same qualifications.<br />

15.0 DEFICIENCIES, CORRECTIVE ACTIONS AND DEDUCTIONS<br />

15.1. When the Contractor's work does not conform to the Contract requirements completely, a<br />

deficiency exists. If a deficiency(s) is serious enough to render a service unacceptable, it is also<br />

Debris Contract Bid Specifications (Page 7 of 12)


Page | 171<br />

considered a defect. Defects are important in determining if non-compliance levels have been<br />

exceeded for services inspected.<br />

15.2. Corrective Actions. If deficiencies are identified, the Applicant Agent must take action to<br />

correct those deficiencies using one, or in some cases a combination of, the following:<br />

15.2.1. Stop Unsafe Work. The DPW may immediately stop work on that portion of the job affected by<br />

a safety hazard, until it is corrected.<br />

15.2.2. Issue a Stop Work Order. If the DPW Supervisor determines the deficiency is serious, the<br />

Applicant Agent can issue a stop work order.<br />

15.2.3. Reduced Value Deduction. The Applicant Agent may reduce the Contract price to reflect the<br />

reduced value of the services performed. This method is normally used when the work is<br />

performed by the, Applicant Agent or another contractor rather than the Contractor under the<br />

contract. The amount of the deduction is equal to the value of the service(s) not performed.<br />

15.2.4. The Contract may be terminated.<br />

15.3. The Applicant Agent may discuss corrective actions with the Contractor to prevent future<br />

occurrences.<br />

15.4. The contractor shall be responsible for abiding by all Federal, State and local laws. If the<br />

Applicant Agent or DPW observes non-compliance of these laws the Applicant Agent will<br />

notify the Contractor, in writing. Such notice, when delivered to the Contractor at the site of the<br />

work, shall be deemed sufficient for the purpose of work stoppage until the actions are<br />

corrected. After receipt of such notice, contractor will immediately inform the Applicant<br />

Agent/DPW Supervisor of proposed corrective action, and take such action as may be<br />

approved. If the Contractor fails or refuses to comply promptly, the Applicant Agent/DPW<br />

Supervisor may issue an order stopping all or part of the work until satisfactory corrective<br />

action has been taken. No part of the time lost due to any such stop orders shall be made the<br />

subject of a claim for extension of time, or for excess costs or damages by the Contractor.<br />

16.0 NOTICES<br />

16.1. At the time of award, the Contractor shall designate, in writing including all contact<br />

information, an Applicant Agent Representative to receive any Notice required hereunder and<br />

who shall be available at the local work site in Insert County Name Here County, Kentucky,<br />

during all times that the Contractor is performing work in accordance herewith. A copy of said<br />

designation shall be provided to the Applicant Agent at the time of award.<br />

16.2. The only Applicant Agent personnel authorized to receive any Notice required hereunder is the<br />

Applicant Agent or DPW Supervisor. Said Notice must be hand delivered during normal<br />

business hours to the location designated by the Applicant Agent.<br />

17.0 OTHER CONTRACTS<br />

The Applicant Agent reserves the right to issue other contracts or direct other contractors to<br />

work within the area included in the contract.<br />

18.0 ENCLOSURES/ATTACHMENTS<br />

• Example Daily Operational Report<br />

• Example Load Ticket<br />

Debris Contract Bid Specifications (Page 8 of 12)


Page | 172<br />

• Example Truck Placard<br />

• Landfill Location Map<br />

19.0 ACCEPTANCE OF A CONTRACT<br />

The Contractor shall provide all the documentation required of the contract within the specified<br />

time limit, and providing a list of all Sub-Contracts and Proof of Insurance of all Sub-<br />

Contractors being used under the contract.<br />

The Contractor shall provide the Applicant Agent the required insurance certificate(s) with a<br />

clause that shows Indemnity and Hold Harmless from injuries, damages, or losses caused by<br />

the negligent actions of the Contractor or its Employees to the Applicant Agent.<br />

The Contractor shall provide proof of adequate insurance that covers any and all liability<br />

arising from the debris removal process.<br />

The Contractor shall provide proof of Workman’s Compensation as required by the State of<br />

Kentucky.<br />

As agreed upon by the Applicant Agent and_________________ (Contractor name) local subcontractors<br />

and individuals will be used, to the extent possible, during this debris removal<br />

project.<br />

The Contractor agrees to complete the work in a professional, workmanlike manner and within<br />

the scope of work guidelines set forth above based on the unit pricing submitted by the<br />

contractor.<br />

ATTACHMENT 1<br />

EXAMPLE DAILY OPERATIONAL REPORT<br />

Debris Contract Bid Specifications (Page 9 of 12)


Page | 173<br />

ATTACHMENT 1<br />

EXAMPLE DAILY OPERATIONAL REPORT<br />

CONTRACT NO. ____________________<br />

CONTRACTOR:<br />

CONTRACT NO:<br />

Truck No. Location of<br />

Work<br />

1<br />

DAILY REPORT<br />

DATE OF REPORT:<br />

Landfill Trips Tonnage Totals Local Collection<br />

Site Trips<br />

Tonnage<br />

Totals<br />

2<br />

3<br />

4<br />

5<br />

6<br />

7<br />

8<br />

9<br />

10<br />

11<br />

12<br />

13<br />

14<br />

15<br />

DAILY<br />

TOTALS<br />

Debris Contract Bid Specifications (Page 10 of 12)


Page | 174<br />

TICKET NUMBER:<br />

CONTRACT NUMBER<br />

CONTRACTOR<br />

DATE:<br />

DEBRIS QUANTITY<br />

Truck No: Tare (ton):<br />

Load Size (Tons):<br />

Truck Driver:<br />

DEBRIS CLASSIFICATION<br />

Burnable<br />

Non-Burnable<br />

Mixed<br />

Other<br />

ATTACHMENT 2<br />

LOAD TICKET SAMPLE<br />

LOAD TICKET<br />

LOCATION<br />

Section/Area: Dumpsite<br />

Loading<br />

Dumping<br />

Time<br />

Inspector<br />

Eligibility<br />

(Y/N):<br />

Original: [County] [City] [State]<br />

Yellow: Contractor<br />

Pink: Driver<br />

Gold: FEMA<br />

Note: This is a four- part Form: Original goes to the Applicant Agent; Yellow to the Contractor; Pink<br />

to the Driver; Gold to FEMA<br />

Debris Contract Bid Specifications (Page 11 of 12)


Page | 175<br />

ANNEX C<br />

ANNEX C<br />

ATTACHMENT 3<br />

ATTACHMENT 3<br />

SAMPLE TRUCK<br />

SAMPLE TRUCK<br />

Company Name<br />

Company Name<br />

Truck Number<br />

Truck Number<br />

Tare<br />

Tare<br />

Weighed by and Date<br />

Weighed by and Date<br />

Debris Management Debris Plan Contract Bid Specifications (Page 12 of 12)<br />

Debris Management Plan Page 12 of 12


Debris Monitor Report Form<br />

Daily Debris Monitor Reports<br />

<strong>Disaster</strong> #<br />

Applicant:<br />

County/Municipality:<br />

Date:<br />

FEMA Monitor:<br />

Applicant Monitor:<br />

Contractor:<br />

Dump Location:<br />

1.<br />

2.<br />

3.<br />

4.<br />

5.<br />

6.<br />

7.<br />

8.<br />

9.<br />

10.<br />

11.<br />

12.<br />

13.<br />

14.<br />

15.<br />

16.<br />

17.<br />

18.<br />

19.<br />

20.<br />

21.<br />

22.<br />

23.<br />

24.<br />

25.<br />

26.<br />

27.<br />

28.<br />

29.<br />

30.<br />

Time<br />

Ticket<br />

Number<br />

Truck<br />

Number<br />

Full<br />

Truck<br />

Capacity<br />

[CY]<br />

Applicant<br />

Eligible<br />

Capacity<br />

[% or CY]<br />

FEMA<br />

Eligible<br />

Capacity<br />

[% or CY]<br />

Issues or Comments<br />

Page | 176


Right of Entry on Private Property for Debris Removal<br />

RIGHT-OF-ENTRY PERMIT<br />

(Includes Hold Harmless and Insurance Clauses)<br />

Property Address/Description<br />

______________________________________<br />

Street Address<br />

______________________________________<br />

City and Zip Code<br />

Permit No. ________________<br />

________________________________________<br />

Name (Owner or Tenant)<br />

______________________________<br />

Date<br />

Right of Entry<br />

I certify that I am the owner, or an owner’s authorized agent, of the property described above. I grant, freely and without coercion, the<br />

right of access and entry to said property to the City of ____________________, its agents, contractors, and subcontractors, for the<br />

purpose of demolishing, removing, and/or clearing any or all storm-generated debris of whatever nature from the above-described<br />

property.<br />

Hold Harmless<br />

I understand that this permit is not an obligation upon the government to perform debris removal. I agree to hold harmless the United<br />

States Government, the Federal Emergency Management Agency (FEMA), the Commonwealth of Kentucky, the City of<br />

____________________, and any of their agencies, agents, contractors, and subcontractors, for damages of any type whatsoever, either<br />

to the above-described property or to persons situated thereon. I release, discharge, and waive any action, either legal or equitable, that<br />

might arise by reason of any action of the above entities while removing storm-generated debris from the property. I will mark any sewer<br />

lines, septic tanks, water lines, and utilities located on the described property.<br />

Duplication of Benefits<br />

Most homeowners’ insurance policies have coverage to pay for removal of storm-generated debris. I understand that federal law (42<br />

United States Code 5155 et seq.) requires me to reimburse the City of ____________________ the cost of removing the stormgenerated<br />

debris to the extent covered in my insurance policy. I also understand that I must provide a copy of the proof/statement of loss<br />

from my insurance company to the City of ____________________. If I have received payment, or when I receive payment, for debris<br />

removal from my insurance company or any other source, I agree to notify and send payment and proof/statement of loss to the City of<br />

____________________. I understand that all disaster-related funding, including that for debris removal from private property, is subject<br />

to audit.<br />

Sworn and attested:<br />

Witnessed:<br />

All owners must sign below.<br />

Print Name __________________________________<br />

Signature __________________________________<br />

Date____________________<br />

Print Name _____________________________________<br />

Signature _______________________________________<br />

Date_____________________<br />

Name of Insurance Company: __________________________________________________<br />

Policy Number: ______________________________________________________________<br />

Please do not remove the following items: __________________________________________________________________________<br />

____________________________________________________________________________________________________________<br />

___________________________________________________________________________________________________________<br />

(Continue on back of sheet if necessary)<br />

Page | 177


RFP for Professional Services Related to FEMA<br />

Reimbursement, Documentation, and Audit (Page 1 of 4)<br />

TO:<br />

FROM:<br />

RE:<br />

DATE:<br />

Qualified Firms<br />

The City of ___________________, Kentucky<br />

Request for Proposals for Professional Services Related to FEMA Reimbursement,<br />

Documentation, and Audit Procedures<br />

__________________<br />

CITY OF _______________, KENTUCKY<br />

The City of ____________ will be accepting sealed proposals (up to 4:00 p.m. ___, on _____, _____,<br />

20___), in the city clerk’s office,________________________________ and will be opened at 5:00 p.m. ____,<br />

__________, 20__. Bids received after 4:00 p.m. will not be considered and will be returned unopened.<br />

The City of ____________, Kentucky (city) is seeking proposals from qualified firms, hereinafter referred to<br />

as the Professional Services Related to FEMA Reimbursement, Documentation, and Audit Procedures<br />

(PSRF), to provide non-exclusive debris removal services as outlined with the terms, conditions, and<br />

specifications contained in this request for proposals (RFP). All services must be rendered in accordance with<br />

the Title 2 Code of Federal Regulations (C.F.R.) Part 200, and all other federal requirement standards to receive<br />

federal reimbursement funding.<br />

Please refer to the following website for further information on federal requirements https://www.ecfr.gov.<br />

The City of ____________ reserves the right to select one or more firms.<br />

An original, three copies, and a PDF version of the proposal must be received in sealed envelopes bearing the<br />

words “RFP Number 20__- Professional Services Related to FEMA Reimbursement, Documentation and<br />

Audit Procedures ” and should be hand-delivered or mailed to the city clerk. ___________________<br />

E-mailed and faxed proposals will not be accepted.<br />

RFP documents may be examined and obtained on and after ________, 20__, at 4 p.m. ___ at the ____________<br />

clerk’s office: _______________________________________.<br />

Responsible questions regarding this RFP offering may be directed to the clerk’s office: __________________<br />

____________________ The last date for questions pertaining to this proposal is 10 days before the due date.<br />

Questions after this date will not be answered.<br />

Any and all responses to questions or inquiries, interpretations, and supplemental instructions will be in the form<br />

of written addenda which, if issued, will be posted on the city website (_____________________)<br />

The City of _______________ reserves the right to reject any and all proposals, to waive any and all<br />

informalities or irregularities, and to accept or reject all or any part of any proposal as they may deem to be in<br />

the interest of the citizens of the City of _____________. The winning participant is required to enter into a<br />

contract with the City of ______________.<br />

RFP for Professional Services Related to FEMA (Page 1 of 4)


Page | 179<br />

Section I.<br />

Introduction.<br />

This is a request for proposals (“RFP”) containing information concerning the above-referenced matter, an<br />

abbreviated scope of work, and evaluation items. Firms expressing interest should be fully capable of providing<br />

the end results requested.<br />

This is a procurement of professional consulting services as more particularly described herein. The City of<br />

__________________ (“city”) will adhere to the following method for conducting evaluations of received RFPs:<br />

Each firm’s experience and qualifications will be evaluated primarily as they relate to FEMA reimbursement,<br />

documentation, reporting, and audit support procedures.<br />

A. The award will be made to the responsible firm whose proposal is most advantageous to the city, with<br />

price and other factors considered.<br />

B. The city may or may not elect to interview any of the responding firms.<br />

C. The city has exclusive and sole discretion to determine the firm whose services will be most advantageous<br />

to the city, and reserves the right to reject all firms.<br />

D. Consideration will be given to such matters as contractor integrity, compliance with public policy, record<br />

of past performance, and financial and technical resources.<br />

Section II.<br />

General Scope of Services<br />

The city desires to select a firm to provide professional services in the following general areas:<br />

A. Assistance with document control to ensure compliance with FEMA requirements. This includes<br />

identifying, collecting, and processing supporting documentation. Preparation of documents for filing.<br />

B. Preparation and assistance with state and/or FEMA final inspections and audits. This includes, but is not<br />

limited to, collection, organization, scanning, reporting, and filing of storm-related costs (e.g., purchase<br />

orders, issued/canceled checks, and overtime tracking).<br />

C. Activities related to collecting and processing document requests from FEMA.<br />

The scope of services excludes any other compliance services that are included in federal or state disaster relief,<br />

or in any separate contract with the city. For example, debris removal services within the city, and compliance<br />

services for that work will be excluded from the scope of services. This will not be an “exclusive” contract and<br />

should not construed as such. The city reserves the right, subject to negotiation and agreement, in writing, with<br />

the selected firm, to either expand or limit the scope of services as needed.<br />

The selected firm will be required to have personnel on-site to complete the tasks required by this scope of<br />

services. The selected firm will complete the required tasks in a timely and efficient manner.<br />

Section III.<br />

Firm Qualification and Proposal Requirements<br />

The selected firm must be experienced and qualified to provide the required scope of services. To be eligible, the<br />

firm will be required to be licensed and approved for work within the Commonwealth of Kentucky.<br />

RFP for Professional Services Related to FEMA (Page 2 of 4)


Page | 180<br />

The firm selected must have expertise related to the many procedures and requirements of the Federal<br />

Emergency Management Agency (FEMA), and particular expertise in the area of FEMA public assistance.<br />

Firms interested in performing the work will be considered on the basis of a proposal containing information<br />

submitted in response to this request in a form limited to five pages in 12-point font or larger of either Times<br />

New Roman or Arial. Front and back shall be considered two pages.<br />

Proposals are due on or before 9:00 a.m. ______, ________, _________, 20__.<br />

Proposals received after this deadline will not be accepted.<br />

An original, three copies, and a PDF version of the proposal must be received in sealed envelopes bearing the<br />

words “RFP Number 20__- Professional Services Related to FEMA Reimbursement, Documentation and<br />

Audit Procedures” and should be hand-delivered or mailed to the city clerk, ___________________________.<br />

E-mailed and faxed proposals will not be accepted.<br />

The following information must be submitted with the proposal on the date indicated above:<br />

A. Recently Completed Work. Evidence of satisfactory performance of recently completed work of the<br />

type and kind indicated herein. “Recently completed” means within the last 10 years. Provide detailed<br />

reports of this work and at least three relevant references.<br />

B. Experience and Qualifications. A statement of the firm’s qualifications to perform the work and years in<br />

business should be included. The statement should include the following:<br />

1. The general experience of the firm, specifically as it relates to FEMA compliance.<br />

2. The specific experience of the firm’s proposed personnel in the fields that the proposed services<br />

are requested, their qualifications, years of experience, professional certifications, and<br />

availability to perform the work and services to be provided.<br />

3. A statement of experience and work of a similar nature that all the proposed personnel have<br />

performed.<br />

4. A statement as to the professional standing of the firm, including any pending controversies<br />

outstanding. If none exists, such a statement should be made.<br />

C. Method of Organization. Discuss the firm’s proposed approach to completing the needed services<br />

and how your firm will coordinate those services. Be specific with regard to internal and external<br />

communications and quality control. The firm will be expected to maintain open and continuous lines of<br />

communication with various members of city staff, as well as with various state and federal officials.<br />

D. Hourly Rates. The firm should attach a proposed hourly rate schedule. The attached hourly rate schedule<br />

will not count against the five-page proposal limit. The city expects to enter into an agreement based upon<br />

hourly rates and to set a “not to exceed” amount in the contract.<br />

RFP for Professional Services Related to FEMA (Page 3 of 4)


Page | 181<br />

E. Contract Review by FEMA. The contract between the selected firm and the city may be submitted for<br />

review to FEMA. The city desires that the costs it incurs for services provided by the selected firm be<br />

eligible for FEMA reimbursement. While the city understands that the selected firm cannot guarantee<br />

that the services it provides will be eligible for FEMA reimbursement, the city nevertheless desires<br />

that the selected firm utilize its professional judgment and expertise in an effort to limit its services<br />

to those which are eligible for FEMA reimbursement. Describe in detail how your firm will comply<br />

with this requirement. The selected firm will be required to notify the city if at any time any service<br />

provided by the selected firm under the terms of the contract are not or are not expected to be eligible for<br />

reimbursement by FEMA in the selected firm’s professional opinion. Include a statement as to whether<br />

your firm has the level of expertise to fulfill this requirement, as well as a detailed explanation of the<br />

procedures your firm will implement to fulfill this requirement.<br />

F. City Expenditures. The city desires to enter into a contract for professional services with a firm<br />

possessing a high level of expertise and professional skill in the areas described in this RFP. As such,<br />

the city desires that the selected firm be contractually required to guarantee that all documents generated<br />

pursuant to the contract shall be in compliance with FEMA regulations and will be in a form so as to<br />

ensure eligibility of FEMA reimbursement regardless of whether FEMA actually reimburses. Please<br />

include a statement as to whether your firm can meet this requirement.<br />

G. Conflicts of Interest. Please include a statement as to potential general conflicts of interest and<br />

particularly conflicts of interests under FEMA guidelines that may exist that would prevent the city of<br />

_________ from entering into an agreement with your firm pursuant to this RFP. If none exists, such a<br />

statement should be made.<br />

The city reserves the right to reject any proposal and to interview a firm or multiple firms as it sees fit. This RFP<br />

may be modified or amended at any time and for any reason at the discretion of the city. Should interviews be<br />

required, the selected firm or firms will be notified of their interview time, and the interview may be conducted at<br />

city hall, ________________________, or over the phone, as determined by the city. Firms should be prepared<br />

to make a 10- to 15-minute presentation, followed by a question and answer period.<br />

There is no guarantee that a contract award will be made pursuant to this RFP. Nevertheless, interested firms<br />

should be prepared to begin work pursuant to this RFP as early as ___________, ______, 20__, should they be<br />

selected.<br />

Page | 181<br />

RFP for Professional Services Related to FEMA (Page 4 of 4)


Page | 182<br />

RFP for Debris Removal (Page 1 of 47)<br />

RFP __________<br />

Visit us on the web at __________________<br />

Opens _______, 20__ 4:00 p.m. ____<br />

Date Awarded: _________, 20__ , 5 p.m. ___<br />

Table of Contents<br />

1. NOTICE TO CONTRACTORS<br />

2. STATEMENT OF NON-PARTICIPATION Page 184<br />

3. DEFINITIONS Page 185<br />

4. SCOPE OF SERVICES Page 187<br />

5. BACKGROUND INFORMATION Page 188<br />

6. GENERAL REQUIREMENTS Page 188<br />

7. DEBRIS REMOVAL Page 189<br />

8. RESIDENTIAL DROP-OFF SITES Page 191<br />

9. STAGING AREAS SITES Page 191<br />

10. ADDITIONAL SERVICES Page 192<br />

11. DOCUMENTATION MANAGEMENT & SUPPORT<br />

12. STAFF AND EQUIPMENT REQUIREMENTS Page 194<br />

13. REPORTING<br />

14. OTHER OPERATIONAL CONSIDERATIONS Page 196<br />

15. TECHNICAL ASSISTANCE<br />

16. INVOICES<br />

Attachments:<br />

Page 195<br />

Page 197<br />

Page 183<br />

Page 196<br />

A. CONTRACTOR’S QUALIFICATIONS STATEMENT Page 215<br />

B. NON-COLLUSIVE AFFIDAVIT Page 218<br />

Click on a page number to be taken directly to each section.<br />

⇨<br />

17. NO EXCLUSIVE CONTRACT/ADDITIONAL<br />

SERVICES<br />

18. DELETION OR MODIFICATION OF SERVICES<br />

19. SUBSTITUTION OF PERSONNEL Page 197<br />

20. DAMAGE TO PUBLIC OR PRIVATE PROPERTY Page 197<br />

21. SAFETY Page 198<br />

22. VERIFICATION OF EMPLOYMENT STATUS<br />

23. PROPOSAL SUBMISSION REQUIREMENTS<br />

24. PROPOSAL PRICE FORM<br />

25. EVALUATION OF PROPOSALS<br />

26. EVALUATION CRITERIA<br />

27. SUBMITTAL CHECKLIST<br />

28. REJECTION CRITERIA<br />

29. WAIVERS<br />

Page 205<br />

30. INSURANCE REQUIREMENTS<br />

31. GENERAL CONDITIONS<br />

Page 202<br />

Page 204<br />

Page 204<br />

Page 205<br />

Page 211<br />

Page 202<br />

Page 206<br />

Page 197<br />

Page 197<br />

Page 198<br />

Page 198<br />

C. COST SCHEDULE<br />

Page 219<br />

D. CONFIRMATION OF DRUG-FREE WORKPLACE<br />

Page 220<br />

E. SIGNATURE PAGE<br />

Page 221<br />

F. ACKNOWLEDGMENT OF ADDENDUMS<br />

Page 224<br />

PERFORMANCE REFERENCE FORM<br />

Page 225


Page | 183<br />

NOTICE TO CONTRACTORS<br />

NOTICE IS HEREBY GIVEN that the CITY OF ____________ is seeking sealed proposals for the following work as<br />

specified:<br />

<strong>Disaster</strong> Debris Removal and Disposal Services<br />

RFP NUMBER: _______<br />

CITY OF _______________, KENTUCKY<br />

The City of ____________ will be accepting sealed proposals (up to 4:00 p.m. ___, on _____, _____, 20), in the city<br />

clerk’s office,________________________________ and will be opened at 5:00 p.m. ____, __________, 20__. Bids<br />

received after 4:00 p.m. will not be considered and will be returned unopened.<br />

The City of ____________, Kentucky (city) is seeking proposals from qualified firms, hereinafter referred to as the<br />

contractor or disaster debris removal services (DDRS), to provide non-exclusive debris removal services as outlined with<br />

the terms, conditions, and specifications contained in this request for proposals (RFP). All services must be rendered in<br />

accordance with the Title 2 Code of Federal Regulations (C.F.R.) Part 200, and all other federal requirement standards to<br />

receive federal reimbursement funding.<br />

Please refer to the following website for further information on federal requirements https://www.ecfr.gov.<br />

Please note the following: This solicitation is not a request for disaster debris monitoring services. The City of<br />

____________ reserves the right to select one or more firms.<br />

An original, three copies, and a PDF version of the proposal must be received in sealed envelopes bearing the words “RFP<br />

Number 20__- <strong>Disaster</strong> Debris Removal and Disposal Services” and should be hand-delivered or mailed to the city clerk,<br />

___________________________________________.<br />

E-mailed and faxed proposals will not be accepted.<br />

RFP documents may be examined and obtained on and after ________, 20__ at 4 p.m. ___ at the ____________ clerk’s<br />

office: _______________________________________.<br />

Responsible questions regarding this RFP offering may be directed to the clerk’s office: __________________________<br />

____________ The last date for questions pertaining to this proposal is 10 days before due date. Questions after this date<br />

will not be answered.<br />

Any and all responses to questions or inquiries, interpretations, and supplemental instructions will be in the form of<br />

written addenda which, if issued, will be posted on the city website (_____________________)<br />

The City of _______________ reserves the right to reject any and all proposals, to waive any and all informalities or<br />

irregularities, and to accept or reject all or any part of any proposal as they may deem to be in the interest of the citizens of<br />

the City of _____________. The winning participant is required to enter into a contract with the City of ______________.<br />

RFP for Debris Removal (Page 2 of 47)


Page | 184<br />

STATEMENT OF NON- PARTICIPATION<br />

Proposal NO.: RFP 20__-__<br />

<strong>Disaster</strong> Debris Removal and Disposal Services<br />

Note: If you do not intend to submit a bid/proposal on this item/service, complete this form and mail to:<br />

Clerk’s Office<br />

City of________<br />

___________________ ____________________<br />

Please indicate the proposal number and title of the proposal on the outside of the envelope.<br />

We/I do not wish to participate in this proposal for the following reason:<br />

Specifications proprietary<br />

Cannot supply at this time<br />

We do not carry this item<br />

We do not provide this service<br />

Unable to meet specifications<br />

Unable to meet bond requirements<br />

Other<br />

Please keep us on your bid list for future projects yes no<br />

Signature:<br />

Name of Company:<br />

Address:<br />

RFP for Debris Removal (Page 3 of 47)


Page | 185<br />

DEFINITIONS<br />

Whenever the following terms appear in the proposal, the intent and meaning shall be interpreted as follows:<br />

A. Choke Point means an inspection site where all trucks must pass.<br />

B. Clean-As-You-Go Policy means clearing all debris from each street or work zone on the first pass whenever<br />

possible.<br />

C. Construction and Demolition Debris (C&D Debris) means damaged components of buildings and structures such<br />

as lumber and wood, gypsum wallboard, glass, metal, roofing material, tile, carpeting and floor coverings, window<br />

coverings, plastic pipe, concrete, fully cured asphalt, heating, ventilation and air conditioning (HVAC) systems and<br />

their components, light fixtures, small consumer appliances, equipment, furnishings, and fixtures that are a result of<br />

a disaster event.<br />

D. Public Works Director means the city’s representative duly authorized by the city manager to provide direction to<br />

the DDRSC regarding services provided pursuant to this RFP and resulting contract.<br />

E. Debris means all forms of disaster-related debris, including vegetative debris and mixed debris.<br />

F. <strong>Disaster</strong> Debris Removal Service Contractor (DDRSC) means the successful proposer, whether a corporation,<br />

partnership, individual, or any combination thereof, and its successors, personal representatives, executors,<br />

administrators, and assignees.<br />

G. Debris Monitor Service Contractor (DMSC) means the firm retained by the city to monitor the DDRSC‘s<br />

activities pursuant to its contract with the city and to ensure compliance with FEMA requirements.<br />

H. Drop-Off Site means a site established for residents of the City of _______ to drop off debris.<br />

I. Electronic Waste (e-waste) means loosely discarded, damaged, obsolete, or broken electrical or electronic devices,<br />

including, but not limited to, computers, computer monitors, televisions, and microwaves.<br />

J. Eligible Debris as determined by FEMA Section #325 Debris Management Guide and other applicable regulations<br />

means debris resulting from a presidentially declared disaster whose removal, as determined by the city manager or<br />

his designee, is in the public interest because it is necessary to (1) eliminate immediate threats to life, public health,<br />

and safety; (2) eliminate immediate threats of significant damage to improved public or private property; or (3)<br />

ensure economic recovery.<br />

K. Federal Aid Eligible Roads means roads that are paved, gravel, or dirt and are eligible for repair or replacement.<br />

L. FEMA means the Federal Emergency Management Administration.<br />

M. FHWA means the Federal Highway Administration.<br />

N. Global Positioning System (GPS) means a global navigation satellite system that provides location and time<br />

information in all weather conditions, anywhere on or near Earth, where there is an unobstructed line of sight to<br />

four or more GPS satellites.<br />

O. Hazardous Stump means an uprooted tree or stump (i.e., 50% or more of the root ball is exposed) on a public<br />

RFP for Debris Removal (Page 4 of 47)


Page | 186<br />

right-of-way, improved public property, or improved property owned by certain private nonprofit organizations,<br />

and the exposed root ball poses an immediate threat to life, public health, and safety.<br />

P. Hazardous Waste means materials and products from institutional, commercial, recreational, industrial, and<br />

agricultural sources that contain certain chemicals with one or more of the following characteristics, as defined by<br />

the U.S. Environmental Protection Agency: 1) toxic; 2) flammable; 3) corrosive; and/or 4) reactive, in accordance<br />

with the Environmental Protection Agency (EPA) section for toxic, flammable, corrosive reaction Resource<br />

Conservation and Recovery Act (RCRA) Subtitle C 40 CFR Part 260.<br />

Household Hazardous Waste means used or leftover contents of consumer products that contain chemicals<br />

with one or more of the following characteristics, as defined by the Environmental Protection Agency: 1)<br />

toxic; 2) flammable; 3) corrosive; and/or 4) reactive. Examples of household hazardous waste include small<br />

quantities of normal household cleaning and maintenance products, latex and oil-based paint, cleaning<br />

solvents, gasoline, oils, swimming pool chemicals, pesticides, and propane gas cylinders in accordance<br />

with Environmental Protection Agency (EPA) section for toxic, flammable, corrosive reaction Resource<br />

Conservation and Recovery Act (RCRA) Subtitle C 40 CFR Part 260.<br />

Q. KYDPH means Kentucky Department of Public Health.<br />

R. KYEEC means Kentucky Energy and Environmental Cabinet.<br />

S. KYTC means Kentucky Transportation Cabinet.<br />

T. Mixed Debris means a mixture of various types of debris including, but not limited to, C&D debris, white goods,<br />

e-waste, household hazardous waste, metals, abandoned vehicles, tires, etc.<br />

U. Notice to Proceed means the written notice given by the city manager (or designee) to the DDRSC of the date and<br />

time for work to start.<br />

V. NRCS means Natural Resources Conservation Service.<br />

W. OSHA means the U.S. Department of Labor’s Occupational Safety and Health Administration.<br />

X. Project Manager means the DDRSC‘s representative authorized to make and execute decisions on behalf of the<br />

DDRSC.<br />

Y. Vegetative Debris means clean, woody debris and other organic materials that can be chipped and mulched.<br />

Z. Vegetative White Goods means all appliances, including but not limited to refrigerators, freezers, stoves, washers,<br />

dryers, and HVAC units.<br />

AA. TDRS means temporary debris reduction sites.<br />

RFP for Debris Removal (Page 5 of 47)


Page | 187<br />

SCOPE OF SERVICES<br />

The city is seeking proposals to establish a pre-need, pre-event contract with a qualified contractor for disaster debris<br />

removal services (DDRS), herein after referred to as contractor, to provide services to the city during disaster or<br />

emergency events. <strong>Disaster</strong>s include natural events such as hurricanes, tornadoes, windstorms, floods, and fires, as well<br />

as man-made events or emergencies such as civil unrest, terrorist attacks, and pandemics. In the event of a disaster or<br />

emergency, the contractors shall service the city first and be on-call to provide all support services necessary to ensure the<br />

safety and well-being of all residents and visitors to the city.<br />

The contractor<br />

applicable<br />

or contractors<br />

regulations<br />

may<br />

of<br />

also<br />

the Federal<br />

be called<br />

Emergency<br />

upon throughout<br />

Management<br />

the year<br />

Agency<br />

to render<br />

(FEMA),<br />

services<br />

Kentucky<br />

to assist the city with special<br />

Transportation Cabinet (KYTC), Federal Highway Administration (FHWA), Kentucky Department<br />

needs and<br />

of<br />

events<br />

Public<br />

other<br />

Health<br />

than<br />

(FDH),<br />

full-scale<br />

Natural<br />

disasters,<br />

Resources<br />

as determined<br />

Conservation<br />

by the<br />

Services<br />

city manager.<br />

(NRCS),<br />

Contractors<br />

and the Kentucky<br />

shall be compliant with<br />

all applicable Energy regulations and Environmental of the Federal Cabinet Emergency (KYEEC) Management to make successful Agency (FEMA), coordination Kentucky of services Transportation for the Cabinet<br />

(KYTC), Federal City of Highway _________. Administration The cContractor (FHWA), or cContractors Kentucky should Department have proven of Public processes Health (FDH), in place Natural and best Resources<br />

Conservation practices Services to recoup (NRCS), reimbursement and the Kentucky from FEMA Energy and all Environmental other hosts agencies, Cabinet federal, (KYEEC) and to state- make successful<br />

coordination funded of services programs. for the City of _________. The contractor or contractors should have proven processes in place<br />

and best practices to recoup reimbursement from FEMA and all other host agencies, federal, and state-funded programs.<br />

A. Services may include, but not be limited to:<br />

Project Management<br />

Assistances<br />

Federal & State Reporting<br />

Reimbursement<br />

Assistances<br />

Large-Scale Debris Removal Separation Processing and<br />

Disposal<br />

Managing & Operating Temporary<br />

Debris<br />

Demolition<br />

Demolition Debris<br />

Removal<br />

Management Sites<br />

Marine Salvage Operations<br />

(Boats)<br />

Waterway Debris Clearing<br />

Sand Removal fFrom<br />

Roads<br />

Streets and Rights-of-way Emergency Berm Construction Restoration of Damaged<br />

Property by the Haulers<br />

Including Debris<br />

Sites/ Locations<br />

Hazardous Waste Handling<br />

Tree Trimming (Leaners and<br />

Hangers)<br />

Stump Grinding and<br />

Removal<br />

The cCity's expectation is that by hiring a professional d<strong>Disaster</strong> dDebris rRemoval sServices<br />

The city’s cContractor expectation is or that cContractors by hiring (DDRSC) a professional to assist disaster the cCity debris in removal a disaster services event, the contractor cCity is or fully contractors (DDRSC)<br />

to assist the dependent city in a disaster and relying event, upon the the city professional is fully dependent expertise, and training relying and upon the professional expertise, training and<br />

experience of of the DDRSC. The DDRSC shall be fully responsible to advise the cCity city on on the the dos do's and and don’ts don'ts of of the Stafford<br />

Act, the Stafford Federal Emergency Act, Federal Management Emergency Management Administration Administration (FEMA) procedures, (FEMA) and/or procedures, other and/or governmental other regulatory agencies<br />

and governmental insurance companies. regulatory agencies DDRSC and shall insurance perform companies. all work in compliance DDRSC shall with perform such regulations, all work in compliance representing the city to<br />

ensure with such maximum regulations, financial representing recovery. the cCity to ensure maximum financial recovery.<br />

DDRSC will work under the direction of the city’s public works director. The city manager or their designee will issue the<br />

DDRSC will work under the direction of the cCity’‘s pPublic wWorks dDirector. The cCity<br />

notice to proceed<br />

mManager<br />

to start<br />

or their<br />

work,<br />

designee<br />

the notice<br />

will<br />

to<br />

issue<br />

reduce<br />

the<br />

resources,<br />

nNotice to<br />

and<br />

pProceed<br />

to end<br />

to<br />

work.<br />

start<br />

All<br />

work,<br />

payments<br />

and the<br />

under<br />

notice<br />

the<br />

to reduce<br />

contract resulting<br />

from this RFP resources, shall be and made to end only work. for services All payments approved under by the the contract public works resulting director. from this RFP shall be made<br />

only for services approved by the pPublic wWorks dDirector.<br />

To be eligible for award of a contract in response to this RFP, the proposer must demonstrate that it has successfully<br />

completed services, as specified in this solicitation and are normally and routinely engaged in performing such services,<br />

and are properly To be eligible and legally for award licensed of a to contract perform in such response work. to In this addition, RFP, the the pProposer DDRSC must have demonstrate no conflict that of it interest with<br />

has successfully completed services, as specified in this solicitation and are normally and routinely<br />

engaged in performing such services, and are properly and legally licensed to perform such work. In<br />

addition, the DDRSC must have no conflict of interest RFP with regard for to Debris any other Removal work performed (Page by 6 of 47)<br />

the cContractors for the City of _________.


Page | 188<br />

regard to any other work performed by the contractors for the City of _________.<br />

The selected firm or firms must be experienced and knowledgeable in Federal Emergency Management Administration<br />

(FEMA) and insurance reimbursement rules and procedures and must demonstrate such to the city in its proposal and<br />

subsequent selection process presentations. The selected firm or firms must also demonstrate experience and knowledge of<br />

state, local, and federal environmental regulating and permitting agencies. The selected firm or firms will be responsible<br />

for staying current with all FEMA and other agencies guidelines and regulations and will be responsible for advising the<br />

city from beginning to end to ensure maximum financial recovery for the city.<br />

The city shall issue a separate request for proposals, or extend current contract, or for disaster debris monitoring services.<br />

The contractor for disaster/debris monitoring services and for disaster/debris removal services shall not be employed or<br />

be affiliated with each other for providing these types of services that are mentioned in this RFP. A company and affiliates<br />

can only submit for one of the two RFPs for these services that the city may meets requirements for FEMA reimbursement<br />

funding sources.<br />

BACKGROUND INFORMATION<br />

The city may experience massive destruction from the impact of a tornado, violent storms spawning smaller tornadoes,<br />

and other natural or manmade disasters or emergencies.<br />

As a full-service company providing for the economic sustainability of business and residential life, efficient and effective<br />

recovery of debris is paramount following a disaster event. The city has highly rated city recreational programs, as well as<br />

fire/police services. Therefore, the city is seeking a highly experienced and highly qualified disaster debris removal service<br />

contractor to protect the health, safety, and welfare of our community should disaster strike.<br />

GENERAL REQUIREMENTS<br />

A. DDRSC shall supply all labor, supervision, materials, equipment, facilities, power, communications, provisions,<br />

and other services and supplies necessary for, or incidental to, the performance of debris removal and disposal<br />

services as described in this RFP in accordance with all laws, regulations, and FEMA requirements. Any and all<br />

services provided by DDRSC and labor, materials and equipment used by a DDRSC, and its subcontractors, must<br />

comply fully with all federal, state, and local laws, regulations, and guidelines.<br />

B. DDRSC shall submit with its response to this RFP an operational plan to demonstrate compliance with the bid<br />

specifications.<br />

C. DDRSC shall disclose current and future debris management contractual obligations within the state of<br />

Kentucky with their proposal and annually thereafter throughout the term of the contract to provide reasonable<br />

assurance that such obligations will not preclude DDRSC from meeting its obligations under this contract. Such<br />

disclosure shall be provided in report form listing the number of accounts individually, by population served,<br />

and percentage of DDRSC available resources committed to these other accounts. The report will also indicate<br />

available resources dedicated to the City of ________. The expectation is that in the event of a disaster, DDRSC<br />

shall service the City of ________ first.<br />

D. DDRSC’s project manager or a higher-ranking decision-making designee shall be physically present at the city’s<br />

emergency operations center within 24 to 48 hours after the storm warning is issued. DDRSC’s duties shall<br />

include but are not limited to assisting in the impact assessment and required resources; assessing damage;<br />

coordinating helicopter survey; preparing for first push; ordering and staging equipment and supplies; and<br />

assisting in coordinating the action plan to be operational in the first 24 hours.<br />

E. When a notice to proceed in advance of an event has been received by a contractor, he/she will make all necessary<br />

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arrangements to mobilize and stage resources adequate to begin the emergency push operations within two<br />

hours, or whatever is reasonable after all-clear conditions that are reasonably suitable to start emergency push<br />

operations. The City of ____________ shall not provide any additional compensation for mobilization or standby<br />

time. Any and all costs for mobilization shall be built into each proposer submitted rates for emergency push<br />

services. At a minimum, the mobilization of four crews shall consist of at least four persons, consisting of<br />

two chain saw operators, a wheel loader with a 2.5 cubic yard bucket and operator, and a 10 cubic yard (minimum)<br />

dump truck or trailer with a driver. There shall be one supervisor per every four crews. The supervisor shall have<br />

his/her own truck for transportation. The above personnel requirements may be changed based on the needs of<br />

the City of _________ or if the city elects to award multiple contractors. Contractors shall provide 100% of the<br />

required resources within 96 hours, or as instructed by the public works director.<br />

F. DDRSC shall provide a clean-as-you-go policy and supervise and enforce such policy during debris management<br />

operations.<br />

G. DDRSC shall provide the following annual services at the DDRSC’s expense:<br />

1. DDRSC shall attend and participate in an annual meeting with the city.<br />

2. DDRSC shall prepare and present a written plan of operations, including a clear description of the percentage of<br />

work DDRSC may subcontract out and a list of subcontractors, at an annual meeting with the city.<br />

3. Upon request, DDRSC shall annually review and visit with city staff to be used during the coming year.<br />

4. DDRSC shall provide phone consultations and reference information to city staff upon request.<br />

H. DDRSC shall notify the city within 24 hours of any notices of violation or other notice of any legal or regulatory<br />

actions taken against DDRSC or its subcontractors while conducting work within the scope of this contract.<br />

I. DDRSC shall be responsible for responding to and completing any corrective action necessary in response to such<br />

notice, and for any fines resulting from any violations of federal, state, or local laws or regulations.DDRSC shall<br />

be paid for any special tasks requested by the city and as agreed to by DDRSC and the city based on the hourly rate schedule<br />

contained herein.<br />

J. To the extent required by applicable federal and state regulations, the city must approve all of DDRSC’s subcontractors prior<br />

to their providing service. DDRSC shall not use a subcontractor or material supplier to whom the city reasonably objects.<br />

DDRSC shall supply the city, as part of the annual plan of operations, a list of local individuals and firms under contract. All<br />

debris management subcontractors shall work for the DDRSC rather than the city. All subcontractors will operate in strict<br />

accord with local, state, and federal laws governing the type of work to be performed.<br />

DEBRIS REMOVAL<br />

DDRSC shall provide debris collection and removal activities, including, but not limited to the following types of<br />

tasks:<br />

A. FEMA Compliance – DDRSC shall work closely with the city’s debris monitor service contractor to ensure that<br />

all work is FEMA-compliant and all documentation is properly obtained, including GPS coordinates and photos.<br />

DDRSC’s failure to utilize federally approved documentation while performing work may result in nonpayment of<br />

services to the DDRSC by the city.<br />

B. Emergency Road Clearance – Immediately following a disaster, it may be necessary for DDRSC to cut, toss, and/<br />

or push debris from primary transportation routes as identified and directed by the city. Payment under this item will<br />

be on an hourly basis for labor and equipment as listed under Group Two and Group Three on the Pricing Proposal<br />

Form. This hourly work will only be conducted for the first 70 hours unless otherwise agreed in writing.<br />

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Page | 190<br />

C. Debris Removal from Public Rights-of-Way – As identified and directed by the city, DDRSC shall provide all<br />

labor, services, equipment, materials, and supplies necessary to collect vegetative debris and mixed debris from the<br />

city rights-of-way and public property. Vegetative debris and other natural materials that can be chipped, mulched,<br />

burned, and disposed of in some other similar manner and shall be handled separately from mixed debris. The city<br />

reserves the right to set up temporarily staging sites to prepare debris for final disposal in order to reduce cost<br />

and to effectively serve the resident of the City of __________.<br />

D. Demolition of Structures, Debris Removal from Private and Publicly Owned Property – Should an imminent<br />

threat to life, safety, and health to the general public be present on private property (right-of-entry program) or<br />

publicly owned property other than rights-of-way, DDRSC, as directed by the city, shall demolish structures and<br />

remove and relocate to TDRS or to final disposal site. This service shall commence upon receipt of the completed<br />

right-of-entry forms, hold harmless agreements, non-duplication agreements, and an address-specific notice to<br />

proceed, and subsequent approval of such notice to proceed by the city.<br />

E. Stump Removal, Backfill and Haul – As identified and directed by the city, DDRSC shall remove hazardous<br />

stumps, haul each stump to a designated site, and backfill each stump hole with compatible material as determined<br />

by the city and DDRSC. Each stump shall be inspected by city and DDRSC inspectors and documented as to the<br />

appropriate size and payment category. Payment for stumps with a diameter of 24 inches or less (as measured two<br />

feet from the ground) will be included in the cubic yard price for debris removal based on the Stump Conversion<br />

Table in FEMA DAP9523.11, Hazardous Stump Extraction and Removal Eligibility, dated May 2007, or any<br />

subsequent edition. Stumps with a diameter of greater than 24 inches will be paid at a reasonable cost. All stumps<br />

that are in the public rights-of-way but not in the ground shall be picked up, or other designated site, and included<br />

in the overall cubic yard price for debris removal. DDRSC shall provide and transmit photographs and GPS<br />

coordinates of questionable debris or trees or stumps to the public works director to obtain city or FEMA review<br />

and approval.<br />

F. Leaning Trees and Hanging Limbs – DDRSC shall trim, cut, and/or fell leaning trees (leaners) and/or hanging<br />

limbs (hangers) only upon prior written consent of the public works director. Each tree and limb shall then be<br />

placed in the public right-of-way where such debris shall be removed and included in the overall cubic yard price<br />

for debris removal. A fallen tree that extends onto the public right-of-way from private property shall be cut at<br />

the point where it enters the right-of-way, and that part of the debris which lies within the right-of-way shall be<br />

removed.<br />

G. Multiple Schedule Pass – DDRSC shall make as many passes as necessary, unless otherwise directed by the<br />

public works director, to collect all vegetative debris and mixed debris set out by residents for collection within the<br />